35 files changed, 73102 insertions, 0 deletions

diff --git a/.gitattributes b/.gitattributes
new file mode 100644
index 0000000..6833f05
--- /dev/null
+++ b/.gitattributes
@@ -0,0 +1,3 @@
+* text=auto
+*.txt text
+*.md text
diff --git a/17695-0.txt b/17695-0.txt
new file mode 100644
index 0000000..b5ecab1
--- /dev/null
+++ b/17695-0.txt
@@ -0,0 +1,18155 @@
+The Project Gutenberg EBook of A history of China., [3d ed. rev. and enl.], by 
+Wolfram Eberhard
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+
+Title: A history of China., [3d ed. rev. and enl.]
+
+Author: Wolfram Eberhard
+
+Release Date: February 7, 2006 [EBook #17695]
+
+Language: English
+
+Character set encoding: UTF-8
+
+*** START OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+
+
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+
+
+
+
+A
+HISTORY OF CHINA
+
+by
+WOLFRAM EBERHARD
+_of the University of California_
+
+_Illustrated_
+
+UNIVERSITY OF CALIFORNIA PRESS
+Berkeley and Los Angeles 1969
+
+
+
+First published in U. S. A. by
+_University of California Press_
+_Berkeley and Los Angeles_
+_California_
+
+Second printing 1955
+Third printing 1956
+Second edition (revised by the author
+and reset) 1960
+Reprinted 1966
+Third edition (revised
+and enlarged) 1969
+
+
+
+_To My Wife_
+
+
+
+
+CONTENTS
+
+
+INTRODUCTION                                                         1
+
+_THE EARLIEST TIMES_
+
+
+Chapter I: PREHISTORY
+
+1 Sources for the earliest history                                   7
+2 The Peking Man                                                     8
+3 The Palaeolithic Age                                               8
+4 The Neolithic Age                                                  9
+5 The eight principal prehistoric cultures                          10
+6 The Yang-shao culture                                             12
+7 The Lung-shan culture                                             15
+8 The first petty States in Shansi                                  16
+
+
+Chapter II: THE SHANG DYNASTY
+(_c._ 1600-1028 B.C.)
+
+1 Period, origin, material culture                                  19
+2 Writing and Religion                                              22
+3 Transition to feudalism                                           24
+
+
+_ANTIQUITY_
+
+
+Chapter III: THE CHOU DYNASTY (_c._ 1028-257 B.C.)
+
+1 Cultural origin of the Chou and end of the Shang dynasty          29
+2 Feudalism in the new empire                                       30
+3 Fusion of Chou and Shang                                          32
+4 Limitation of the imperial power                                  36
+5 Changes in the relative strength of the feudal states             38
+6 Confucius                                                         40
+7 Lao Tzŭ                                                           45
+
+
+Chapter IV: THE CONTENDING STATES (481-256 B.C.):
+
+DISSOLUTION OF THE FEUDAL SYSTEM
+
+1 Social and military changes                                       51
+2 Economic changes                                                  53
+3 Cultural changes                                                  57
+
+
+Chapter V: THE CHIN DYNASTY (256-207 B.C.)
+
+1 Towards the unitary State                                         62
+2 Centralization in every field                                     64
+3 Frontier Defence. Internal collapse                               67
+
+
+_THE MIDDLE AGES_
+
+
+Chapter VI: THE HAN DYNASTY (206 B.C.-A.D. 220)
+
+1 Development of the gentry-state                                   71
+2 Situation of the Hsiung-nu empire; its relation to the
+  Han empire. Incorporation of South China                          75
+3 Brief feudal reaction. Consolidation of the gentry                77
+4 Turkestan policy. End of the Hsiung-nu empire                     86
+5 Impoverishment. Cliques. End of the Dynasty                       90
+6 The pseudo-socialistic dictatorship. Revolt of the "Red
+  Eyebrows"                                                         93
+7 Reaction and Restoration: the Later Han dynasty                   96
+8 Hsiung-nu policy                                                  97
+9 Economic situation. Rebellion of the "Yellow Turbans".
+  Collapse of the Han dynasty                                       99
+10 Literature and Art                                              103
+
+
+Chapter VII: THE EPOCH OF THE FIRST DIVISION
+OF CHINA (A.D. 220-580)
+
+(A) _The three kingdoms_ (A.D. 220-265)
+
+1 Social, intellectual, and economic problems during the
+  period of the first division                                     107
+2 Status of the two southern Kingdoms                              109
+3 The northern State of Wei                                        113
+
+(B) _The Western Chin dynasty_ (265-317)
+
+1 Internal situation in the Chin empire                            115
+2 Effect on the frontier peoples                                   116
+3 Struggles for the throne                                         119
+4 Migration of Chinese                                             120
+5 Victory of the Huns. The Hun Han dynasty (later renamed
+  the Earlier Chao dynasty)                                        121
+
+(C) _The alien empires in North China, down to the Toba_
+(A.D. 317-385)
+
+1 The Later Chao dynasty in eastern North China (Hun; 329-352)     123
+2 Earlier Yen dynasty in the north-east (proto-Mongol;
+  352-370), and the Earlier Ch'in dynasty in all north
+  China (Tibetan; 351-394)                                         126
+3 The fragmentation of north China                                 128
+4 Sociological analysis of the two great alien empires             131
+5 Sociological analysis of the petty States                        132
+6 Spread of Buddhism                                               133
+
+(D) _The Toba empire in North China_ (A.D. 385-550)
+
+1 The rise of the Toba State                                       136
+2 The Hun kingdom of the Hsia (407-431)                            139
+3 Rise of the Toba to a great power                                139
+4 Economic and social conditions                                   142
+5 Victory and retreat of Buddhism                                  145
+
+(E) _Succession States of the Toba_ (A.D. 550-580):
+_Northern Ch'i dynasty, Northern Chou dynasty_
+
+1 Reasons for the splitting of the Toba empire                     148
+2 Appearance of the (Gök) Turks                                    149
+3 The Northern Ch'i dynasty; the Northern Chou dynasty             150
+
+(F) _The southern empires_
+
+1 Economic and social situation in the south                       152
+2 Struggles between cliques under the Eastern Chin
+  dynasty (A.D. 317-419)                                           155
+3 The Liu-Sung dynasty (A.D. 420-478) and the Southern
+  Ch'i dynasty (A.D. 479-501)                                      159
+4 The Liang dynasty (A.D. 502-556)                                 161
+5 The Ch'en dynasty (A.D. 557-588) and its ending by the
+  Sui                                                              162
+6 Cultural achievements of the south                               163
+
+
+Chapter VIII: THE EMPIRES OF THE SUI AND
+THE T'ANG
+
+(A) _The Sui dynasty_ (A.D. 580-618)
+
+1 Internal situation in the newly unified empire                   166
+2 Relations with Turks and with Korea                              169
+3 Reasons for collapse                                             170
+
+(B) _The Tang dynasty_ (A.D. 618-906)
+
+1 Reforms and decentralization                                     172
+2 Turkish policy                                                   176
+3 Conquest of Turkestan and Korea. Summit of power                 177
+4 The reign of the empress Wu: Buddhism and capitalism             179
+5 Second blossoming of T'ang culture                               182
+6 Revolt of a military governor                                    184
+7 The role of the Uighurs. Confiscation of the capital of the
+  monasteries                                                      186
+8 First successful peasant revolt. Collapse of the empire          189
+
+
+_MODERN TIMES_
+
+
+Chapter IX: THE EPOCH OF THE SECOND
+DIVISION OF CHINA
+
+(A) _The period of the Five Dynasties_ (906-960)
+
+1 Beginning of a new epoch                                         195
+2 Political situation in the tenth century                         199
+3 Monopolistic trade in South China. Printing and paper
+  money in the north                                               200
+4 Political history of the Five Dynasties                          202
+
+(B) _Period of Moderate Absolutism_
+
+(1) _The Northern Sung dynasty_
+
+1 Southward expansion                                              208
+2 Administration and army. Inflation                               210
+3 Reforms and Welfare schemes                                      215
+4 Cultural situation (philosophy, religion, literature, painting)  217
+5 Military collapse                                                221
+
+(2) _The Liao (Kitan) dynasty in the north_ (937-1125)
+
+1 Sociological structure. Claim to the Chinese imperial
+  throne                                                           222
+2 The State of the Kara-Kitai                                      223
+
+(3) _The Hsi-Hsia State in the north_ (1038-1227)
+
+1 Continuation of Turkish traditions                               224
+
+(4) _The empire of the Southern Sung dynasty_ (1127-1279)
+
+1 Foundation                                                       225
+2 Internal situation                                               226
+3 Cultural situation; reasons for the collapse                     227
+
+(5) _The empire of the Juchên in the north_ (1115-1234)
+
+1 Rapid expansion from northern Korea to the Yangtze               229
+2 United front of all Chinese                                      229
+3 Start of the Mongol empire                                       230
+
+
+Chapter X: THE PERIOD OF ABSOLUTISM
+
+(A) _The Mongol Epoch_ (1280-1368)
+
+1 Beginning of new foreign rules                                   232
+2 "Nationality legislation"                                        233
+3 Military position                                                234
+4 Social situation                                                 235
+5 Popular risings: National rising                                 238
+6 Cultural                                                         241
+
+(B) _The Ming Epoch_ (1368-1644)
+
+1 Start. National feeling                                          243
+2 Wars against Mongols and Japanese                                244
+3 Social legislation within the existing order                     246
+4 Colonization and agricultural developments                       248
+5 Commercial and industrial developments                           250
+6 Growth of the small gentry                                       252
+7 Literature, art, crafts                                          253
+8 Politics at court                                                256
+9 Navy. Southward expansion                                        258
+10 Struggles between cliques                                       259
+11 Risings                                                         262
+12 Machiavellism                                                   263
+13 Foreign relations in the sixteenth century                      264
+14 External and internal perils                                    266
+
+(C) _The Manchu Dynasty_ (1644-1911)
+
+1 Installation of the Manchus                                      270
+2 Decline in the eighteenth century                                272
+3 Expansion in Central Asia; the first State treaty                277
+4 Culture                                                          279
+5 Relations with the outer world                                   282
+6 Decline; revolts                                                 284
+7 European Imperialism in the Far East                             285
+8 Risings in Turkestan and within China: the T'ai P'ing Rebellion  288
+9 Collision with Japan; further Capitulations                      294
+10 Russia in Manchuria                                             296
+11 Reform and reaction: The Boxer Rising                           296
+12 End of the dynasty                                              299
+
+
+Chapter XI: THE REPUBLIC (1912-1948)
+
+1 Social and intellectual position                                 303
+2 First period of the Republic: The warlords                       309
+3 Second period of the Republic: Nationalist China                 314
+4 The Sino-Japanese war (1937-1945)                                317
+
+
+Chapter XII: PRESENT-DAY CHINA
+
+1 The growth of communism                                          320
+2 Nationalist China in Taiwan                                      323
+3 Communist China                                                  327
+
+
+Notes and References                                               335
+
+Index                                                              355
+
+
+
+
+ILLUSTRATIONS
+
+
+1 Painted pottery from Kansu: Neolithic. _Facing page_              48
+_In the collection of the Museum für Völkerkunde, Berlin_.
+
+2 Ancient bronze tripod found at Anyang.                            49
+_From G. Ecke: Frühe chinesische Bronzen aus der Sammlung
+Oskar Trautmann, Peking 1939 plate 3._
+
+3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style.                                  64
+_From V. Griessmaier: Sammlung Baron Eduard von der
+Heydt, Vienna 1936, illustration No. 6._
+
+4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz'u.                                                      64
+_From a print in the author's possession_.
+
+5 Part of the "Great Wall".                                         65
+_Photo Eberhard._
+
+6 Sun Ch'üan, ruler of Wu.                                         144
+_From a painting by Yen Li-pen (c. 640-680)._
+
+7 General view of the Buddhist cave-temples of Yün-kang.
+In the foreground, the present village; in the background
+the rampart.                                                       145
+_Photo H. Hammer-Morrisson._
+
+8 Detail from the Buddhist cave-reliefs of Lungmen.                160
+_From a print in the author's possession._
+
+9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the "Great Buddha Temple" at Chengting (Hopei).                    161
+_Photo H. Hammer-Morrisson._
+
+10 Ladies of the Court: Clay models which accompanied
+the dead person to the grave. T'ang period.                        208
+_In the collection of the Museum für Völkerkunde, Berlin._
+
+11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan.                                                209
+_Museum für Völkerkunde, Berlin. No. 1B 4524, illustration
+B 408._
+
+12 Ancient tiled pagoda at Chengting (Hopei).                      224
+_Photo H. Hammer-Morrisson._
+
+13 Horse-training. Painting by Li Lung-mien. Late Sung
+period.                                                            225
+_Manchu Royal House Collection._
+
+14 Aborigines of South China, of the "Black Miao" tribe,
+at a festival. China-ink drawing of the eighteenth
+century.                                                           272
+_Collection of the Museum für Völkerkunde, Berlin. No. 1D
+8756, 68._
+
+15 Pavilion on the "Coal Hill" at Peking, in which the last
+Ming emperor committed suicide.                                    273
+_Photo Eberhard._
+
+16 The imperial summer palace of the Manchu rulers, at
+Jehol.                                                             288
+_Photo H. Hammer-Morrisson._
+
+17 Tower on the city wall of Peking.                               289
+_Photo H. Hammer-Morrisson._
+
+
+
+
+MAPS
+
+
+1 Regions of the principal local cultures in prehistoric
+times                                                               13
+
+2 The principal feudal States in the feudal epoch (roughly
+722-481 B.C.)                                                       39
+
+3 China in the struggle with the Huns or Hsiung-nu
+(roughly 128-100 B.C.)                                              87
+
+4 The Toba empire (about A.D. 500)                                 141
+
+5 The T'ang realm (about A.D. 750)                                 171
+
+6 The State of the Later T'ang dynasty (923-935)                   205
+
+
+
+
+INTRODUCTION
+
+
+There are indeed enough Histories of China already: why yet another one?
+Because the time has come for new departures; because we need to clear
+away the false notions with which the general public is constantly being
+fed by one author after another; because from time to time syntheses
+become necessary for the presentation of the stage reached by research.
+
+Histories of China fall, with few exceptions, into one or the other of
+two groups, pro-Chinese and anti-Chinese: the latter used to
+predominate, but today the former type is much more frequently found. We
+have no desire to show that China's history is the most glorious or her
+civilization the oldest in the world. A claim to the longest history
+does not establish the greatness of a civilization; the importance of a
+civilization becomes apparent in its achievements. A thousand years ago
+China's civilization towered over those of the peoples of Europe. Today
+the West is leading; tomorrow China may lead again. We need to realize
+how China became what she is, and to note the paths pursued by the
+Chinese in human thought and action. The lives of emperors, the great
+battles, this or the other famous deed, matter less to us than the
+discovery of the great forces that underlie these features and govern
+the human element. Only when we have knowledge of those forces and
+counter-forces can we realize the significance of the great
+personalities who have emerged in China; and only then will the history
+of China become intelligible even to those who have little knowledge of
+the Far East and can make nothing of a mere enumeration of dynasties and
+campaigns.
+
+Views on China's history have radically changed in recent years. Until
+about thirty years ago our knowledge of the earliest times in China
+depended entirely on Chinese documents of much later date; now we are
+able to rely on many excavations which enable us to check the written
+sources. Ethnological, anthropological, and sociological research has
+begun for China and her neighbours; thus we are in a position to write
+with some confidence about the making of China, and about her ethnical
+development, where formerly we could only grope in the dark. The claim
+that "the Chinese race" produced the high Chinese civilization entirely
+by its own efforts, thanks to its special gifts, has become just as
+untenable as the other theory that immigrants from the West, some
+conceivably from Europe, carried civilization to the Far East. We know
+now that in early times there was no "Chinese race", there were not even
+"Chinese", just as there were no "French" and no "Swiss" two thousand
+years ago. The "Chinese" resulted from the amalgamation of many separate
+peoples of different races in an enormously complicated and
+long-drawn-out process, as with all the other high civilizations of the
+world.
+
+The picture of ancient and medieval China has also been entirely changed
+since it has been realized that the sources on which reliance has always
+been placed were not objective, but deliberately and emphatically
+represented a particular philosophy. The reports on the emperors and
+ministers of the earliest period are not historical at all, but served
+as examples of ideas of social policy or as glorifications of particular
+noble families. Myths such as we find to this day among China's
+neighbours were made into history; gods were made men and linked
+together by long family trees. We have been able to touch on all these
+things only briefly, and have had to dispense with any account of the
+complicated processes that have taken place here.
+
+The official dynastic histories apply to the course of Chinese history
+the criterion of Confucian ethics; for them history is a textbook of
+ethics, designed to show by means of examples how the man of high
+character should behave or not behave. We have to go deeper, and try to
+extract the historic truth from these records. Many specialized studies
+by Chinese, Japanese, and Western scholars on problems of Chinese
+history are now available and of assistance in this task. However, some
+Chinese writers still imagine that they are serving their country by yet
+again dishing up the old fables for the foreigner as history; and some
+Europeans, knowing no better or aiming at setting alongside the
+unedifying history of Europe the shining example of the conventional
+story of China, continue in the old groove. To this day, of course, we
+are far from having really worked through every period of Chinese
+history; there are long periods on which scarcely any work has yet been
+done. Thus the picture we are able to give today has no finality about
+it and will need many modifications. But the time has come for a new
+synthesis, so that criticism may proceed along the broadest possible
+front and push our knowledge further forward.
+
+The present work is intended for the general reader and not for the
+specialist, who will devote his attention to particular studies and to
+the original texts. In view of the wide scope of the work, I have had to
+confine myself to placing certain lines of thought in the foreground and
+paying less attention to others. I have devoted myself mainly to showing
+the main lines of China's social and cultural development down to the
+present day. But I have also been concerned not to leave out of account
+China's relations with her neighbours. Now that we have a better
+knowledge of China's neighbours, the Turks, Mongols, Tibetans, Tunguses,
+Tai, not confined to the narratives of Chinese, who always speak only of
+"barbarians", we are better able to realize how closely China has been
+associated with her neighbours from the first day of her history to the
+present time; how greatly she is indebted to them, and how much she has
+given them. We no longer see China as a great civilization surrounded by
+barbarians, but we study the Chinese coming to terms with their
+neighbours, who had civilizations of quite different types but
+nevertheless developed ones.
+
+It is usual to split up Chinese history under the various dynasties that
+have ruled China or parts thereof. The beginning or end of a dynasty
+does not always indicate the beginning or the end of a definite period
+of China's social or cultural development. We have tried to break
+China's history down into the three large periods--"Antiquity", "The
+Middle Ages", and "Modern Times". This does not mean that we compare
+these periods with periods of the same name in Western history although,
+naturally, we find some similarities with the development of society and
+culture in the West. Every attempt towards periodization is to some
+degree arbitrary: the beginning and end of the Middle Ages, for
+instance, cannot be fixed to a year, because development is a continuous
+process. To some degree any periodization is a matter of convenience,
+and it should be accepted as such.
+
+The account of Chinese history here given is based on a study of the
+original documents and excavations, and on a study of recent research
+done by Chinese, Japanese and Western scholars, including my own
+research. In many cases, these recent studies produced new data or
+arranged new data in a new way without an attempt to draw general
+conclusions. By putting such studies together, by fitting them into the
+pattern that already existed, new insights into social and cultural
+processes have been gained. The specialist in the field will, I hope,
+easily recognize the sources, primary or secondary, on which such new
+insights represented in this book are based. Brief notes are appended
+for each chapter; they indicate the most important works in English and
+provide the general reader with an opportunity of finding further
+information on the problems touched on. For the specialist brief hints
+to international research are given, mainly in cases in which different
+interpretations have been proposed.
+
+Chinese words are transcribed according to the Wade-Giles system with
+the exception of names for which already a popular way of transcription
+exists (such as Peking). Place names are written without hyphen, if they
+remain readable.
+
+
+
+
+THE EARLIEST TIMES
+
+
+
+
+Chapter One
+
+PREHISTORY
+
+
+1 _Sources for the earliest history_
+
+Until recently we were dependent for the beginnings of Chinese history
+on the written Chinese tradition. According to these sources China's
+history began either about 4000 B.C. or about 2700 B.C. with a
+succession of wise emperors who "invented" the elements of a
+civilization, such as clothing, the preparation of food, marriage, and a
+state system; they instructed their people in these things, and so
+brought China, as early as in the third millennium B.C., to an
+astonishingly high cultural level. However, all we know of the origin of
+civilizations makes this of itself entirely improbable; no other
+civilization in the world originated in any such way. As time went on,
+Chinese historians found more and more to say about primeval times. All
+these narratives were collected in the great imperial history that
+appeared at the beginning of the Manchu epoch. That book was translated
+into French, and all the works written in Western languages until recent
+years on Chinese history and civilization have been based in the last
+resort on that translation.
+
+Modern research has not only demonstrated that all these accounts are
+inventions of a much later period, but has also shown _why_ such
+narratives were composed. The older historical sources make no mention
+of any rulers before 2200 B.C., no mention even of their names. The
+names of earlier rulers first appear in documents of about 400 B.C.; the
+deeds attributed to them and the dates assigned to them often do not
+appear until much later. Secondly, it was shown that the traditional
+chronology is wrong and another must be adopted, reducing all the dates
+for the more ancient history, before 900 B.C. Finally, all narratives
+and reports from China's earliest period have been dealt a mortal blow
+by modern archaeology, with the excavations of recent years. There was
+no trace of any high civilization in the third millennium B.C., and,
+indeed, we can only speak of a real "Chinese civilization" from 1300
+B.C. onward. The peoples of the China of that time had come from the
+most varied sources; from 1300 B.C. they underwent a common process of
+development that welded them into a new unity. In this sense and
+emphasizing the cultural aspects, we are justified in using from then on
+a new name, "Chinese", for the peoples of China. Those sections,
+however, of their ancestral populations who played no part in the
+subsequent cultural and racial fusion, we may fairly call "non-Chinese".
+This distinction answers the question that continually crops up, whether
+the Chinese are "autochthonons". They are autochthonons in the sense
+that they formed a unit in the Far East, in the geographical region of
+the present China, and were not immigrants from the Middle East.
+
+
+2 _The Peking Man_
+
+Man makes his appearance in the Far East at a time when remains in other
+parts of the world are very rare and are disputed. He appears as the
+so-called "Peking Man", whose bones were found in caves of
+Chou-k'ou-tien south of Peking. The Peking Man is vastly different from
+the men of today, and forms a special branch of the human race, closely
+allied to the Pithecanthropus of Java. The formation of later races of
+mankind from these types has not yet been traced, if it occurred at all.
+Some anthropologists consider, however, that the Peking Man possessed
+already certain characteristics peculiar to the yellow race.
+
+The Peking Man lived in caves; no doubt he was a hunter, already in
+possession of very simple stone implements and also of the art of making
+fire. As none of the skeletons so far found are complete, it is assumed
+that he buried certain bones of the dead in different places from the
+rest. This burial custom, which is found among primitive peoples in
+other parts of the world, suggests the conclusion that the Peking Man
+already had religious notions. We have no knowledge yet of the length of
+time the Peking Man may have inhabited the Far East. His first traces
+are attributed to a million years ago, and he may have flourished in
+500,000 B.C.
+
+
+3 _The Palaeolithic Age_
+
+After the period of the Peking Man there comes a great gap in our
+knowledge. All that we know indicates that at the time of the Peking Man
+there must have been a warmer and especially a damper climate in North
+China and Inner Mongolia than today. Great areas of the Ordos region,
+now dry steppe, were traversed in that epoch by small rivers and lakes
+beside which men could live. There were elephants, rhinoceroses, extinct
+species of stag and bull, even tapirs and other wild animals. About
+50,000 B.C. there lived by these lakes a hunting people whose stone
+implements (and a few of bone) have been found in many places. The
+implements are comparable in type with the palaeolithic implements of
+Europe (Mousterian type, and more rarely Aurignacian or even
+Magdalenian). They are not, however, exactly like the European
+implements, but have a character of their own. We do not yet know what
+the men of these communities looked like, because as yet no indisputable
+human remains have been found. All the stone implements have been found
+on the surface, where they have been brought to light by the wind as it
+swept away the loess. These stone-age communities seem to have lasted a
+considerable time and to have been spread not only over North China but
+over Mongolia and Manchuria. It must not be assumed that the stone age
+came to an end at the same time everywhere. Historical accounts have
+recorded, for instance, that stone implements were still in use in
+Manchuria and eastern Mongolia at a time when metal was known and used
+in western Mongolia and northern China. Our knowledge about the
+palaeolithic period of Central and South China is still extremely
+limited; we have to wait for more excavations before anything can be
+said. Certainly, many implements in this area were made of wood or more
+probably bamboo, such as we still find among the non-Chinese tribes of
+the south-west and of South-East Asia. Such implements, naturally, could
+not last until today.
+
+About 25,000 B.C. there appears in North China a new human type, found
+in upper layers in the same caves that sheltered Peking Man. This type
+is beyond doubt not Mongoloid, and may have been allied to the Ainu, a
+non-Mongol race still living in northern Japan. These, too, were a
+palaeolithic people, though some of their implements show technical
+advance. Later they disappear, probably because they were absorbed into
+various populations of central and northern Asia. Remains of them have
+been found in badly explored graves in northern Korea.
+
+
+4 _The Neolithic age_
+
+In the period that now followed, northern China must have gradually
+become arid, and the formation of loess seems to have steadily advanced.
+There is once more a great gap in our knowledge until, about 4000 B.C.,
+we can trace in North China a purely Mongoloid people with a neolithic
+culture. In place of hunters we find cattle breeders, who are even to
+some extent agriculturists as well. This may seem an astonishing
+statement for so early an age. It is a fact, however, that pure pastoral
+nomadism is exceptional, that normal pastoral nomads have always added a
+little farming to their cattle-breeding, in order to secure the needed
+additional food and above all fodder, for the winter.
+
+At this time, about 4000 B.C., the other parts of China come into view.
+The neolithic implements of the various regions of the Far East are far
+from being uniform; there are various separate cultures. In the
+north-west of China there is a system of cattle-breeding combined with
+agriculture, a distinguishing feature being the possession of finely
+polished axes of rectangular section, with a cutting edge. Farther east,
+in the north and reaching far to the south, is found a culture with axes
+of round or oval section. In the south and in the coastal region from
+Nanking to Tonking, Yünnan to Fukien, and reaching as far as the coasts
+of Korea and Japan, is a culture with so-called shoulder-axes. Szechwan
+and Yünnan represented a further independent culture.
+
+All these cultures were at first independent. Later the shoulder-axe
+culture penetrated as far as eastern India. Its people are known to
+philological research as Austroasiatics, who formed the original stock
+of the Australian aborigines; they survived in India as the Munda
+tribes, in Indo-China as the Mon-Khmer, and also remained in pockets on
+the islands of Indonesia and especially Melanesia. All these peoples had
+migrated from southern China. The peoples with the oval-axe culture are
+the so-called Papuan peoples in Melanesia; they, too, migrated from
+southern China, probably before the others. Both groups influenced the
+ancient Japanese culture. The rectangular-axe culture of north-west
+China spread widely, and moved southward, where the Austronesian peoples
+(from whom the Malays are descended) were its principal constituents,
+spreading that culture also to Japan.
+
+Thus we see here, in this period around 4000 B.C., an extensive mutual
+penetration of the various cultures all over the Far East, including
+Japan, which in the palaeolithic age was apparently without or almost
+without settlers.
+
+
+5 _The eight principal prehistoric cultures_
+
+In the period roughly around 2500 B.C. the general historical view
+becomes much clearer. Thanks to a special method of working, making use
+of the ethnological sources available from later times together with the
+archaeological sources, much new knowledge has been gained in recent
+years. At this time there is still no trace of a Chinese realm; we find
+instead on Chinese soil a considerable number of separate local
+cultures, each developing on its own lines. The chief of these cultures,
+acquaintance with which is essential to a knowledge of the whole later
+development of the Far East, are as follows:
+
+(a) _The north-east culture_, centred in the present provinces of Hopei
+(in which Peking lies), Shantung, and southern Manchuria. The people of
+this culture were ancestors of the Tunguses, probably mixed with an
+element that is contained in the present-day Paleo-Siberian tribes.
+These men were mainly hunters, but probably soon developed a little
+primitive agriculture and made coarse, thick pottery with certain basic
+forms which were long preserved in subsequent Chinese pottery (for
+instance, a type of the so-called tripods). Later, pig-breeding became
+typical of this culture.
+
+(b) _The northern culture_ existed to the west of that culture, in the
+region of the present Chinese province of Shansi and in the province of
+Jehol in Inner Mongolia. These people had been hunters, but then became
+pastoral nomads, depending mainly on cattle. The people of this culture
+were the tribes later known as Mongols, the so-called proto-Mongols.
+Anthropologically they belonged, like the Tunguses, to the Mongol race.
+
+(c) The people of the culture farther west, the _north-west culture_,
+were not Mongols. They, too, were originally hunters, and later became a
+pastoral people, with a not inconsiderable agriculture (especially
+growing wheat and millet). The typical animal of this group soon became
+the horse. The horse seems to be the last of the great animals to be
+domesticated, and the date of its first occurrence in domesticated form
+in the Far East is not yet determined, but we can assume that by 2500
+B.C. this group was already in the possession of horses. The horse has
+always been a "luxury", a valuable animal which needed special care. For
+their economic needs, these tribes depended on other animals, probably
+sheep, goats, and cattle. The centre of this culture, so far as can be
+ascertained from Chinese sources, were the present provinces of Shensi
+and Kansu, but mainly only the plains. The people of this culture were
+most probably ancestors of the later Turkish peoples. It is not
+suggested, of course, that the original home of the Turks lay in the
+region of the Chinese provinces of Shensi and Kansu; one gains the
+impression, however, that this was a border region of the Turkish
+expansion; the Chinese documents concerning that period do not suffice
+to establish the centre of the Turkish territory.
+
+(d) In the _west_, in the present provinces of Szechwan and in all the
+mountain regions of the provinces of Kansu and Shensi, lived the
+ancestors of the Tibetan peoples as another separate culture. They were
+shepherds, generally wandering with their flocks of sheep and goats on
+the mountain heights.
+
+(e) In the _south_ we meet with four further cultures. One is very
+primitive, the Liao culture, the peoples of which are the Austroasiatics
+already mentioned. These are peoples who never developed beyond the
+stage of primitive hunters, some of whom were not even acquainted with
+the bow and arrow. Farther east is the Yao culture, an early
+Austronesian culture, the people of which also lived in the mountains,
+some as collectors and hunters, some going over to a simple type of
+agriculture (denshiring). They mingled later with the last great culture
+of the south, the Tai culture, distinguished by agriculture. The people
+lived in the valleys and mainly cultivated rice.
+
+The origin of rice is not yet known; according to some scholars, rice
+was first cultivated in the area of present Burma and was perhaps at
+first a perennial plant. Apart from the typical rice which needs much
+water, there were also some strains of dry rice which, however, did not
+gain much importance. The centre of this Tai culture may have been in
+the present provinces of Kuangtung and Kuanghsi. Today, their
+descendants form the principal components of the Tai in Thailand, the
+Shan in Burma and the Lao in Laos. Their immigration into the areas of
+the Shan States of Burma and into Thailand took place only in quite
+recent historical periods, probably not much earlier than A.D. 1000.
+
+Finally there arose from the mixture of the Yao with the Tai culture, at
+a rather later time, the Yüeh culture, another early Austronesian
+culture, which then spread over wide regions of Indonesia, and of which
+the axe of rectangular section, mentioned above, became typical.
+
+Thus, to sum up, we may say that, quite roughly, in the middle of the
+third millennium we meet in the _north_ and west of present-day China
+with a number of herdsmen cultures. In the _south_ there were a number
+of agrarian cultures, of which the Tai was the most powerful, becoming
+of most importance to the later China. We must assume that these
+cultures were as yet undifferentiated in their social composition, that
+is to say that as yet there was no distinct social stratification, but
+at most beginnings of class-formation, especially among the nomad
+herdsmen.
+
+
+6 _The Yang-shao culture_
+
+The various cultures here described gradually penetrated one another,
+especially at points where they met. Such a process does not yield a
+simple total of the cultural elements involved; any new combination
+produces entirely different conditions with corresponding new results
+which, in turn, represent the characteristics of the culture that
+supervenes. We can no longer follow this process of penetration in
+detail; it need not by any means have been always warlike. Conquest of
+one group by another was only one way of mutual cultural penetration. In
+other cases, a group which occupied the higher altitudes and practised
+hunting or slash-and-burn agriculture came into closer contacts with
+another group in the valleys which practised some form of higher
+agriculture; frequently, such contacts resulted in particular forms of
+division of labour in a unified and often stratified new form of
+society. Recent and present developments in South-East Asia present a
+number of examples for such changes. Increase of population is certainly
+one of the most important elements which lead to these developments. The
+result, as a rule, was a stratified society being made up of at least
+one privileged and one ruled stratum. Thus there came into existence
+around 2000 B.C. some new cultures, which are well known
+archaeologically. The most important of these are the Yang-shao culture
+in the west and the Lung-shan culture in the east. Our knowledge of both
+these cultures is of quite recent date and there are many enigmas still
+to be cleared up.
+
+[Illustration: Map 1. Regions of the principal local cultures in
+prehistoric times. _Local cultures of minor importance have not been
+shown._]
+
+The _Yang-shao culture_ takes its name from a prehistoric settlement in
+the west of the present province of Honan, where Swedish investigators
+discovered it. Typical of this culture is its wonderfully fine pottery,
+apparently used as gifts to the dead. It is painted in three colours,
+white, red, and black. The patterns are all stylized, designs copied
+from nature being rare. We are now able to divide this painted pottery
+into several sub-types of specific distribution, and we know that this
+style existed from _c_. 2200 B.C. on. In general, it tends to disappear
+as does painted pottery in other parts of the world with the beginning
+of urban civilization and the invention of writing. The typical
+Yang-shao culture seems to have come to an end around 1600 or 1500 B.C.
+It continued in some more remote areas, especially of Kansu, perhaps to
+about 700 B.C. Remnants of this painted pottery have been found over a
+wide area from Southern Manchuria, Hopei, Shansi, Honan, Shensi to
+Kansu; some pieces have also been discovered in Sinkiang. Thus far, it
+seems that it occurred mainly in the mountainous parts of North and
+North-West China. The people of this culture lived in villages near to
+the rivers and creeks. They had various forms of houses, including
+underground dwellings and animal enclosures. They practised some
+agriculture; some authors believe that rice was already known to them.
+They also had domesticated animals. Their implements were of stone with
+rare specimens of bone. The axes were of the rectangular type. Metal was
+as yet unknown, but seems to have been introduced towards the end of the
+period. They buried their dead on the higher elevations, and here the
+painted pottery was found. For their daily life, they used predominantly
+a coarse grey pottery.
+
+After the discovery of this culture, its pottery was compared with the
+painted pottery of the West, and a number of resemblances were found,
+especially with the pottery of the Lower Danube basin and that of Anau,
+in Turkestan. Some authors claim that such resemblances are fortuitous
+and believe that the older layers of this culture are to be found in the
+eastern part of its distribution and only the later layers in the west.
+It is, they say, these later stages which show the strongest
+resemblances with the West. Other authors believe that the painted
+pottery came from the West where it occurs definitely earlier than in
+the Far East; some investigators went so far as to regard the
+Indo-Europeans as the parents of that civilization. As we find people
+who spoke an Indo-European language in the Far East in a later period,
+they tend to connect the spread of painted pottery with the spread of
+Indo-European-speaking groups. As most findings of painted pottery in
+the Far East do not stem from scientific excavations it is difficult to
+make any decision at this moment. We will have to wait for more and
+modern excavations.
+
+From our knowledge of primeval settlement in West and North-West China
+we know, however, that Tibetan groups, probably mixed with Turkish
+elements, must have been the main inhabitants of the whole region in
+which this painted pottery existed. Whatever the origin of the painted
+pottery may be, it seems that people of these two groups were the main
+users of it. Most of the shapes of their pottery are not found in later
+Chinese pottery.
+
+
+7 _The Lung-shan culture_
+
+While the Yang-shao culture flourished in the mountain regions of
+northern and western China around 2000 B.C., there came into existence
+in the plains of eastern China another culture, which is called the
+Lung-shan culture, from the scene of the principal discoveries.
+Lung-shan is in the province of Shantung, near Chinan-fu. This culture,
+discovered only about twenty-five years ago, is distinguished by a black
+pottery of exceptionally fine quality and by a similar absence of metal.
+The pottery has a polished appearance on the exterior; it is never
+painted, and mostly without decoration; at most it may have incised
+geometrical patterns. The forms of the vessels are the same as have
+remained typical of Chinese pottery, and of Far Eastern pottery in
+general. To that extent the Lung-shan culture may be described as one of
+the direct predecessors of the later Chinese civilization.
+
+As in the West, we find in Lung-shan much grey pottery out of which
+vessels for everyday use were produced. This simple corded or matted
+ware seems to be in connection with Tunguse people who lived in the
+north-east. The people of the Lung-shan culture lived on mounds produced
+by repeated building on the ruins of earlier settlements, as did the
+inhabitants of the "Tells" in the Near East. They were therefore a
+long-settled population of agriculturists. Their houses were of mud, and
+their villages were surrounded with mud walls. There are signs that
+their society was stratified. So far as is known at present, this
+culture was spread over the present provinces of Shantung, Kiangsu,
+Chekiang, and Anhui, and some specimens of its pottery went as far as
+Honan and Shansi, into the region of the painted pottery. This culture
+lasted in the east until about 1600 B.C., with clear evidence of rather
+longer duration only in the south. As black pottery of a similar
+character occurs also in the Near East, some authors believe that it has
+been introduced into the Far East by another migration (Pontic
+migration) following that migration which supposedly brought the painted
+pottery. This theory has not been generally accepted because of the fact
+that typical black pottery is limited to the plains of East China; if it
+had been brought in from the West, we should expect to find it in
+considerable amounts also in West China. Ordinary black pottery can be
+simply the result of a special temperature in the pottery kiln; such
+pottery can be found almost everywhere. The typical thin, fine black
+pottery of Lung-shan, however, is in the Far East an eastern element,
+and migrants would have had to pass through the area of the painted
+pottery people without leaving many traces and without pushing their
+predecessors to the East. On the basis of our present knowledge we
+assume that the peoples of the Lung-shan culture were probably of Tai
+and Yao stocks together with some Tunguses.
+
+Recently, a culture of mound-dwellers in Eastern China has been
+discovered, and a southern Chinese culture of people with impressed or
+stamped pottery. This latter seems to be connected with the Yüeh tribes.
+As yet, no further details are known.
+
+
+8 _The first petty States in Shansi_
+
+At the time in which, according to archaeological research, the painted
+pottery flourished in West China, Chinese historical tradition has it
+that the semi-historical rulers, Yao and Shun, and the first official
+dynasty, the Hsia dynasty ruled over parts of China with a centre in
+southern Shansi. While we dismiss as political myths the Confucianist
+stories representing Yao and Shun as models of virtuous rulers, it may
+be that a small state existed in south-western Shansi under a chieftain
+Yao, and farther to the east another small state under a chieftain Shun,
+and that these states warred against each other until Yao's state was
+destroyed. These first small states may have existed around 2000 B.C.
+
+On the cultural scene we first find an important element of progress:
+bronze, in traces in the middle layers of the Yang-shao culture, about
+1800 B.C.; that element had become very widespread by 1400 B.C. The
+forms of the oldest weapons and their ornamentation show similarities
+with weapons from Siberia; and both mythology and other indications
+suggest that the bronze came into China from the north and was not
+produced in China proper. Thus, from the present state of our knowledge,
+it seems most correct to say that the bronze was brought to the Far East
+through the agency of peoples living north of China, such as the Turkish
+tribes who in historical times were China's northern neighbours (or
+perhaps only individual families or clans, the so-called smith families
+with whom we meet later in Turkish tradition), reaching the Chinese
+either through these people themselves or through the further agency of
+Mongols. At first the forms of the weapons were left unaltered. The
+bronze vessels, however, which made their appearance about 1450 B.C. are
+entirely different from anything produced in other parts of Asia; their
+ornamentation shows, on the one hand, elements of the so-called "animal
+style" which is typical of the steppe people of the Ordos area and of
+Central Asia. But most of the other elements, especially the "filling"
+between stylized designs, is recognizably southern (probably of the Tai
+culture), no doubt first applied to wooden vessels and vessels made from
+gourds, and then transferred to bronze. This implies that the art of
+casting bronze very soon spread from North China, where it was first
+practised by Turkish peoples, to the east and south, which quickly
+developed bronze industries of their own. There are few deposits of
+copper and tin in North China, while in South China both metals are
+plentiful and easily extracted, so that a trade in bronze from south to
+north soon set in.
+
+The origin of the Hsia state may have been a consequence of the progress
+due to bronze. The Chinese tradition speaks of the Hsia _dynasty_, but
+can say scarcely anything about it. The excavations, too, yield no
+clear conclusions, so that we can only say that it flourished at the
+time and in the area in which the painted pottery occurred, with a
+centre in south-west Shansi. We date this dynasty now somewhere between
+2000 and 1600 B.C. and believe that it was an agrarian culture with
+bronze weapons and pottery vessels but without the knowledge of the art
+of writing.
+
+
+
+
+Chapter Two
+
+THE SHANG DYNASTY (_c._ 1600-1028 B.C.)
+
+
+1 _Period, origin, material culture_
+
+About 1600 B.C. we come at last into the realm of history. Of the Shang
+dynasty, which now followed, we have knowledge both from later texts and
+from excavations and the documents they have brought to light. The Shang
+civilization, an evident off-shoot of the Lung-shan culture (Tai, Yao,
+and Tunguses), but also with elements of the Hsia culture (with Tibetan
+and Mongol and/or Turkish elements), was beyond doubt a high
+civilization. Of the origin of the Shang _State_ we have no details, nor
+do we know how the Hsia culture passed into the Shang culture.
+
+The central territory of the Shang realm lay in north-western Honan,
+alongside the Shansi mountains and extending into the plains. It was a
+peasant civilization with towns. One of these towns has been excavated.
+It adjoined the site of the present town of Anyang, in the province of
+Honan. The town, the Shang capital from _c._ 1300 to 1028 B.C., was
+probably surrounded by a mud wall, as were the settlements of the
+Lung-shan people. In the centre was what evidently was the ruler's
+palace. Round this were houses probably inhabited by artisans; for the
+artisans formed a sort of intermediate class, as dependents of the
+ruling class. From inscriptions we know that the Shang had, in addition
+to their capital, at least two other large cities and many smaller
+town-like settlements and villages. The rectangular houses were built in
+a style still found in Chinese houses, except that their front did not
+always face south as is now the general rule. The Shang buried their
+kings in large, subterranean, cross-shaped tombs outside the city, and
+many implements, animals and human sacrifices were buried together with
+them. The custom of large burial mounds, which later became typical of
+the Chou dynasty, did not yet exist.
+
+The Shang had sculptures in stone, an art which later more or less
+completely disappeared and which was resuscitated only in post-Christian
+times under the influence of Indian Buddhism. Yet, Shang culture cannot
+well be called a "megalithic" culture. Bronze implements and especially
+bronze vessels were cast in the town. We even know the trade marks of
+some famous bronze founders. The bronze weapons are still similar to
+those from Siberia, and are often ornamented in the so-called "animal
+style", which was used among all the nomad peoples between the Ordos
+region and Siberia until the beginning of the Christian era. On the
+other hand, the famous bronze vessels are more of southern type, and
+reveal an advanced technique that has scarcely been excelled since.
+There can be no doubt that the bronze vessels were used for religious
+service and not for everyday life. For everyday use there were
+earthenware vessels. Even in the middle of the first millennium B.C.,
+bronze was exceedingly dear, as we know from the records of prices.
+China has always suffered from scarcity of metal. For that reason metal
+was accumulated as capital, entailing a further rise in prices; when
+prices had reached a sufficient height, the stocks were thrown on the
+market and prices fell again. Later, when there was a metal coinage,
+this cycle of inflation and deflation became still clearer. The metal
+coinage was of its full nominal value, so that it was possible to coin
+money by melting down bronze implements. As the money in circulation was
+increased in this way, the value of the currency fell. Then it paid to
+turn coin into metal implements. This once more reduced the money in
+circulation and increased the value of the remaining coinage. Thus
+through the whole course of Chinese history the scarcity of metal and
+insufficiency of production of metal continually produced extensive
+fluctuations of the stocks and the value of metal, amounting virtually
+to an economic law in China. Consequently metal implements were never
+universally in use, and vessels were always of earthenware, with the
+further result of the early invention of porcelain. Porcelain vessels
+have many of the qualities of metal ones, but are cheaper.
+
+The earthenware vessels used in this period are in many cases already
+very near to porcelain: there was a pottery of a brilliant white,
+lacking only the glaze which would have made it into porcelain. Patterns
+were stamped on the surface, often resembling the patterns on bronze
+articles. This ware was used only for formal, ceremonial purposes. For
+daily use there was also a perfectly simple grey pottery.
+
+Silk was already in use at this time. The invention of sericulture must
+therefore have dated from very ancient times in China. It undoubtedly
+originated in the south of China, and at first not only the threads
+spun by the silkworm but those made by other caterpillars were also
+used. The remains of silk fabrics that have been found show already an
+advanced weaving technique. In addition to silk, various plant fibres,
+such as hemp, were in use. Woollen fabrics do not seem to have been yet
+used.
+
+The Shang were agriculturists, but their implements were still rather
+primitive. There was no real plough yet; hoes and hoe-like implements
+were used, and the grain, mainly different kinds of millet and some
+wheat, was harvested with sickles. The materials, from which these
+implements were made, were mainly wood and stone; bronze was still too
+expensive to be utilized by the ordinary farmer. As a great number of
+vessels for wine in many different forms have been excavated, we can
+assume that wine, made from special kinds of millet, was a popular
+drink.
+
+The Shang state had its centre in northern Honan, north of the Yellow
+river. At various times, different towns were made into the capital
+city; Yin-ch'ü, their last capital and the only one which has been
+excavated, was their sixth capital. We do not know why the capitals were
+removed to new locations; it is possible that floods were one of the
+main reasons. The area under more or less organized Shang control
+comprised towards the end of the dynasty the present provinces of Honan,
+western Shantung, southern Hopei, central and south Shansi, east Shensi,
+parts of Kiangsu and Anhui. We can only roughly estimate the size of the
+population of the Shang state. Late texts say that at the time of the
+annihilation of the dynasty, some 3.1 million free men and 1.1 million
+serfs were captured by the conquerors; this would indicate a population
+of at least some 4-5 millions. This seems a possible number, if we
+consider that an inscription of the tenth century B.C. which reports
+about an ordinary war against a small and unimportant western neighbour,
+speaks of 13,081 free men and 4,812 serfs taken as prisoners.
+
+Inscriptions mention many neighbours of the Shang with whom they were in
+more or less continuous state of war. Many of these neighbours can now
+be identified. We know that Shansi at that time was inhabited by Ch'iang
+tribes, belonging to the Tibetan culture, as well as by Ti tribes,
+belonging to the northern culture, and by Hsien-yün and other tribes,
+belonging to the north-western culture; the centre of the Ch'iang tribes
+was more in the south-west of Shansi and in Shensi. Some of these tribes
+definitely once formed a part of the earlier Hsia state. The
+identification of the eastern neighbours of the Shang presents more
+difficulties. We might regard them as representatives of the Tai and Yao
+cultures.
+
+
+2 _Writing and Religion_
+
+Not only the material but also the intellectual level attained in the
+Shang period was very high. We meet for the first time with
+writing--much later than in the Middle East and in India. Chinese
+scholars have succeeded in deciphering some of the documents discovered,
+so that we are able to learn a great deal from them. The writing is a
+rudimentary form of the present-day Chinese script, and like it a
+pictorial writing, but also makes use, as today, of many phonetic signs.
+There were, however, a good many characters that no longer exist, and
+many now used are absent. There were already more than 3,000 characters
+in use of which some 1,000 can now be read. (Today newspapers use some
+3,000 characters; scholars have command of up to 8,000; the whole of
+Chinese literature, ancient and modern, comprises some 50,000
+characters.) With these 3,000 characters the Chinese of the Shang period
+were able to express themselves well.
+
+The still existing fragments of writing of this period are found almost
+exclusively on tortoiseshells or on other bony surfaces, and they
+represent oracles. As early as in the Lung-shan culture there was
+divination by means of "oracle bones", at first without written
+characters. In the earliest period any bones of animals (especially
+shoulder-bones) were used; later only tortoiseshell. For the purpose of
+the oracle a depression was burnt in the shell so that cracks were
+formed on the other side, and the future was foretold from their
+direction. Subsequently particular questions were scratched on the
+shells, and the answers to them; these are the documents that have come
+down to us. In Anyang tens of thousands of these oracle bones with
+inscriptions have been found. The custom of asking the oracle and of
+writing the answers on the bones spread over the borders of the Shang
+state and continued in some areas after the end of the dynasty.
+
+The bronze vessels of later times often bear long inscriptions, but
+those of the Shang period have only very brief texts. On the other hand,
+they are ornamented with pictures, as yet largely unintelligible, of
+countless deities, especially in the shape of animals or birds--pictures
+that demand interpretation. The principal form on these bronzes is that
+of the so-called T'ao-t'ieh, a hybrid with the head of a water-buffalo
+and tiger's teeth.
+
+The Shang period had a religion with many nature deities, especially
+deities of fertility. There was no systematized pantheon, different
+deities being revered in each locality, often under the most varied
+names. These various deities were, however, similar in character, and
+later it occurred often that many of them were combined by the priests
+into a single god. The composite deities thus formed were officially
+worshipped. Their primeval forms lived on, however, especially in the
+villages, many centuries longer than the Shang dynasty. The sacrifices
+associated with them became popular festivals, and so these gods or
+their successors were saved from oblivion; some of them have lived on in
+popular religion to the present day. The supreme god of the official
+worship was called Shang Ti; he was a god of vegetation who guided all
+growth and birth and was later conceived as a forefather of the races of
+mankind. The earth was represented as a mother goddess, who bore the
+plants and animals procreated by Shang Ti. In some parts of the Shang
+realm the two were conceived as a married couple who later were parted
+by one of their children. The husband went to heaven, and the rain is
+the male seed that creates life on earth. In other regions it was
+supposed that in the beginning of the world there was a world-egg, out
+of which a primeval god came, whose body was represented by the earth:
+his hair formed the plants, and his limbs the mountains and valleys.
+Every considerable mountain was also itself a god and, similarly, the
+river god, the thunder god, cloud, lightning, and wind gods, and many
+others were worshipped.
+
+In order to promote the fertility of the earth, it was believed that
+sacrifices must be offered to the gods. Consequently, in the Shang realm
+and the regions surrounding it there were many sorts of human
+sacrifices; often the victims were prisoners of war. One gains the
+impression that many wars were conducted not as wars of conquest but
+only for the purpose of capturing prisoners, although the area under
+Shang control gradually increased towards the west and the south-east, a
+fact demonstrating the interest in conquest. In some regions men lurked
+in the spring for people from other villages; they slew them, sacrificed
+them to the earth, and distributed portions of the flesh of the
+sacrifice to the various owners of fields, who buried them. At a later
+time all human sacrifices were prohibited, but we have reports down to
+the eleventh century A.D., and even later, that such sacrifices were
+offered secretly in certain regions of central China. In other regions a
+great boat festival was held in the spring, to which many crews came
+crowded in long narrow boats. At least one of the boats had to capsize;
+the people who were thus drowned were a sacrifice to the deities of
+fertility. This festival has maintained its fundamental character to
+this day, in spite of various changes. The same is true of other
+festivals, customs, and conceptions, vestiges of which are contained at
+least in folklore.
+
+In addition to the nature deities which were implored to give fertility,
+to send rain, or to prevent floods and storms, the Shang also
+worshipped deceased rulers and even dead ministers as a kind of
+intermediaries between man and the highest deity, Shang Ti. This
+practice may be regarded as the forerunner of "ancestral worship" which
+became so typical of later China.
+
+
+3 _Transition to feudalism_
+
+At the head of the Shang state was a king, posthumously called a "Ti",
+the same word as in the name of the supreme god. We have found on bones
+the names of all the rulers of this dynasty and even some of their
+pre-dynastic ancestors. These names can be brought into agreement with
+lists of rulers found in the ancient Chinese literature. The ruler seems
+to have been a high priest, too; and around him were many other priests.
+We know some of them now so well from the inscriptions that their
+biographies could be written. The king seems to have had some kind of
+bureaucracy. There were "ch'en", officials who served the ruler
+personally, as well as scribes and military officials. The basic army
+organization was in units of one hundred men which were combined as
+"right", "left" and "central" units into an army of 300 men. But it
+seems that the central power did not extend very far. In the more
+distant parts of the realm were more or less independent lords, who
+recognized the ruler only as their supreme lord and religious leader. We
+may describe this as an early, loose form of the feudal system, although
+the main element of real feudalism was still absent. The main
+obligations of these lords were to send tributes of grain, to
+participate with their soldiers in the wars, to send tortoise shells to
+the capital to be used there for oracles, and to send occasionally
+cattle and horses. There were some thirty such dependent states.
+Although we do not know much about the general population, we know that
+the rulers had a patrilinear system of inheritance. After the death of
+the ruler his brothers followed him on the throne, the older brothers
+first. After the death of all brothers, the sons of older or younger
+brothers became rulers. No preference was shown to the son of the oldest
+brother, and no preference between sons of main or of secondary wives is
+recognizable. Thus, the Shang patrilinear system was much less extreme
+than the later system. Moreover, the deceased wives of the rulers played
+a great role in the cult, another element which later disappeared. From
+these facts and from the general structure of Shang religion it has been
+concluded that there was a strong matrilinear strain in Shang culture.
+Although this cannot be proved, it seems quite plausible because we know
+of matrilinear societies in the South of China at later times.
+
+About the middle of the Shang period there occurred interesting changes,
+probably under the influence of nomad peoples from the north-west.
+
+In religion there appears some evidence of star-worship. The deities
+seem to have been conceived as a kind of celestrial court of Shang Ti,
+as his "officials". In the field of material culture, horse-breeding
+becomes more and more evident. Some authors believe that the art of
+riding was already known in late Shang times, although it was certainly
+not yet so highly developed that cavalry units could be used in war.
+With horse-breeding the two-wheeled light war chariot makes its
+appearance. The wheel was already known in earlier times in the form of
+the potter's wheel. Recent excavations have brought to light burials in
+which up to eighteen chariots with two or four horses were found
+together with the owners of the chariots. The cart is not a Chinese
+invention but came from the north, possibly from Turkish peoples. It has
+been contended that it was connected with the war chariot of the Near
+East: shortly before the Shang period there had been vast upheavals in
+western Asia, mainly in connection with the expansion of peoples who
+spoke Indo-European languages (Hittites, etc.) and who became successful
+through the use of quick, light, two-wheeled war-chariots. It is
+possible, but cannot be proved, that the war-chariot spread through
+Central Asia in connection with the spread of such
+Indo-European-speaking groups or by the intermediary of Turkish tribes.
+We have some reasons to believe that the first Indo-European-speaking
+groups arrived in the Far East in the middle of the second millenium
+B.C. Some authors even connect the Hsia with these groups. In any case,
+the maximal distribution of these people seems to have been to the
+western borders of the Shang state. As in Western Asia, a Shang-time
+chariot was manned by three men: the warrior who was a nobleman, his
+driver, and his servant who handed him arrows or other weapons when
+needed. There developed a quite close relationship between the nobleman
+and his chariot-driver. The chariot was a valuable object, manufactured
+by specialists; horses were always expensive and rare in China, and in
+many periods of Chinese history horses were directly imported from
+nomadic tribes in the North or West. Thus, the possessors of vehicles
+formed a privileged class in the Shang realm; they became a sort of
+nobility, and the social organization began to move in the direction of
+feudalism. One of the main sports of the noblemen in this period, in
+addition to warfare, was hunting. The Shang had their special hunting
+grounds south of the mountains which surround Shansi province, along the
+slopes of the T'ai-hang mountain range, and south to the shores of the
+Yellow river. Here, there were still forests and swamps in Shang time,
+and boars, deer, buffaloes and other animals, as well as occasional
+rhinoceros and elephants, were hunted. None of these wild animals was
+used as a sacrifice; all sacrificial animals, such as cattle, pigs,
+etc., were domesticated animals.
+
+Below the nobility we find large numbers of dependent people; modern
+Chinese scholars call them frequently "slaves" and speak of a "slave
+society". There is no doubt that at least some farmers were "free
+farmers"; others were what we might call "serfs": families in hereditary
+group dependence upon some noble families and working on land which the
+noble families regarded as theirs. Families of artisans and craftsmen
+also were hereditary servants of noble families--a type of social
+organization which has its parallels in ancient Japan and in later India
+and other parts of the world. There were also real slaves: persons who
+were the personal property of noblemen. The independent states around
+the Shang state also had serfs. When the Shang captured neighbouring
+states, they re-settled the captured foreign aristocracy by attaching
+them as a group to their own noblemen. The captured serfs remained under
+their masters and shared their fate. The same system was later practised
+by the Chou after their conquest of the Shang state.
+
+The conquests of late Shang added more territory to the realm than could
+be coped with by the primitive communications of the time. When the last
+ruler of Shang made his big war which lasted 260 days against the tribes
+in the south-east, rebellions broke out which lead to the end of the
+dynasty, about 1028 B.C. according to the new chronology (1122 B.C. old
+chronology).
+
+
+
+
+ANTIQUITY
+
+
+
+
+Chapter Three
+
+THE CHOU DYNASTY (_c._ 1028-257 B.C.)
+
+
+1 _Cultural origin of the Chou and end of the Shang dynasty_
+
+The Shang culture still lacked certain things that were to become
+typical of "Chinese" civilization. The family system was not yet the
+strong patriarchal system of the later Chinese. The religion, too, in
+spite of certain other influences, was still a religion of agrarian
+fertility. And although Shang society was strongly stratified and showed
+some tendencies to develop a feudal system, feudalism was still very
+primitive. Although the Shang script was the precursor of later Chinese
+script, it seemed to have contained many words which later disappeared,
+and we are not sure whether Shang language was the same as the language
+of Chou time. With the Chou period, however, we enter a period in which
+everything which was later regarded as typically "Chinese" began to
+emerge.
+
+During the time of the Shang dynasty the Chou formed a small realm in
+the west, at first in central Shensi, an area which even in much later
+times was the home of many "non-Chinese" tribes. Before the beginning of
+the eleventh century B.C. they must have pushed into eastern Shensi, due
+to pressures of other tribes which may have belonged to the Turkish
+ethnic group. However, it is also possible that their movement was
+connected with pressures from Indo-European groups. An analysis of their
+tribal composition at the time of the conquest seems to indicate that
+the ruling house of the Chou was related to the Turkish group, and that
+the population consisted mainly of Turks and Tibetans. Their culture was
+closely related to that of Yang-shao, the previously described
+painted-pottery culture, with, of course, the progress brought by time.
+They had bronze weapons and, especially, the war-chariot. Their eastward
+migration, however, brought them within the zone of the Shang culture,
+by which they were strongly influenced, so that the Chou culture lost
+more and more of its original character and increasingly resembled the
+Shang culture. The Chou were also brought into the political sphere of
+the Shang, as shown by the fact that marriages took place between the
+ruling houses of Shang and Chou, until the Chou state became nominally
+dependent on the Shang state in the form of a dependency with special
+prerogatives. Meanwhile the power of the Chou state steadily grew, while
+that of the Shang state diminished more and more through the disloyalty
+of its feudatories and through wars in the East. Finally, about 1028
+B.C., the Chou ruler, named Wu Wang ("the martial king"), crossed his
+eastern frontier and pushed into central Honan. His army was formed by
+an alliance between various tribes, in the same way as happened again
+and again in the building up of the armies of the rulers of the steppes.
+Wu Wang forced a passage across the Yellow River and annihilated the
+Shang army. He pursued its vestiges as far as the capital, captured the
+last emperor of the Shang, and killed him. Thus was the Chou dynasty
+founded, and with it we begin the actual history of China. The Chou
+brought to the Shang culture strong elements of Turkish and also Tibetan
+culture, which were needed for the release of such forces as could
+create a new empire and maintain it through thousands of years as a
+cultural and, generally, also a political unit.
+
+
+2 _Feudalism in the new empire_
+
+A natural result of the situation thus produced was the turning of the
+country into a feudal state. The conquerors were an alien minority, so
+that they had to march out and spread over the whole country. Moreover,
+the allied tribal chieftains expected to be rewarded. The territory to
+be governed was enormous, but the communications in northern China at
+that time were similar to those still existing not long ago in southern
+China--narrow footpaths from one settlement to another. It is very
+difficult to build roads in the loess of northern China; and the
+war-chariots that required roads had only just been introduced. Under
+such conditions, the simplest way of administering the empire was to
+establish garrisons of the invading tribes in the various parts of the
+country under the command of their chieftains. Thus separate regions of
+the country were distributed as fiefs. If a former subject of the Shang
+surrendered betimes with the territory under his rule, or if there was
+one who could not be overcome by force, the Chou recognized him as a
+feudal lord.
+
+We find in the early Chou time the typical signs of true feudalism:
+fiefs were given in a ceremony in which symbolically a piece of earth
+was handed over to the new fiefholder, and his instalment, his rights
+and obligations were inscribed in a "charter". Most of the fiefholders
+were members of the Chou ruling family or members of the clan to which
+this family belonged; other fiefs were given to heads of the allied
+tribes. The fiefholder (feudal lord) regarded the land of his fief, as
+far as he and his clan actually used it, as "clan" land; parts of this
+land he gave to members of his own branch-clan for their use without
+transferring rights of property, thus creating new sub-fiefs and
+sub-lords. In much later times the concept of landed property of a
+_family_ developed, and the whole concept of "clan" disappeared. By 500
+B.C., most feudal lords had retained only a dim memory that they
+originally belonged to the Chi clan of the Chou or to one of the few
+other original clans, and their so-called sub-lords felt themselves as
+members of independent noble families. Slowly, then, the family names of
+later China began to develop, but it took many centuries until, at the
+time of the Han Dynasty, all citizens (slaves excluded) had accepted
+family names. Then, reversely, families grew again into new clans.
+
+Thus we have this picture of the early Chou state: the imperial central
+power established in Shensi, near the present Sian; over a thousand
+feudal states, great and small, often consisting only of a small
+garrison, or sometimes a more considerable one, with the former
+chieftain as feudal lord over it. Around these garrisons the old
+population lived on, in the north the Shang population, farther east and
+south various other peoples and cultures. The conquerors' garrisons were
+like islands in a sea. Most of them formed new towns, walled, with a
+rectangular plan and central crossroads, similar to the European towns
+subsequently formed out of Roman encampments. This town plan has been
+preserved to the present day.
+
+This upper class in the garrisons formed the nobility; it was sharply
+divided from the indigenous population around the towns. The conquerors
+called the population "the black-haired people", and themselves "the
+hundred families". The rest of the town populations consisted often of
+urban Shang people: Shang noble families together with their bondsmen
+and serfs had been given to Chou fiefholders. Such forced resettlements
+of whole populations have remained typical even for much later periods.
+By this method new cities were provided with urban, refined people and,
+most important, with skilled craftsmen and businessmen who assisted in
+building the cities and in keeping them alive. Some scholars believe
+that many resettled Shang urbanites either were or became businessmen;
+incidentally, the same word "Shang" means "merchant", up to the present
+time. The people of the Shang capital lived on and even attempted a
+revolt in collaboration with some Chou people. The Chou rulers
+suppressed this revolt, and then transferred a large part of this
+population to Loyang. They were settled there in a separate community,
+and vestiges of the Shang population were still to be found there in the
+fifth century A.D.: they were entirely impoverished potters, still
+making vessels in the old style.
+
+
+3 _Fusion of Chou and Shang_
+
+The conquerors brought with them, for their own purposes to begin with,
+their rigid patriarchate in the family system and their cult of Heaven
+(t'ien), in which the worship of sun and stars took the principal place;
+a religion most closely related to that of the Turkish peoples and
+derived from them. Some of the Shang popular deities, however, were
+admitted into the official Heaven-worship. Popular deities became
+"feudal lords" under the Heaven-god. The Shang conceptions of the soul
+were also admitted into the Chou religion: the human body housed two
+souls, the personality-soul and the life-soul. Death meant the
+separation of the souls from the body, the life-soul also slowly dying.
+The personality-soul, however, could move about freely and lived as long
+as there were people who remembered it and kept it from hunger by means
+of sacrifices. The Chou systematized this idea and made it into the
+ancestor-worship that has endured down to the present time.
+
+The Chou officially abolished human sacrifices, especially since, as
+former pastoralists, they knew of better means of employing prisoners of
+war than did the more agrarian Shang. The Chou used Shang and other
+slaves as domestic servants for their numerous nobility, and Shang serfs
+as farm labourers on their estates. They seem to have regarded the land
+under their control as "state land" and all farmers as "serfs". A slave,
+here, must be defined as an individual, a piece of property, who was
+excluded from membership in human society but, in later legal texts, was
+included under domestic animals and immobile property, while serfs as a
+class depended upon another class and had certain rights, at least the
+right to work on the land. They could change their masters if the land
+changed its master, but they could not legally be sold individually.
+Thus, the following, still rather hypothetical, picture of the land
+system of the early Chou time emerges: around the walled towns of the
+feudal lords and sub-lords, always in the plains, was "state land" which
+produced millet and more and more wheat. Cultivation was still largely
+"shifting", so that the serfs in groups cultivated more or less
+standardized plots for a year or more and then shifted to other plots.
+During the growing season they lived in huts on the fields; during the
+winter in the towns in adobe houses. In this manner the yearly life
+cycle was divided into two different periods. The produce of the serfs
+supplied the lords, their dependants and the farmers themselves.
+Whenever the lord found it necessary, the serfs had to perform also
+other services for the lord. Farther away from the towns were the
+villages of the "natives", nominally also subjects of the lord. In most
+parts of eastern China, these, too, were agriculturists. They
+acknowledged their dependence by sending "gifts" to the lord in the
+town. Later these gifts became institutionalized and turned into a form
+of tax. The lord's serfs, on the other hand, tended to settle near the
+fields in villages of their own because, with growing urban population,
+the distances from the town to many of the fields became too great. It
+was also at this time of new settlements that a more intensive
+cultivation with a fallow system began. At latest from the sixth century
+B.C. on, the distinctions between both land systems became unclear; and
+the pure serf-cultivation, called by the old texts the "well-field
+system" because eight cultivating families used one common well,
+disappeared in practice.
+
+The actual structure of early Chou administration is difficult to
+ascertain. The "Duke of Chou", brother of the first ruler, Wu Wang,
+later regent during the minority of Wu Wang's son, and certainly one of
+the most influential persons of this time, was the alleged creator of
+the book _Chou-li_ which contains a detailed table of the bureaucracy of
+the country. However, we know now from inscriptions that the bureaucracy
+at the beginning of the Chou period was not much more developed than in
+late Shang time. The _Chou-li_ gave an ideal picture of a bureaucratic
+state, probably abstracted from actual conditions in feudal states
+several centuries later.
+
+The Chou capital, at Sian, was a twin city. In one part lived the
+master-race of the Chou with the imperial court, in the other the
+subjugated population. At the same time, as previously mentioned, the
+Chou built a second capital, Loyang, in the present province of Honan.
+Loyang was just in the middle of the new state, and for the purposes of
+Heaven-worship it was regarded as the centre of the universe, where it
+was essential that the emperor should reside. Loyang was another twin
+city: in one part were the rulers' administrative buildings, in the
+other the transferred population of the Shang capital, probably artisans
+for the most part. The valuable artisans seem all to have been taken
+over from the Shang, for the bronze vessels of the early Chou age are
+virtually identical with those of the Shang age. The shapes of the
+houses also remained unaltered, and probably also the clothing, though
+the Chou brought with them the novelties of felt and woollen fabrics,
+old possessions of their earlier period. The only fundamental material
+change was in the form of the graves: in the Shang age house-like tombs
+were built underground; now great tumuli were constructed in the fashion
+preferred by all steppe peoples.
+
+One professional class was severely hit by the changed
+circumstances--the Shang priesthood. The Chou had no priests. As with
+all the races of the steppes, the head of the family himself performed
+the religious rites. Beyond this there were only shamans for certain
+purposes of magic. And very soon Heaven-worship was combined with the
+family system, the ruler being declared to be the Son of Heaven; the
+mutual relations within the family were thus extended to the religious
+relations with the deity. If, however, the god of Heaven is the father
+of the ruler, the ruler as his son himself offers sacrifice, and so the
+priest becomes superfluous. Thus the priests became "unemployed". Some
+of them changed their profession. They were the only people who could
+read and write, and as an administrative system was necessary they
+obtained employment as scribes. Others withdrew to their villages and
+became village priests. They organized the religious festivals in the
+village, carried out the ceremonies connected with family events, and
+even conducted the exorcism of evil spirits with shamanistic dances;
+they took charge, in short, of everything connected with customary
+observances and morality. The Chou lords were great respecters of
+propriety. The Shang culture had, indeed, been a high one with an
+ancient and highly developed moral system, and the Chou as rough
+conquerors must have been impressed by the ancient forms and tried to
+imitate them. In addition, they had in their religion of Heaven a
+conception of the existence of mutual relations between Heaven and
+Earth: all that went on in the skies had an influence on earth, and vice
+versa. Thus, if any ceremony was "wrongly" performed, it had an evil
+effect on Heaven--there would be no rain, or the cold weather would
+arrive too soon, or some such misfortune would come. It was therefore of
+great importance that everything should be done "correctly". Hence the
+Chou rulers were glad to call in the old priests as performers of
+ceremonies and teachers of morality similar to the ancient Indian rulers
+who needed the Brahmans for the correct performance of all rites. There
+thus came into existence in the early Chou empire a new social group,
+later called "scholars", men who were not regarded as belonging to the
+lower class represented by the subjugated population but were not
+included in the nobility; men who were not productively employed but
+belonged to a sort of independent profession. They became of very great
+importance in later centuries.
+
+In the first centuries of the Chou dynasty the ruling house steadily
+lost power. Some of the emperors proved weak, or were killed at war;
+above all, the empire was too big and its administration too
+slow-moving. The feudal lords and nobles were occupied with their own
+problems in securing the submission of the surrounding villages to their
+garrisons and in governing them; they soon paid little attention to the
+distant central authority. In addition to this, the situation at the
+centre of the empire was more difficult than that of its feudal states
+farther east. The settlements around the garrisons in the east were
+inhabited by agrarian tribes, but the subjugated population around the
+centre at Sian was made up of nomadic tribes of Turks and Mongols
+together with semi-nomadic Tibetans. Sian lies in the valley of the
+river Wei; the riverside country certainly belonged, though perhaps only
+insecurely, to the Shang empire and was specially well adapted to
+agriculture; but its periphery--mountains in the south, steppes in the
+north--was inhabited (until a late period, to some extent to the present
+day) by nomads, who had also been subjugated by the Chou. The Chou
+themselves were by no means strong, as they had been only a small tribe
+and their strength had depended on auxiliary tribes, which had now
+spread over the country as the new nobility and lived far from the Chou.
+The Chou emperors had thus to hold in check the subjugated but warlike
+tribes of Turks and Mongols who lived quite close to their capital. In
+the first centuries of the dynasty they were more or less successful,
+for the feudal lords still sent auxiliary forces. In time, however,
+these became fewer and fewer, because the feudal lords pursued their own
+policy; and the Chou were compelled to fight their own battles against
+tribes that continually rose against them, raiding and pillaging their
+towns. Campaigns abroad also fell mainly on the shoulders of the Chou,
+as their capital lay near the frontier.
+
+It must not be simply assumed, as is often done by the Chinese and some
+of the European historians, that the Turkish and Mongolian tribes were
+so savage or so pugnacious that they continually waged war just for the
+love of it. The problem is much deeper, and to fail to recognize this is
+to fail to understand Chinese history down to the Middle Ages. The
+conquering Chou established their garrisons everywhere, and these
+garrisons were surrounded by the quarters of artisans and by the
+villages of peasants, a process that ate into the pasturage of the
+Turkish and Mongolian nomads. These nomads, as already mentioned,
+pursued agriculture themselves on a small scale, but it occurred to them
+that they could get farm produce much more easily by barter or by
+raiding. Accordingly they gradually gave up cultivation and became pure
+nomads, procuring the needed farm produce from their neighbours. This
+abandonment of agriculture brought them into a precarious situation: if
+for any reason the Chinese stopped supplying or demanded excessive
+barter payment, the nomads had to go hungry. They were then virtually
+driven to get what they needed by raiding. Thus there developed a mutual
+reaction that lasted for centuries. Some of the nomadic tribes living
+between garrisons withdrew, to escape from the growing pressure, mainly
+into the province of Shansi, where the influence of the Chou was weak
+and they were not numerous; some of the nomad chiefs lost their lives in
+battle, and some learned from the Chou lords and turned themselves into
+petty rulers. A number of "marginal" states began to develop; some of
+them even built their own cities. This process of transformation of
+agro-nomadic tribes into "warrior-nomadic" tribes continued over many
+centuries and came to an end in the third or second century B.C.
+
+The result of the three centuries that had passed was a symbiosis
+between the urban aristocrats and the country-people. The rulers of the
+towns took over from the general population almost the whole vocabulary
+of the language which from now on we may call "Chinese". They naturally
+took over elements of the material civilization. The subjugated
+population had, meanwhile, to adjust itself to its lords. In the
+organism that thus developed, with its unified economic system, the
+conquerors became an aristocratic ruling class, and the subjugated
+population became a lower class, with varied elements but mainly a
+peasantry. From now on we may call this society "Chinese"; it has
+endured to the middle of the twentieth century. Most later essential
+societal changes are the result of internal development and not of
+aggression from without.
+
+
+4 _Limitation of the imperial power_
+
+In 771 B.C. an alliance of northern feudal states had attacked the ruler
+in his western capital; in a battle close to the city they had overcome
+and killed him. This campaign appears to have set in motion considerable
+groups from various tribes, so that almost the whole province of Shensi
+was lost. With the aid of some feudal lords who had remained loyal, a
+Chou prince was rescued and conducted eastward to the second capital,
+Loyang, which until then had never been the ruler's actual place of
+residence. In this rescue a lesser feudal prince, ruler of the feudal
+state of Ch'in, specially distinguished himself. Soon afterwards this
+prince, whose domain had lain close to that of the ruler, reconquered a
+great part of the lost territory, and thereafter regarded it as his own
+fief. The Ch'in family resided in the same capital in which the Chou
+had lived in the past, and five hundred years later we shall meet with
+them again as the dynasty that succeeded the Chou.
+
+The new ruler, resident now in Loyang, was foredoomed to impotence. He
+was now in the centre of the country, and less exposed to large-scale
+enemy attacks; but his actual rule extended little beyond the town
+itself and its immediate environment. Moreover, attacks did not entirely
+cease; several times parts of the indigenous population living between
+the Chou towns rose against the towns, even in the centre of the
+country.
+
+Now that the emperor had no territory that could be the basis of a
+strong rule and, moreover, because he owed his position to the feudal
+lords and was thus under an obligation to them, he ruled no longer as
+the chief of the feudal lords but as a sort of sanctified overlord; and
+this was the position of all his successors. A situation was formed at
+first that may be compared with that of Japan down to the middle of the
+nineteenth century. The ruler was a symbol rather than an exerciser of
+power. There had to be a supreme ruler because, in the worship of Heaven
+which was recognized by all the feudal lords, the supreme sacrifices
+could only be offered by the Son of Heaven in person. There could not be
+a number of sons of heaven because there were not a number of heavens.
+The imperial sacrifices secured that all should be in order in the
+country, and that the necessary equilibrium between Heaven and Earth
+should be maintained. For in the religion of Heaven there was a close
+parallelism between Heaven and Earth, and every omission of a sacrifice,
+or failure to offer it in due form, brought down a reaction from Heaven.
+For these religious reasons a central ruler was a necessity for the
+feudal lords. They needed him also for practical reasons. In the course
+of centuries the personal relationship between the various feudal lords
+had ceased. Their original kinship and united struggles had long been
+forgotten. When the various feudal lords proceeded to subjugate the
+territories at a distance from their towns, in order to turn their city
+states into genuine territorial states, they came into conflict with
+each other. In the course of these struggles for power many of the small
+fiefs were simply destroyed. It may fairly be said that not until the
+eighth and seventh centuries B.C. did the old garrison towns became real
+states. In these circumstances the struggles between the feudal states
+called urgently for an arbiter, to settle simple cases, and in more
+difficult cases either to try to induce other feudal lords to intervene
+or to give sanction to the new situation. These were the only governing
+functions of the ruler from the time of the transfer to the second
+capital.
+
+
+5 _Changes in the relative strength of the feudal states_
+
+In these disturbed times China also made changes in her outer frontiers.
+When we speak of frontiers in this connection, we must take little
+account of the European conception of a frontier. No frontier in that
+sense existed in China until her conflict with the European powers. In
+the dogma of the Chinese religion of Heaven, all the countries of the
+world were subject to the Chinese emperor, the Son of Heaven. Thus there
+could be no such thing as other independent states. In practice the
+dependence of various regions on the ruler naturally varied: near the
+centre, that is to say near the ruler's place of residence, it was most
+pronounced; then it gradually diminished in the direction of the
+periphery. The feudal lords of the inner territories were already rather
+less subordinated than at the centre, and those at a greater distance
+scarcely at all; at a still greater distance were territories whose
+chieftains regarded themselves as independent, subject only in certain
+respects to Chinese overlordship. In such a system it is difficult to
+speak of frontiers. In practice there was, of course, a sort of
+frontier, where the influence of the outer feudal lords ceased to exist.
+The development of the original feudal towns into feudal states with
+actual dominion over their territories proceeded, of course, not only in
+the interior of China but also on its borders, where the feudal
+territories had the advantage of more unrestricted opportunities of
+expansion; thus they became more and more powerful. In the south (that
+is to say, in the south of the Chou empire, in the present central
+China) the garrisons that founded feudal states were relatively small
+and widely separated; consequently their cultural system was largely
+absorbed into that of the aboriginal population, so that they developed
+into feudal states with a character of their own. Three of these
+attained special importance--(1) Ch'u, in the neighbourhood of the
+present Chungking and Hankow; (2) Wu, near the present Nanking; and (3)
+Yüeh, near the present Hangchow. In 704 B.C. the feudal prince of Wu
+proclaimed himself "Wang". "Wang", however was the title of the ruler of
+the Chou dynasty. This meant that Wu broke away from the old Chou
+religion of Heaven, according to which there could be only one ruler
+(_wang_) in the world.
+
+At the beginning of the seventh century it became customary for the
+ruler to unite with the feudal lord who was most powerful at the time.
+This feudal lord became a dictator, and had the military power in his
+hands, like the shoguns in nineteenth-century Japan. If there was a
+disturbance of the peace, he settled the matter by military means. The
+first of these dictators was the feudal lord of the state of Ch'i, in
+the present province of Shantung. This feudal state had grown
+considerably through the conquest of the outer end of the peninsula of
+Shantung, which until then had been independent. Moreover, and this was
+of the utmost importance, the state of Ch'i was a trade centre. Much of
+the bronze, and later all the iron, for use in northern China came from
+the south by road and in ships that went up the rivers to Ch'i, where it
+was distributed among the various regions of the north, north-east, and
+north-west. In addition to this, through its command of portions of the
+coast, Ch'i had the means of producing salt, with which it met the needs
+of great areas of eastern China. It was also in Ch'i that money was
+first used. Thus Ch'i soon became a place of great luxury, far
+surpassing the court of the Chou, and Ch'i also became the centre of the
+most developed civilization.
+
+[Illustration: Map 2: The principal feudal States in the feudal epoch.
+(_roughly 722-481 B.C._)]
+
+After the feudal lord of Ch'i, supported by the wealth and power of his
+feudal state, became dictator, he had to struggle not only against other
+feudal lords, but also many times against risings among the most various
+parts of the population, and especially against the nomad tribes in the
+southern part of the present province of Shansi. In the seventh century
+not only Ch'i but the other feudal states had expanded. The regions in
+which the nomad tribes were able to move had grown steadily smaller, and
+the feudal lords now set to work to bring the nomads of their country
+under their direct rule. The greatest conflict of this period was the
+attack in 660 B.C. against the feudal state of Wei, in northern Honan.
+The nomad tribes seem this time to have been Proto-Mongols; they made a
+direct attack on the garrison town and actually conquered it. The
+remnant of the urban population, no more than 730 in number, had to flee
+southward. It is clear from this incident that nomads were still living
+in the middle of China, within the territory of the feudal states, and
+that they were still decidedly strong, though no longer in a position to
+get rid entirely of the feudal lords of the Chou.
+
+The period of the dictators came to an end after about a century,
+because it was found that none of the feudal states was any longer
+strong enough to exercise control over all the others. These others
+formed alliances against which the dictator was powerless. Thus this
+period passed into the next, which the Chinese call the period of the
+Contending States.
+
+
+6 _Confucius_
+
+After this survey of the political history we must consider the
+intellectual history of this period, for between 550 and 280 B.C. the
+enduring fundamental influences in the Chinese social order and in the
+whole intellectual life of China had their original. We saw how the
+priests of the earlier dynasty of the Shang developed into the group of
+so-called "scholars". When the Chou ruler, after the move to the second
+capital, had lost virtually all but his religious authority, these
+"scholars" gained increased influence. They were the specialists in
+traditional morals, in sacrifices, and in the organization of festivals.
+The continually increasing ritualism at the court of the Chou called for
+more and more of these men. The various feudal lords also attracted
+these scholars to their side, employed them as tutors for their
+children, and entrusted them with the conduct of sacrifices and
+festivals.
+
+China's best-known philosopher, Confucius (Chinese: K'ung Tzŭ), was one
+of these scholars. He was born in 551 B.C. in the feudal state Lu in the
+present province of Shantung. In Lu and its neighbouring state Sung,
+institutions of the Shang had remained strong; both states regarded
+themselves as legitimate heirs of Shang culture, and many traces of
+Shang culture can be seen in Confucius's political and ethical ideas. He
+acquired the knowledge which a scholar had to possess, and then taught
+in the families of nobles, also helping in the administration of their
+properties. He made several attempts to obtain advancement, either in
+vain or with only a short term of employment ending in dismissal. Thus
+his career was a continuing pilgrimage from one noble to another, from
+one feudal lord to another, accompanied by a few young men, sons of
+scholars, who were partly his pupils and partly his servants. Many of
+these disciples seem to have been "illegitimate" sons of noblemen, i.e.
+sons of concubines, and Confucius's own family seems to have been of the
+same origin. In the strongly patriarchal and patrilinear system of the
+Chou and the developing primogeniture, children of secondary wives had a
+lower social status. Ultimately Confucius gave up his wanderings,
+settled in his home town of Lu, and there taught his disciples until his
+death in 479 B.C.
+
+Such was briefly the life of Confucius. His enemies claim that he was a
+political intriguer, inciting the feudal lords against each other in the
+course of his wanderings from one state to another, with the intention
+of somewhere coming into power himself. There may, indeed, be some truth
+in that.
+
+Confucius's importance lies in the fact that he systematized a body of
+ideas, not of his own creation, and communicated it to a circle of
+disciples. His teachings were later set down in writing and formed,
+right down to the twentieth century, the moral code of the upper classes
+of China. Confucius was fully conscious of his membership of a social
+class whose existence was tied to that of the feudal lords. With their
+disappearance, his type of scholar would become superfluous. The common
+people, the lower class, was in his view in an entirely subordinate
+position. Thus his moral teaching is a code for the ruling class.
+Accordingly it retains almost unaltered the elements of the old cult of
+Heaven, following the old tradition inherited from the northern peoples.
+For him Heaven is not an arbitrarily governing divine tyrant, but the
+embodiment of a system of legality. Heaven does not act independently,
+but follows a universal law, the so-called "Tao". Just as sun, moon, and
+stars move in the heavens in accordance with law, so man should conduct
+himself on earth in accord with the universal law, not against it. The
+ruler should not actively intervene in day-to-day policy, but should
+only act by setting an example, like Heaven; he should observe the
+established ceremonies, and offer all sacrifices in accordance with the
+rites, and then all else will go well in the world. The individual, too,
+should be guided exactly in his life by the prescriptions of the rites,
+so that harmony with the law of the universe may be established.
+
+A second idea of the Confucian system came also from the old conceptions
+of the Chou conquerors, and thus originally from the northern peoples.
+This is the patriarchal idea, according to which the family is the cell
+of society, and at the head of the family stands the eldest male adult
+as a sort of patriarch. The state is simply an extension of the family,
+"state", of course, meaning simply the class of the feudal lords (the
+"chün-tzŭ"). And the organization of the family is also that of the
+world of the gods. Within the family there are a number of ties, all of
+them, however, one-sided: that of father to son (the son having to obey
+the father unconditionally and having no rights of his own;) that of
+husband to wife (the wife had no rights); that of elder to younger
+brother. An extension of these is the association of friend with friend,
+which is conceived as an association between an elder and a younger
+brother. The final link, and the only one extending beyond the family
+and uniting it with the state, is the association of the ruler with the
+subject, a replica of that between father and son. The ruler in turn is
+in the position of son to Heaven. Thus in Confucianism the cult of
+Heaven, the family system, and the state are welded into unity. The
+frictionless functioning of this whole system is effected by everyone
+adhering to the rites, which prescribe every important action. It is
+necessary, of course, that in a large family, in which there may be up
+to a hundred persons living together, there shall be a precisely
+established ordering of relationships between individuals if there is
+not to be continual friction. Since the scholars of Confucius's type
+specialized in the knowledge and conduct of ceremonies, Confucius gave
+ritualism a correspondingly important place both in spiritual and in
+practical life.
+
+So far as we have described it above, the teaching of Confucius was a
+further development of the old cult of Heaven. Through bitter
+experience, however, Confucius had come to realize that nothing could be
+done with the ruling house as it existed in his day. So shadowy a figure
+as the Chou ruler of that time could not fulfil what Confucius required
+of the "Son of Heaven". But the opinions of students of Confucius's
+actual ideas differ. Some say that in the only book in which he
+personally had a hand, the so-called _Annals of Spring and Autumn_, he
+intended to set out his conception of the character of a true emperor;
+others say that in that book he showed how he would himself have acted
+as emperor, and that he was only awaiting an opportunity to make himself
+emperor. He was called indeed, at a later time, the "uncrowned ruler".
+In any case, the _Annals of Spring and Autumn_ seem to be simply a dry
+work of annals, giving the history of his native state of Lu on the
+basis of the older documents available to him. In his text, however,
+Confucius made small changes by means of which he expressed criticism or
+recognition; in this way he indirectly made known how in his view a
+ruler should act or should not act. He did not shrink from falsifying
+history, as can today be demonstrated. Thus on one occasion a ruler had
+to flee from a feudal prince, which in Confucius's view was impossible
+behaviour for the ruler; accordingly he wrote instead that the ruler
+went on a hunting expedition. Elsewhere he tells of an eclipse of the
+sun on a certain day, on which in fact there was no eclipse. By writing
+of an eclipse he meant to criticize the way a ruler had acted, for the
+sun symbolized the ruler, and the eclipse meant that the ruler had not
+been guided by divine illumination. The demonstration that the _Annals
+of Spring and Autumn_ can only be explained in this way was the
+achievement some thirty-five years ago of Otto Franke, and through this
+discovery Confucius's work, which the old sinologists used to describe
+as a dry and inadequate book, has become of special value to us. The
+book ends with the year 481 B.C., and in spite of its distortions it is
+the principal source for the two-and-a-half centuries with which it
+deals.
+
+Rendered alert by this experience, we are able to see and to show that
+most of the other later official works of history follow the example of
+the _Annals of Spring and Autumn_ in containing things that have been
+deliberately falsified. This is especially so in the work called
+_T'ung-chien kang-mu_, which was the source of the history of the
+Chinese empire translated into French by de Mailla.
+
+Apart from Confucius's criticism of the inadequate capacity of the
+emperor of his day, there is discernible, though only in the form of
+cryptic hints, a fundamentally important progressive idea. It is that a
+nobleman (chün-tzŭ) should not be a member of the ruling _élite_ by
+right of birth alone, but should be a man of superior moral qualities.
+From Confucius on, "chün-tzŭ" became to mean "a gentleman".
+Consequently, a country should not be ruled by a dynasty based on
+inheritance through birth, but by members of the nobility who show
+outstanding moral qualification for rulership. That is to say, the rule
+should pass from the worthiest to the worthiest, the successor first
+passing through a period of probation as a minister of state. In an
+unscrupulous falsification of the tradition, Confucius declared that
+this principle was followed in early times. It is probably safe to
+assume that Confucius had in view here an eventual justification of
+claims to rulership of his own.
+
+Thus Confucius undoubtedly had ideas of reform, but he did not interfere
+with the foundations of feudalism. For the rest, his system consists
+only of a social order and a moral teaching. Metaphysics, logic,
+epistemology, i.e. branches of philosophy which played so great a part
+in the West, are of no interest to him. Nor can he be described as the
+founder of a religion; for the cult of Heaven of which he speaks and
+which he takes over existed in exactly the same form before his day. He
+is merely the man who first systematized those notions. He had no
+successes in his lifetime and gained no recognition; nor did his
+disciples or their disciples gain any general recognition; his work did
+not become of importance until some three hundred years after his death,
+when in the second century B.C. his teaching was adjusted to the new
+social conditions: out of a moral system for the decaying feudal society
+of the past centuries developed the ethic of the rising social order of
+the gentry. The gentry (in much the same way as the European
+bourgeoisie) continually claimed that there should be access for every
+civilized citizen to the highest places in the social pyramid, and the
+rules of Confucianism became binding on every member of society if he
+was to be considered a gentleman. Only then did Confucianism begin to
+develop into the imposing system that dominated China almost down to the
+present day. Confucianism did not become a religion. It was comparable
+to the later Japanese Shintoism, or to a group of customs among us which
+we all observe, if we do not want to find ourselves excluded from our
+community, but which we should never describe as religion. We stand up
+when the national anthem is played, we give precedency to older people,
+we erect war memorials and decorate them with flowers, and by these and
+many other things show our sense of belonging. A similar but much more
+conscious and much more powerful part was played by Confucianism in the
+life of the average Chinese, though he was not necessarily interested in
+philosophical ideas.
+
+While the West has set up the ideal of individualism and is suffering
+now because it no longer has any ethical system to which individuals
+voluntarily submit; while for the Indians the social problem consisted
+in the solving of the question how every man could be enabled to live
+his life with as little disturbance as possible from his fellow-men,
+Confucianism solved the problem of how families with groups of hundreds
+of members could live together in peace and co-operation in a densely
+populated country. Everyone knew his position in the family and so, in a
+broader sense, in the state; and this prescribed his rights and duties.
+We may feel that the rules to which he was subjected were pedantic; but
+there was no limit to their effectiveness: they reduced to a minimum the
+friction that always occurs when great masses of people live close
+together; they gave Chinese society the strength through which it has
+endured; they gave security to its individuals. China's first real
+social crisis after the collapse of feudalism, that is to say, after the
+fourth or third century B.C., began only in the present century with the
+collapse of the social order of the gentry and the breakdown of the
+family system.
+
+
+7 _Lao Tzŭ_
+
+In eighteenth-century Europe Confucius was the only Chinese philosopher
+held in regard; in the last hundred years, the years of Europe's
+internal crisis, the philosopher Lao Tzŭ steadily advanced in repute, so
+that his book was translated almost a hundred times into various
+European languages. According to the general view among the Chinese, Lao
+Tzŭ was an older contemporary of Confucius; recent Chinese and Western
+research (A. Waley; H. H. Dubs) has contested this view and places Lao
+Tzŭ in the latter part of the fourth century B.C., or even later.
+Virtually nothing at all is known about his life; the oldest biography
+of Lao Tzŭ, written about 100 B.C., says that he lived as an official at
+the ruler's court and, one day, became tired of the life of an official
+and withdrew from the capital to his estate, where he died in old age.
+This, too, may be legendary, but it fits well into the picture given to
+us by Lao Tzŭ's teaching and by the life of his later followers. From
+the second century A.D., that is to say at least four hundred years
+after his death, there are legends of his migrating to the far west.
+Still later narratives tell of his going to Turkestan (where a temple
+was actually built in his honour in the Medieval period); according to
+other sources he travelled as far as India or Sogdiana (Samarkand and
+Bokhara), where according to some accounts he was the teacher or
+forerunner of Buddha, and according to others of Mani, the founder of
+Manichaeism. For all this there is not a vestige of documentary
+evidence.
+
+Lao Tzŭ's teaching is contained in a small book, the _Tao Tê Ching_, the
+"Book of the World Law and its Power". The book is written in quite
+simple language, at times in rhyme, but the sense is so vague that
+countless versions, differing radically from each other, can be based on
+it, and just as many translations are possible, all philologically
+defensible. This vagueness is deliberate.
+
+Lao Tzŭ's teaching is essentially an effort to bring man's life on earth
+into harmony with the life and law of the universe (Tao). This was also
+Confucius's purpose. But while Confucius set out to attain that purpose
+in a sort of primitive scientific way, by laying down a number of rules
+of human conduct, Lao Tzŭ tries to attain his ideal by an intuitive,
+emotional method. Lao Tzŭ is always described as a mystic, but perhaps
+this is not entirely appropriate; it must be borne in mind that in his
+time the Chinese language, spoken and written, still had great
+difficulties in the expression of ideas. In reading Lao Tzŭ's book we
+feel that he is trying to express something for which the language of
+his day was inadequate; and what he wanted to express belonged to the
+emotional, not the intellectual, side of the human character, so that
+any perfectly clear expression of it in words was entirely impossible.
+It must be borne in mind that the Chinese language lacks definite word
+categories like substantive, adjective, adverb, or verb; any word can be
+used now in one category and now in another, with a few exceptions; thus
+the understanding of a combination like "white horse" formed a difficult
+logical problem for the thinker of the fourth century B.C.: did it mean
+"white" plus "horse"? Or was "white horse" no longer a horse at all but
+something quite different?
+
+Confucius's way of bringing human life into harmony with the life of the
+universe was to be a process of assimilating Man as a social being, Man
+in his social environment, to Nature, and of so maintaining his activity
+within the bounds of the community. Lao Tzŭ pursues another path, the
+path for those who feel disappointed with life in the community. A
+Taoist, as a follower of Lao Tzŭ is called, withdraws from all social
+life, and carries out none of the rites and ceremonies which a man of
+the upper class should observe throughout the day. He lives in
+self-imposed seclusion, in an elaborate primitivity which is often
+described in moving terms that are almost convincing of actual
+"primitivity". Far from the city, surrounded by Nature, the Taoist lives
+his own life, together with a few friends and his servants, entirely
+according to his nature. His own nature, like everything else,
+represents for him a part of the Tao, and the task of the individual
+consists in the most complete adherence to the Tao that is conceivable,
+as far as possible performing no act that runs counter to the Tao. This
+is the main element of Lao Tzŭ's doctrine, the doctrine of _wu-wei_,
+"passive achievement".
+
+Lao Tzŭ seems to have thought that this doctrine could be applied to the
+life of the state. He assumed that an ideal life in society was possible
+if everyone followed his own nature entirely and no artificial
+restrictions were imposed. Thus he writes: "The more the people are
+forbidden to do this and that, the poorer will they be. The more sharp
+weapons the people possess, the more will darkness and bewilderment
+spread through the land. The more craft and cunning men have, the more
+useless and pernicious contraptions will they invent. The more laws and
+edicts are imposed, the more thieves and bandits there will be. 'If I
+work through Non-action,' says the Sage, 'the people will transform
+themselves.'"[1] Thus according to Lao Tzŭ, who takes the existence of a
+monarchy for granted, the ruler must treat his subjects as follows: "By
+emptying their hearts of desire and their minds of envy, and by filling
+their stomachs with what they need; by reducing their ambitions and by
+strengthening their bones and sinews; by striving to keep them without
+the knowledge of what is evil and without cravings. Thus are the crafty
+ones given no scope for tempting interference. For it is by Non-action
+that the Sage governs, and nothing is really left uncontrolled."[2]
+
+    [1] _The Way of Acceptance_: a new version of Lao Tzŭ's _Tao Tê
+    Ching_, by Hermon Ould (Dakers, 1946), Ch. 57.
+
+    [2] _The Way of Acceptance_, Ch. 3.
+
+Lao Tzŭ did not live to learn that such rule of good government would be
+followed by only one sort of rulers--dictators; and as a matter of fact
+the "Legalist theory" which provided the philosophic basis for
+dictatorship in the third century B.C. was attributable to Lao Tzŭ. He
+was not thinking, however, of dictatorship; he was an individualistic
+anarchist, believing that if there were no active government all men
+would be happy. Then everyone could attain unity with Nature for
+himself. Thus we find in Lao Tzŭ, and later in all other Taoists, a
+scornful repudiation of all social and official obligations. An answer
+that became famous was given by the Taoist Chuang Tzŭ (see below) when
+it was proposed to confer high office in the state on him (the story may
+or may not be true, but it is typical of Taoist thought): "I have
+heard," he replied, "that in Ch'u there is a tortoise sacred to the
+gods. It has now been dead for 3,000 years, and the king keeps it in a
+shrine with silken cloths, and gives it shelter in the halls of a
+temple. Which do you think that tortoise would prefer--to be dead and
+have its vestigial bones so honoured, or to be still alive and dragging
+its tail after it in the mud?" the officials replied: "No doubt it would
+prefer to be alive and dragging its tail after it in the mud." Then
+spoke Chuang Tzŭ: "Begone! I, too, would rather drag my tail after me in
+the mud!" (Chuang Tzŭ 17, 10.)
+
+The true Taoist withdraws also from his family. Typical of this is
+another story, surely apocryphal, from Chuang Tzŭ (Ch. 3, 3). At the
+death of Lao Tzŭ a disciple went to the family and expressed his
+sympathy quite briefly and formally. The other disciples were
+astonished, and asked his reason. He said: "Yes, at first I thought that
+he was our man, but he is not. When I went to grieve, the old men were
+bewailing him as though they were bewailing a son, and the young wept as
+though they were mourning a mother. To bind them so closely to himself,
+he must have spoken words which he should not have spoken, and wept
+tears which he should not have wept. That, however, is a falling away
+from the heavenly nature."
+
+Lao Tzŭ's teaching, like that of Confucius, cannot be described as
+religion; like Confucius's, it is a sort of social philosophy, but of
+irrationalistic character. Thus it was quite possible, and later it
+became the rule, for one and the same person to be both Confucian and
+Taoist. As an official and as the head of his family, a man would think
+and act as a Confucian; as a private individual, when he had retired far
+from the city to live in his country mansion (often modestly described
+as a cave or a thatched hut), or when he had been dismissed from his
+post or suffered some other trouble, he would feel and think as a
+Taoist. In order to live as a Taoist it was necessary, of course, to
+possess such an estate, to which a man could retire with his servants,
+and where he could live without himself doing manual work. This
+difference between the Confucian and the Taoist found a place in the
+works of many Chinese poets. I take the following quotation from an
+essay by the statesman and poet Ts'ao Chih, of the end of the second
+century A.D.:
+
+"Master Mysticus lived in deep seclusion on a mountain in the
+wilderness; he had withdrawn as in flight from the world, desiring to
+purify his spirit and give rest to his heart. He despised official
+activity, and no longer maintained any relations with the world; he
+sought quiet and freedom from care, in order in this way to attain
+everlasting life. He did nothing but send his thoughts wandering between
+sky and clouds, and consequently there was nothing worldly that could
+attract and tempt him.
+
+[Illustration: 1 Painted pottery from Kansu: Neolithic. _In the
+collection of the Museum für Völkerkunde, Berlin_.]
+
+[Illustration: 2 Ancient bronze tripod found at Anyang. _From G. Ecke:
+Frühe chinesische Bronzen aus der Sammlung Oskar Trautmann, Peking 1939,
+plate 3._]
+
+"When Mr. Rationalist heard of this man, he desired to visit him, in
+order to persuade him to alter his views. He harnessed four horses, who
+could quickly traverse the plain, and entered his light fast carriage.
+He drove through the plain, leaving behind him the ruins of abandoned
+settlements; he entered the boundless wilderness, and finally reached
+the dwelling of Master Mysticus. Here there was a waterfall on one side,
+and on the other were high crags; at the back a stream flowed deep down
+in its bed, and in front was an odorous wood. The master wore a white
+doeskin cap and a striped fox-pelt. He came forward from a cave buried
+in the mountain, leaned against the tall crag, and enjoyed the prospect
+of wild nature. His ideas floated on the breezes, and he looked as if
+the wide spaces of the heavens and the countries of the earth were too
+narrow for him; as if he was going to fly but had not yet left the
+ground; as if he had already spread his wings but wanted to wait a
+moment. Mr. Rationalist climbed up with the aid of vine shoots, reached
+the top of the crag, and stepped up to him, saying very respectfully:
+
+"'I have heard that a man of nobility does not flee from society, but
+seeks to gain fame; a man of wisdom does not swim against the current,
+but seeks to earn repute. You, however, despise the achievements of
+civilization and culture; you have no regard for the splendour of
+philanthropy and justice; you squander your powers here in the
+wilderness and neglect ordered relations between man....'"
+
+Frequently Master Mysticus and Mr. Rationalist were united in a single
+person. Thus, Shih Ch'ung wrote in an essay on himself:
+
+"In my youth I had great ambition and wanted to stand out above the
+multitude. Thus it happened that at a little over twenty years of age I
+was already a court official; I remained in the service for twenty-five
+years. When I was fifty I had to give up my post because of an
+unfortunate occurrence.... The older I became, the more I appreciated
+the freedom I had acquired; and as I loved forest and plain, I retired
+to my villa. When I built this villa, a long embankment formed the
+boundary behind it; in front the prospect extended over a clear canal;
+all around grew countless cypresses, and flowing water meandered round
+the house. There were pools there, and outlook towers; I bred birds and
+fishes. In my harem there were always good musicians who played dance
+tunes. When I went out I enjoyed nature or hunted birds and fished. When
+I came home, I enjoyed playing the lute or reading; I also liked to
+concoct an elixir of life and to take breathing exercises,[3] because I
+did not want to die, but wanted one day to lift myself to the skies,
+like an immortal genius. Suddenly I was drawn back into the official
+career, and became once more one of the dignitaries of the Emperor."
+
+    [3] Both Taoist practices.
+
+Thus Lao Tzŭ's individualist and anarchist doctrine was not suited to
+form the basis of a general Chinese social order, and its employment in
+support of dictatorship was certainly not in the spirit of Lao Tzŭ.
+Throughout history, however, Taoism remained the philosophic attitude of
+individuals of the highest circle of society; its real doctrine never
+became popularly accepted; for the strong feeling for nature that
+distinguishes the Chinese, and their reluctance to interfere in the
+sanctified order of nature by technical and other deliberate acts, was
+not actually a result of Lao Tzŭ's teaching, but one of the fundamentals
+from which his ideas started.
+
+If the date assigned to Lao Tzŭ by present-day research (the fourth
+instead of the sixth century B.C.) is correct, he was more or less
+contemporary with Chuang Tzŭ, who was probably the most gifted poet
+among the Chinese philosophers and Taoists. A thin thread extends from
+them as far as the fourth century A.D.: Huai-nan Tzŭ, Chung-ch'ang
+T'ung, Yüan Chi (210-263), Liu Ling (221-300), and T'ao Ch'ien
+(365-427), are some of the most eminent names of Taoist philosophers.
+After that the stream of original thought dried up, and we rarely find a
+new idea among the late Taoists. These gentlemen living on their estates
+had acquired a new means of expressing their inmost feelings: they wrote
+poetry and, above all, painted. Their poems and paintings contain in a
+different outward form what Lao Tzŭ had tried to express with the
+inadequate means of the language of his day. Thus Lao Tzŭ's teaching has
+had the strongest influence to this day in this field, and has inspired
+creative work which is among the finest achievements of mankind.
+
+
+
+
+Chapter Four
+
+THE CONTENDING STATES (481-256 B.C.): DISSOLUTION OF THE FEUDAL SYSTEM
+
+
+1 _Social and military changes_
+
+The period following that of the Chou dictatorships is known as that of
+the Contending States. Out of over a thousand states, fourteen remained,
+of which, in the period that now followed, one after another
+disappeared, until only one remained. This period is the fullest, or one
+of the fullest, of strife in all Chinese history. The various feudal
+states had lost all sense of allegiance to the ruler, and acted in
+entire independence. It is a pure fiction to speak of a Chinese State in
+this period; the emperor had no more power than the ruler of the Holy
+Roman Empire in the late medieval period of Europe, and the so-called
+"feudal states" of China can be directly compared with the developing
+national states of Europe. A comparison of this period with late
+medieval Europe is, indeed, of highest interest. If we adopt a political
+system of periodization, we might say that around 500 B.C. the unified
+feudal state of the first period of Antiquity came to an end and the
+second, a period of the national states began, although formally, the
+feudal system continued and the national states still retained many
+feudal traits.
+
+As none of these states was strong enough to control and subjugate the
+rest, alliances were formed. The most favoured union was the north-south
+axis; it struggled against an east-west league. The alliances were not
+stable but broke up again and again through bribery or intrigue, which
+produced new combinations. We must confine ourselves to mentioning the
+most important of the events that took place behind this military
+façade.
+
+Through the continual struggles more and more feudal lords lost their
+lands; and not only they, but the families of the nobles dependent on
+them, who had received so-called sub-fiefs. Some of the landless nobles
+perished; some offered their services to the remaining feudal lords as
+soldiers or advisers. Thus in this period we meet with a large number of
+migratory politicians who became competitors of the wandering scholars.
+Both these groups recommended to their lord ways and means of gaining
+victory over the other feudal lords, so as to become sole ruler. In
+order to carry out their plans the advisers claimed the rank of a
+Minister or Chancellor.
+
+Realistic though these advisers and their lords were in their thinking,
+they did not dare to trample openly on the old tradition. The emperor
+might in practice be a completely powerless figurehead, but he belonged
+nevertheless, according to tradition, to a family of divine origin,
+which had obtained its office not merely by the exercise of force but
+through a "divine mandate". Accordingly, if one of the feudal lords
+thought of putting forward a claim to the imperial throne, he felt
+compelled to demonstrate that his family was just as much of divine
+origin as the emperor's, and perhaps of remoter origin. In this matter
+the travelling "scholars" rendered valuable service as manufacturers of
+genealogical trees. Each of the old noble families already had its
+family tree, as an indispensable requisite for the sacrifices to
+ancestors. But in some cases this tree began as a branch of that of the
+imperial family: this was the case of the feudal lords who were of
+imperial descent and whose ancestors had been granted fiefs after the
+conquest of the country. Others, however, had for their first ancestor a
+local deity long worshipped in the family's home country, such as the
+ancient agrarian god Huang Ti, or the bovine god Shen Nung. Here the
+"scholars" stepped in, turning the local deities into human beings and
+"emperors". This suddenly gave the noble family concerned an imperial
+origin. Finally, order was brought into this collection of ancient
+emperors. They were arranged and connected with each other in
+"dynasties" or in some other "historical" form. Thus at a stroke Huang
+Ti, who about 450 B.C. had been a local god in the region of southern
+Shansi, became the forefather of almost all the noble families,
+including that of the imperial house of the Chou. Needless to say, there
+would be discrepancies between the family trees constructed by the
+various scholars for their lords, and later, when this problem had lost
+its political importance, the commentators laboured for centuries on the
+elaboration of an impeccable system of "ancient emperors"--and to this
+day there are sinologists who continue to present these humanized gods
+as historical personalities.
+
+In the earlier wars fought between the nobles they were themselves the
+actual combatants, accompanied only by their retinue. As the struggles
+for power grew in severity, each noble hired such mercenaries as he
+could, for instance the landless nobles just mentioned. Very soon it
+became the custom to arm peasants and send them to the wars. This
+substantially increased the armies. The numbers of soldiers who were
+killed in particular battles may have been greatly exaggerated (in a
+single battle in 260 B.C., for instance, the number who lost their lives
+was put at 450,000, a quite impossible figure); but there must have been
+armies of several thousand men, perhaps as many as 10,000. The
+population had grown considerably by that time.
+
+The armies of the earlier period consisted mainly of the nobles in their
+war chariots; each chariot surrounded by the retinue of the nobleman.
+Now came large troops of commoners as infantry as well, drawn from the
+peasant population. To these, cavalry were first added in the fifth
+century B.C., by the northern state of Chao (in the present Shansi),
+following the example of its Turkish and Mongol neighbours. The general
+theory among ethnologists is that the horse was first harnessed to a
+chariot, and that riding came much later; but it is my opinion that
+riders were known earlier, but could not be efficiently employed in war
+because the practice had not begun of fighting in disciplined troops of
+horsemen, and the art had not been learnt of shooting accurately with
+the bow from the back of a galloping horse, especially shooting to the
+rear. In any case, its cavalry gave the feudal state of Chao a military
+advantage for a short time. Soon the other northern states copied it one
+after another--especially Ch'in, in north-west China. The introduction
+of cavalry brought a change in clothing all over China, for the former
+long skirt-like garb could not be worn on horseback. Trousers and the
+riding-cap were introduced from the north.
+
+The new technique of war made it important for every state to possess as
+many soldiers as possible, and where it could to reduce the enemy's
+numbers. One result of this was that wars became much more sanguinary;
+another was that men in other countries were induced to immigrate and
+settle as peasants, so that the taxes they paid should provide the means
+for further recruitment of soldiers. In the state of Ch'in, especially,
+the practice soon started of using the whole of the peasantry
+simultaneously as a rough soldiery. Hence that state was particularly
+anxious to attract peasants in large numbers.
+
+
+2 _Economic changes_
+
+In the course of the wars much land of former noblemen had become free.
+Often the former serfs had then silently become landowners. Others had
+started to cultivate empty land in the area inhabited by the indigenous
+population and regarded this land, which they themselves had made
+fertile, as their private family property. There was, in spite of the
+growth of the population, still much cultivable land available.
+Victorious feudal lords induced farmers to come to their territory and
+to cultivate the wasteland. This is a period of great migrations,
+internal and external. It seems that from this period on not only
+merchants but also farmers began to migrate southwards into the area of
+the present provinces of Kwangtung and Kwangsi and as far as Tonking.
+
+As long as the idea that all land belonged to the great clans of the
+Chou prevailed, sale of land was inconceivable; but when individual
+family heads acquired land or cultivated new land, they regarded it as
+their natural right to dispose of the land as they wished. From now on
+until the end of the medieval period, the family head as representative
+of the family could sell or buy land. However, the land belonged to the
+family and not to him as a person. This development was favoured by the
+spread of money. In time land in general became an asset with a market
+value and could be bought and sold.
+
+Another important change can be seen from this time on. Under the feudal
+system of the Chou strict primogeniture among the nobility existed: the
+fief went to the oldest son by the main wife. The younger sons were
+given independent pieces of land with its inhabitants as new, secondary
+fiefs. With the increase in population there was no more such land that
+could be set up as a new fief. From now on, primogeniture was retained
+in the field of ritual and religion down to the present time: only the
+oldest son of the main wife represents the family in the ancestor
+worship ceremonies; only the oldest son of the emperor could become his
+successor. But the landed property from now on was equally divided among
+all sons. Occasionally the oldest son was given some extra land to
+enable him to pay the expenses for the family ancestral worship. Mobile
+property, on the other side, was not so strictly regulated and often the
+oldest son was given preferential treatment in the inheritance.
+
+The technique of cultivation underwent some significant changes. The
+animal-drawn plough seems to have been invented during this period, and
+from now on, some metal agricultural implements like iron sickles and
+iron plough-shares became more common. A fallow system was introduced so
+that cultivation became more intensive. Manuring of fields was already
+known in Shang time. It seems that the consumption of meat decreased
+from this period on: less mutton and beef were eaten. Pig and dog
+became the main sources of meat, and higher consumption of beans made up
+for the loss of proteins. All this indicates a strong population
+increase. We have no statistics for this period, but by 400 B.C. it is
+conceivable that the population under the control of the various
+individual states comprised something around twenty-five millions. The
+eastern plains emerge more and more as centres of production.
+
+The increased use of metal and the invention of coins greatly stimulated
+trade. Iron which now became quite common, was produced mainly in
+Shansi, other metals in South China. But what were the traders to do
+with their profits? Even later in China, and almost down to recent
+times, it was never possible to hoard large quantities of money.
+Normally the money was of copper, and a considerable capital in the form
+of copper coin took up a good deal of room and was not easy to conceal.
+If anyone had much money, everyone in his village knew it. No one dared
+to hoard to any extent for fear of attracting bandits and creating
+lasting insecurity. On the other hand the merchants wanted to attain the
+standard of living which the nobles, the landowners, used to have. Thus
+they began to invest their money in land. This was all the easier for
+them since it often happened that one of the lesser nobles or a peasant
+fell deeply into debt to a merchant and found himself compelled to give
+up his land in payment of the debt.
+
+Soon the merchants took over another function. So long as there had been
+many small feudal states, and the feudal lords had created lesser lords
+with small fiefs, it had been a simple matter for the taxes to be
+collected, in the form of grain, from the peasants through the agents of
+the lesser lords. Now that there were only a few great states in
+existence, the old system was no longer effectual. This gave the
+merchants their opportunity. The rulers of the various states entrusted
+the merchants with the collection of taxes, and this had great
+advantages for the ruler: he could obtain part of the taxes at once, as
+the merchant usually had grain in stock, or was himself a landowner and
+could make advances at any time. Through having to pay the taxes to the
+merchant, the village population became dependent on him. Thus the
+merchants developed into the first administrative officials in the
+provinces.
+
+In connection with the growth of business, the cities kept on growing.
+It is estimated that at the beginning of the third century, the city of
+Lin-chin, near the present Chi-nan in Shantung, had a population of
+210,000 persons. Each of its walls had a length of 4,000 metres; thus,
+it was even somewhat larger than the famous city of Lo-yang, capital of
+China during the Later Han dynasty, in the second century A.D. Several
+other cities of this period have been recently excavated and must have
+had populations far above 10,000 persons. There were two types of
+cities: the rectangular, planned city of the Chou conquerors, a seat of
+administration; and the irregularly shaped city which grew out of a
+market place and became only later an administrative centre. We do not
+know much about the organization and administration of these cities, but
+they seem to have had considerable independence because some of them
+issued their own city coins.
+
+When these cities grew, the food produced in the neighbourhood of the
+towns no longer sufficed for their inhabitants. This led to the building
+of roads, which also facilitated the transport of supplies for great
+armies. These roads mainly radiated from the centre of consumption into
+the surrounding country, and they were less in use for communication
+between one administrative centre and another. For long journeys the
+rivers were of more importance, since transport by wagon was always
+expensive owing to the shortage of draught animals. Thus we see in this
+period the first important construction of canals and a development of
+communications. With the canal construction was connected the
+construction of irrigation and drainage systems, which further promoted
+agricultural production. The cities were places in which often great
+luxury developed; music, dance, and other refinements were cultivated;
+but the cities also seem to have harboured considerable industries.
+Expensive and technically superior silks were woven; painters decorated
+the walls of temples and palaces; blacksmiths and bronze-smiths produced
+beautiful vessels and implements. It seems certain that the art of
+casting iron and the beginnings of the production of steel were already
+known at this time. The life of the commoners in these cities was
+regulated by laws; the first codes are mentioned in 536 B.C. By the end
+of the fourth century B.C. a large body of criminal law existed,
+supposedly collected by Li K'uei, which became the foundation of all
+later Chinese law. It seems that in this period the states of China
+moved quickly towards a money economy, and an observer to whom the later
+Chinese history was not known could have predicted the eventual
+development of a capitalistic society out of the apparent tendencies.
+
+So far nothing has been said in these chapters about China's foreign
+policy. Since the central ruling house was completely powerless, and the
+feudal lords were virtually independent rulers, little can be said, of
+course, about any "Chinese" foreign policy. There is less than ever to
+be said about it for this period of the "Contending States". Chinese
+merchants penetrated southwards, and soon settlers moved in increasing
+numbers into the plains of the south-east. In the north, there were
+continual struggles with Turkish and Mongol tribes, and about 300 B.C.
+the name of the Hsiung-nu (who are often described as "The Huns of the
+Far East") makes its first appearance. It is known that these northern
+peoples had mastered the technique of horseback warfare and were far
+ahead of the Chinese, although the Chinese imitated their methods. The
+peasants of China, as they penetrated farther and farther north, had to
+be protected by their rulers against the northern peoples, and since the
+rulers needed their armed forces for their struggles within China, a
+beginning was made with the building of frontier walls, to prevent
+sudden raids of the northern peoples against the peasant settlements.
+Thus came into existence the early forms of the "Great Wall of China".
+This provided for the first time a visible frontier between Chinese and
+non-Chinese. Along this frontier, just as by the walls of towns, great
+markets were held at which Chinese peasants bartered their produce to
+non-Chinese nomads. Both partners in this trade became accustomed to it
+and drew very substantial profits from it. We even know the names of
+several great horse-dealers who bought horses from the nomads and sold
+them within China.
+
+
+3 _Cultural changes_
+
+Together with the economic and social changes in this period, there came
+cultural changes. New ideas sprang up in exuberance, as would seem
+entirely natural, because in times of change and crisis men always come
+forward to offer solutions for pressing problems. We shall refer here
+only briefly to the principal philosophers of the period.
+
+Mencius (_c._ 372-289 B.C.) and Hsün Tzŭ (_c._ 298-238 B.C.) were both
+followers of Confucianism. Both belonged to the so-called "scholars",
+and both lived in the present Shantung, that is to say, in eastern
+China. Both elaborated the ideas of Confucius, but neither of them
+achieved personal success. Mencius (Meng Tzŭ) recognized that the
+removal of the ruling house of the Chou no longer presented any
+difficulty. The difficult question for him was when a change of ruler
+would be justified. And how could it be ascertained whom Heaven had
+destined as successor if the existing dynasty was brought down? Mencius
+replied that the voice of the "people", that is to say of the upper
+class and its following, would declare the right man, and that this man
+would then be Heaven's nominee. This theory persisted throughout the
+history of China. Hsün Tzŭ's chief importance lies in the fact that he
+recognized that the "laws" of nature are unchanging but that man's fate
+is determined not by nature alone but, in addition, by his own
+activities. Man's nature is basically bad, but by working on himself
+within the framework of society, he can change his nature and can
+develop. Thus, Hsün Tzŭ's philosophy contains a dynamic element, fit for
+a dynamic period of history.
+
+In the strongest contrast to these thinkers was the school of Mo Ti (at
+some time between 479 and 381 B.C.). The Confucian school held fast to
+the old feudal order of society, and was only ready to agree to a few
+superficial changes. The school of Mo Ti proposed to alter the
+fundamental principles of society. Family ethics must no longer be
+retained; the principles of family love must be extended to the whole
+upper class, which Mo Ti called the "people". One must love another
+member of the upper class just as much as one's own father. Then the
+friction between individuals and between states would cease. Instead of
+families, large groups of people friendly to one another must be
+created. Further one should live frugally and not expend endless money
+on effete rites, as the Confucianists demanded. The expenditure on
+weddings and funerals under the Confucianist ritual consumed so much
+money that many families fell into debt and, if they were unable to pay
+off the debt, sank from the upper into the lower class. In order to
+maintain the upper class, therefore, there must be more frugality. Mo
+Ti's teaching won great influence. He and his successors surrounded
+themselves with a private army of supporters which was rigidly organized
+and which could be brought into action at any time as its leader wished.
+Thus the Mohists came forward everywhere with an approach entirely
+different from that of the isolated Confucians. When the Mohists offered
+their assistance to a ruler, they brought with them a group of technical
+and military experts who had been trained on the same principles. In
+consequence of its great influence this teaching was naturally hotly
+opposed by the Confucianists.
+
+We see clearly in Mo Ti's and his followers' ideas the influence of the
+changed times. His principle of "universal love" reflects the breakdown
+of the clans and the general weakening of family bonds which had taken
+place. His ideal of social organization resembles organizations of
+merchants and craftsmen which we know only of later periods. His stress
+upon frugality, too, reflects a line of thought which is typical of
+businessmen. The rationality which can also be seen in his metaphysical
+ideas and which has induced modern Chinese scholars to call him an early
+materialist is fitting to an age in which a developing money economy and
+expanding trade required a cool, logical approach to the affairs of this
+world.
+
+A similar mentality can be seen in another school which appeared from
+the fifth century B.C. on, the "dialecticians". Here are a number of
+names to mention: the most important are Kung-sun Lung and Hui Tzŭ, who
+are comparable with the ancient Greek dialecticians and Sophists. They
+saw their main task in the development of logic. Since, as we have
+mentioned, many "scholars" journeyed from one princely court to another,
+and other people came forward, each recommending his own method to the
+prince for the increase of his power, it was of great importance to be
+able to talk convincingly, so as to defeat a rival in a duel of words on
+logical grounds.
+
+Unquestionably, however, the most important school of this period was
+that of the so-called Legalists, whose most famous representative was
+Shang Yang (or Shang Tzŭ, died 338 B.C.). The supporters of this school
+came principally from old princely families that had lost their feudal
+possessions, and not from among the so-called scholars. They were people
+belonging to the upper class who possessed political experience and now
+offered their knowledge to other princes who still reigned. These men
+had entirely given up the old conservative traditions of Confucianism;
+they were the first to make their peace with the new social order. They
+recognized that little or nothing remained of the old upper class of
+feudal lords and their following. The last of the feudal lords collected
+around the heads of the last remaining princely courts, or lived quietly
+on the estates that still remained to them. Such a class, with its moral
+and economic strength broken, could no longer lead. The Legalists
+recognized, therefore, only the ruler and next to him, as the really
+active and responsible man, the chancellor; under these there were to be
+only the common people, consisting of the richer and poorer peasants;
+the people's duty was to live and work for the ruler, and to carry out
+without question whatever orders they received. They were not to discuss
+or think, but to obey. The chancellor was to draft laws which came
+automatically into operation. The ruler himself was to have nothing to
+do with the government or with the application of the laws. He was only
+a symbol, a representative of the equally inactive Heaven. Clearly these
+theories were much the best suited to the conditions of the break-up of
+feudalism about 300 B.C. Thus they were first adopted by the state in
+which the old idea of the feudal state had been least developed, the
+state of Ch'in, in which alien peoples were most strongly represented.
+Shang Yang became the actual organizer of the state of Ch'in. His ideas
+were further developed by Han Fei Tzŭ (died 233 B.C.). The mentality
+which speaks out of his writings has closest similarity to the famous
+Indian Arthashastra which originated slightly earlier; both books
+exhibit a "Macchiavellian" spirit. It must be observed that these
+theories had little or nothing to do with the ideas of the old cult of
+Heaven or with family allegiance; on the other hand, the soldierly
+element, with the notion of obedience, was well suited to the
+militarized peoples of the west. The population of Ch'in, organized
+throughout on these principles, was then in a position to remove one
+opponent after another. In the middle of the third century B.C. the
+greater part of the China of that time was already in the hands of
+Ch'in, and in 256 B.C. the last emperor of the Chou dynasty was
+compelled, in his complete impotence, to abdicate in favour of the ruler
+of Ch'in.
+
+Apart from these more or less political speculations, there came into
+existence in this period, by no mere chance, a school of thought which
+never succeeded in fully developing in China, concerned with natural
+science and comparable with the Greek natural philosophy. We have
+already several times pointed to parallels between Chinese and Indian
+thoughts. Such similarities may be the result of mere coincidence. But
+recent findings in Central Asia indicate that direct connections between
+India, Persia, and China may have started at a time much earlier than we
+had formerly thought. Sogdian merchants who later played a great role in
+commercial contacts might have been active already from 350 or 400 B.C.
+on and might have been the transmitters of new ideas. The most important
+philosopher of this school was Tsou Yen (flourished between 320 and 295
+B.C.); he, as so many other Chinese philosophers of this time, was a
+native of Shantung, and the ports of the Shantung coast may well have
+been ports of entrance of new ideas from Western Asia as were the roads
+through the Turkestan basin into Western China. Tsou Yen's basic ideas
+had their root in earlier Chinese speculations: the doctrine that all
+that exists is to be explained by the positive, creative, or the
+negative, passive action (Yang and Yin) of the five elements, wood,
+fire, earth, metal, and water (Wu hsing). But Tsou Yen also considered
+the form of the world, and was the first to put forward the theory that
+the world consists not of a single continent with China in the middle of
+it, but of nine continents. The names of these continents sound like
+Indian names, and his idea of a central world-mountain may well have
+come from India. The "scholars" of his time were quite unable to
+appreciate this beginning of science, which actually led to the
+contention of this school, in the first century B.C., that the earth was
+of spherical shape. Tsou Yen himself was ridiculed as a dreamer; but
+very soon, when the idea of the reciprocal destruction of the elements
+was applied, perhaps by Tsou Yen himself, to politics, namely when, in
+connection with the astronomical calculations much cultivated by this
+school and through the identification of dynasties with the five
+elements, the attempt was made to explain and to calculate the duration
+and the supersession of dynasties, strong pressure began to be brought
+to bear against this school. For hundreds of years its books were
+distributed and read only in secret, and many of its members were
+executed as revolutionaries. Thus, this school, instead of becoming the
+nucleus of a school of natural science, was driven underground. The
+secret societies which started to arise clearly from the first century
+B.C. on, but which may have been in existence earlier, adopted the
+politico-scientific ideas of Tsou Yen's school. Such secret societies
+have existed in China down to the present time. They all contained a
+strong religious, but heterodox element which can often be traced back
+to influences from a foreign religion. In times of peace they were
+centres of a true, emotional religiosity. In times of stress, a
+"messianic" element tended to become prominent: the world is bad and
+degenerating; morality and a just social order have decayed, but the
+coming of a savior is close; the saviour will bring a new, fair order
+and destroy those who are wicked. Tsou Yen's philosophy seemed to allow
+them to calculate when this new order would start; later secret
+societies contained ideas from Iranian Mazdaism, Manichaeism and
+Buddhism, mixed with traits from the popular religions and often couched
+in terms taken from the Taoists. The members of such societies were,
+typically, ordinary farmers who here found an emotional outlet for their
+frustrations in daily life. In times of stress, members of the leading
+_élite_ often but not always established contacts with these societies,
+took over their leadership and led them to open rebellion.
+
+The fate of Tsou Yen's school did not mean that the Chinese did not
+develop in the field of sciences. At about Tsou Yen's lifetime, the
+first mathematical handbook was written. From these books it is obvious
+that the interest of the government in calculating the exact size of
+fields, the content of measures for grain, and other fiscal problems
+stimulated work in this field, just as astronomy developed from the
+interest of the government in the fixation of the calendar. Science kept
+on developing in other fields, too, but mainly as a hobby of scholars
+and in the shops of craftsmen, if it did not have importance for the
+administration and especially taxation and budget calculations.
+
+
+
+
+Chapter Five
+
+THE CH'IN DYNASTY (256-207 B.C.)
+
+
+1 _Towards the unitary State_
+
+In 256 B.C. the last ruler of the Chou dynasty abdicated in favour of
+the feudal lord of the state of Ch'in. Some people place the beginning
+of the Ch'in dynasty in that year, 256 B.C.; others prefer the date 221
+B.C., because it was only in that year that the remaining feudal states
+came to their end and Ch'in really ruled all China.
+
+The territories of the state of Ch'in, the present Shensi and eastern
+Kansu, were from a geographical point of view transit regions, closed
+off in the north by steppes and deserts and in the south by almost
+impassable mountains. Only between these barriers, along the rivers Wei
+(in Shensi) and T'ao (in Kansu), is there a rich cultivable zone which
+is also the only means of transit from east to west. All traffic from
+and to Turkestan had to take this route. It is believed that strong
+relations with eastern Turkestan began in this period, and the state of
+Ch'in must have drawn big profits from its "foreign trade". The merchant
+class quickly gained more and more importance. The population was
+growing through immigration from the east which the government
+encouraged. This growing population with its increasing means of
+production, especially the great new irrigation systems, provided a
+welcome field for trade which was also furthered by the roads, though
+these were actually built for military purposes.
+
+The state of Ch'in had never been so closely associated with the feudal
+communities of the rest of China as the other feudal states. A great
+part of its population, including the ruling class, was not purely
+Chinese but contained an admixture of Turks and Tibetans. The other
+Chinese even called Ch'in a "barbarian state", and the foreign influence
+was, indeed, unceasing. This was a favourable soil for the overcoming of
+feudalism, and the process was furthered by the factors mentioned in the
+preceding chapter, which were leading to a change in the social
+structure of China. Especially the recruitment of the whole population,
+including the peasantry, for war was entirely in the interest of the
+influential nomad fighting peoples within the state. About 250 B.C.,
+Ch'in was not only one of the economically strongest among the feudal
+states, but had already made an end of its own feudal system.
+
+Every feudal system harbours some seeds of a bureaucratic system of
+administration: feudal lords have their personal servants who are not
+recruited from the nobility, but who by their easy access to the lord
+can easily gain importance. They may, for instance, be put in charge of
+estates, workshops, and other properties of the lord and thus acquire
+experience in administration and an efficiency which are obviously of
+advantage to the lord. When Chinese lords of the preceding period, with
+the help of their sub-lords of the nobility, made wars, they tended to
+put the newly-conquered areas not into the hands of newly-enfeoffed
+noblemen, but to keep them as their property and to put their
+administration into the hands of efficient servants; these were the
+first bureaucratic officials. Thus, in the course of the later Chou
+period, a bureaucratic system of administration had begun to develop,
+and terms like "district" or "prefecture" began to appear, indicating
+that areas under a bureaucratic administration existed beside and inside
+areas under feudal rule. This process had gone furthest in Ch'in and was
+sponsored by the representatives of the Legalist School, which was best
+adapted to the new economic and social situation.
+
+A son of one of the concubines of the penultimate feudal ruler of Ch'in
+was living as a hostage in the neighbouring state of Chao, in what is
+now northern Shansi. There he made the acquaintance of an unusual man,
+the merchant Lü Pu-wei, a man of education and of great political
+influence. Lü Pu-wei persuaded the feudal ruler of Ch'in to declare this
+son his successor. He also sold a girl to the prince to be his wife, and
+the son of this marriage was to be the famous and notorious Shih
+Huang-ti. Lü Pu-wei came with his protégé to Ch'in, where he became his
+Prime Minister, and after the prince's death in 247 B.C. Lü Pu-wei
+became the regent for his young son Shih Huang-ti (then called Cheng).
+For the first time in Chinese history a merchant, a commoner, had
+reached one of the highest positions in the state. It is not known what
+sort of trade Lü Pu-wei had carried on, but probably he dealt in horses,
+the principal export of the state of Chao. As horses were an absolute
+necessity for the armies of that time, it is easy to imagine that a
+horse-dealer might gain great political influence.
+
+Soon after Shih Huang-ti's accession Lü Pu-wei was dismissed, and a new
+group of advisers, strong supporters of the Legalist school, came into
+power. These new men began an active policy of conquest instead of the
+peaceful course which Lü Pu-wei had pursued. One campaign followed
+another in the years from 230 to 222, until all the feudal states had
+been conquered, annexed, and brought under Shih Huang-ti's rule.
+
+
+2 _Centralization in every field_
+
+The main task of the now gigantic realm was the organization of
+administration. One of the first acts after the conquest of the other
+feudal states was to deport all the ruling families and other important
+nobles to the capital of Ch'in; they were thus deprived of the basis of
+their power, and their land could be sold. These upper-class families
+supplied to the capital a class of consumers of luxury goods which
+attracted craftsmen and businessmen and changed the character of the
+capital from that of a provincial town to a centre of arts and crafts.
+It was decided to set up the uniform system of administration throughout
+the realm, which had already been successfully introduced in Ch'in: the
+realm was split up into provinces and the provinces into prefectures;
+and an official was placed in charge of each province or prefecture.
+Originally the prefectures in Ch'in had been placed directly under the
+central administration, with an official, often a merchant, being
+responsible for the collection of taxes; the provinces, on the other
+hand, formed a sort of military command area, especially in the
+newly-conquered frontier territories. With the growing militarization of
+Ch'in, greater importance was assigned to the provinces, and the
+prefectures were made subordinate to them. Thus the officials of the
+provinces were originally army officers but now, in the reorganization
+of the whole realm, the distinction between civil and military
+administration was abolished. At the head of the province were a civil
+and also a military governor, and both were supervised by a controller
+directly responsible to the emperor. Since there was naturally a
+continual struggle for power between these three officials, none of them
+was supreme and none could develop into a sort of feudal lord. In this
+system we can see the essence of the later Chinese administration.
+
+[Illustration: 3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style. _From V. Griessmaier: Sammlung Baron
+Eduard von der Heydt, Vienna 1936, illustration No. 6._]
+
+[Illustration: 4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz'u. _From a print in the author's possession._]
+
+[Illustration: 5 Part of the 'Great Wall'. _Photo Eberhard._]
+
+Owing to the centuries of division into independent feudal states, the
+various parts of the country had developed differently. Each province
+spoke a different dialect which also contained many words borrowed from
+the language of the indigenous population; and as these earlier
+populations sometimes belonged to different races with different
+languages, in each state different words had found their way into the
+Chinese dialects. This caused divergences not only in the spoken but in
+the written language, and even in the characters in use for writing.
+There exist to this day dictionaries in which the borrowed words of that
+time are indicated, and keys to the various old forms of writing also
+exist. Thus difficulties arose if, for instance, a man from the old
+territory of Ch'in was to be transferred as an official to the east: he
+could not properly understand the language and could not read the
+borrowed words, if he could read at all! For a large number of the
+officials of that time, especially the officers who became military
+governors, were certainly unable to read. The government therefore
+ordered that the language of the whole country should be unified, and
+that a definite style of writing should be generally adopted. The words
+to be used were set out in lists, so that the first lexicography came
+into existence simply through the needs of practical administration, as
+had happened much earlier in Babylon. Thus, the few recently found
+manuscripts from pre-Ch'in times still contain a high percentage of
+Chinese characters which we cannot read because they were local
+characters; but all words in texts after the Ch'in time can be read
+because they belong to the standardized script. We know now that all
+classical texts of pre-Ch'in time as we have them today, have been
+re-written in this standardized script in the second century B.C.: we do
+not know which words they actually contained at the time when they were
+composed, nor how these words were actually pronounced, a fact which
+makes the reconstruction of Chinese language before Ch'in very
+difficult.
+
+The next requirement for the carrying on of the administration was the
+unification of weights and measures and, a surprising thing to us, of
+the gauge of the tracks for wagons. In the various feudal states there
+had been different weights and measures in use, and this had led to
+great difficulties in the centralization of the collection of taxes. The
+centre of administration, that is to say the new capital of Ch'in, had
+grown through the transfer of nobles and through the enormous size of
+the administrative staff into a thickly populated city with very large
+requirements of food. The fields of the former state of Ch'in alone
+could not feed the city; and the grain supplied in payment of taxation
+had to be brought in from far around, partly by cart. The only roads
+then existing consisted of deep cart-tracks. If the axles were not of
+the same length for all carts, the roads were simply unusable for many
+of them. Accordingly a fixed length was laid down for axles. The
+advocates of all these reforms were also their beneficiaries, the
+merchants.
+
+The first principle of the Legalist school, a principle which had been
+applied in Ch'in and which was to be extended to the whole realm, was
+that of the training of the population in discipline and obedience, so
+that it should become a convenient tool in the hands of the officials.
+This requirement was best met by a people composed as far as possible
+only of industrious, uneducated, and tax-paying peasants. Scholars and
+philosophers were not wanted, in so far as they were not directly
+engaged in work commissioned by the state. The Confucianist writings
+came under special attack because they kept alive the memory of the old
+feudal conditions, preaching the ethic of the old feudal class which had
+just been destroyed and must not be allowed to rise again if the state
+was not to suffer fresh dissolution or if the central administration was
+not to be weakened. In 213 B.C. there took place the great holocaust of
+books which destroyed the Confucianist writings with the exception of
+one copy of each work for the State Library. Books on practical subjects
+were not affected. In the fighting at the end of the Ch'in dynasty the
+State Library was burnt down, so that many of the old works have only
+come down to us in an imperfect state and with doubtful accuracy. The
+real loss arose, however, from the fact that the new generation was
+little interested in the Confucianist literature, so that when, fifty
+years later, the effort was made to restore some texts from the oral
+tradition, there no longer existed any scholars who really knew them by
+heart, as had been customary in the past.
+
+In 221 B.C. Shih Huang-ti had become emperor of all China. The judgments
+passed on him vary greatly: the official Chinese historiography rejects
+him entirely--naturally, for he tried to exterminate Confucianism, while
+every later historian was himself a Confucian. Western scholars often
+treat him as one of the greatest men in world history. Closer research
+has shown that Shih Huang-ti was evidently an average man without any
+great gifts, that he was superstitious, and shared the tendency of his
+time to mystical and shamanistic notions. His own opinion was that he
+was the first of a series of ten thousand emperors of his dynasty (Shih
+Huang-ti means "First Emperor"), and this merely suggests megalomania.
+The basic principles of his administration had been laid down long
+before his time by the philosophers of the Legalist school, and were
+given effect by his Chancellor Li Ssŭ. Li Ssŭ was the really great
+personality of that period. The Legalists taught that the ruler must do
+as little as possible himself. His Ministers were there to act for him.
+He himself was to be regarded as a symbol of Heaven. In that capacity
+Shih Huang-ti undertook periodical journeys into the various parts of
+the empire, less for any practical purpose of inspection than for
+purposes of public worship. They corresponded to the course of the sun,
+and this indicates that Shih Huang-ti had adopted a notion derived from
+the older northern culture of the nomad peoples.
+
+He planned the capital in an ambitious style but, although there was
+real need for extension of the city, his plans can scarcely be regarded
+as of great service. His enormous palace, and also his mausoleum which
+was built for him before his death, were constructed in accordance with
+astral notions. Within the palace the emperor continually changed his
+residential quarters, probably not only from fear of assassination but
+also for astral reasons. His mausoleum formed a hemispherical dome, and
+all the stars of the sky were painted on its interior.
+
+
+3 _Frontier defence. Internal collapse_
+
+When the empire had been unified by the destruction of the feudal
+states, the central government became responsible for the protection of
+the frontiers from attack from without. In the south there were only
+peoples in a very low state of civilization, who could offer no serious
+menace to the Chinese. The trading colonies that gradually extended to
+Canton and still farther south served as Chinese administrative centres
+for provinces and prefectures, with small but adequate armies of their
+own, so that in case of need they could defend themselves. In the north
+the position was much more difficult. In addition to their conquest
+within China, the rulers of Ch'in had pushed their frontier far to the
+north. The nomad tribes had been pressed back and deprived of their best
+pasturage, namely the Ordos region. When the livelihood of nomad peoples
+is affected, when they are threatened with starvation, their tribes
+often collect round a tribal leader who promises new pasturage and
+better conditions of life for all who take part in the common campaigns.
+In this way the first great union of tribes in the north of China came
+into existence in this period, forming the realm of the Hsiung-nu under
+their first leader, T'ou-man. This first realm of the Hsiung-nu was not
+yet extensive, but its ambitious and warlike attitude made it a danger
+to Ch'in. It was therefore decided to maintain a large permanent army in
+the north. In addition to this, the frontier walls already existing in
+the mountains were rebuilt and made into a single great system. Thus
+came into existence in 214 B.C., out of the blood and sweat of countless
+pressed labourers, the famous Great Wall.
+
+On one of his periodical journeys the emperor fell ill and died. His
+death was the signal for the rising of many rebellious elements. Nobles
+rose in order to regain power and influence; generals rose because they
+objected to the permanent pressure from the central administration and
+their supervision by controllers; men of the people rose as popular
+leaders because the people were more tormented than ever by forced
+labour, generally at a distance from their homes. Within a few months
+there were six different rebellions and six different "rulers".
+Assassinations became the order of the day; the young heir to the throne
+was removed in this way and replaced by another young prince. But as
+early as 206 B.C. one of the rebels, Liu Chi (also called Liu Pang),
+entered the capital and dethroned the nominal emperor. Liu Chi at first
+had to retreat and was involved in hard fighting with a rival, but
+gradually he succeeded in gaining the upper hand and defeated not only
+his rival but also the other eighteen states that had been set up anew
+in China in those years.
+
+
+
+
+THE MIDDLE AGES
+
+
+
+
+Chapter Six
+
+THE HAN DYNASTY (206 B.C.-A.D. 220)
+
+
+1 _Development of the gentry-state_
+
+In 206 B.C. Liu Chi assumed the title of Emperor and gave his dynasty
+the name of the Han Dynasty. After his death he was given as emperor the
+name of Kao Tsu.[4] The period of the Han dynasty may be described as
+the beginning of the Chinese Middle Ages, while that of the Ch'in
+dynasty represents the transition from antiquity to the Middle Ages; for
+under the Han dynasty we meet in China with a new form of state, the
+"gentry state". The feudalism of ancient times has come definitely to
+its end.
+
+    [4] From then on, every emperor was given after his death an
+    official name as emperor, under which he appears in the Chinese
+    sources. We have adopted the original or the official name according
+    to which of the two has come into the more general use in Western
+    books.
+
+Emperor Kao Tsu came from eastern China, and his family seems to have
+been a peasant family; in any case it did not belong to the old
+nobility. After his destruction of his strongest rival, the removal of
+the kings who had made themselves independent in the last years of the
+Ch'in dynasty was a relatively easy task for the new autocrat, although
+these struggles occupied the greater part of his reign. A much more
+difficult question, however, faced him: How was the empire to be
+governed? Kao Tsu's old friends and fellow-countrymen, who had helped
+him into power, had been rewarded by appointment as generals or high
+officials. Gradually he got rid of those who had been his best comrades,
+as so many upstart rulers have done before and after him in every
+country in the world. An emperor does not like to be reminded of a very
+humble past, and he is liable also to fear the rivalry of men who
+formerly were his equals. It is evident that little attention was paid
+to theories of administration; policy was determined mainly by practical
+considerations. Kao Tsu allowed many laws and regulations to remain in
+force, including the prohibition of Confucianist writings. On the other
+hand, he reverted to the allocation of fiefs, though not to old noble
+families but to his relatives and some of his closest adherents,
+generally men of inferior social standing. Thus a mixed administration
+came into being: part of the empire was governed by new feudal princes,
+and another part split up into provinces and prefectures and placed
+directly under the central power through its officials.
+
+But whence came the officials? Kao Tsu and his supporters, as farmers
+from eastern China, looked down upon the trading population to which
+farmers always regard themselves as superior. The merchants were ignored
+as potential officials although they had often enough held official
+appointments under the former dynasty. The second group from which
+officials had been drawn under the Ch'in was that of the army officers,
+but their military functions had now, of course, fallen to Kao Tsu's
+soldiers. The emperor had little faith, however, in the loyalty of
+officers, even of his own, and apart from that he would have had first
+to create a new administrative organization for them. Accordingly he
+turned to another class which had come into existence, the class later
+called the _gentry_, which in practice had the power already in its
+hands.
+
+The term "gentry" has no direct parallel in Chinese texts; the later
+terms "shen-shih" and "chin-shen" do not quite cover this concept. The
+basic unit of the gentry class are families, not individuals. Such
+families often derive their origin from branches of the Chou nobility.
+But other gentry families were of different and more recent origin in
+respect to land ownership. Some late Chou and Ch'in officials of
+non-noble origin had become wealthy and had acquired land; the same was
+true for wealthy merchants and finally, some non-noble farmers who were
+successful in one or another way, bought additional land reaching the
+size of large holdings. All "gentry" families owned substantial estates
+in the provinces which they leased to tenants on a kind of contract
+basis. The tenants, therefore, cannot be called "serfs" although their
+factual position often was not different from the position of serfs. The
+rents of these tenants, usually about half the gross produce, are the
+basis of the livelihood of the gentry. One part of a gentry family
+normally lives in the country on a small home farm in order to be able
+to collect the rents. If the family can acquire more land and if this
+new land is too far away from the home farm to make collection of rents
+easy, a new home farm is set up under the control of another branch of
+the family. But the original home remains to be regarded as the real
+family centre.
+
+In a typical gentry family, another branch of the family is in the
+capital or in a provincial administrative centre in official positions.
+These officials at the same time are the most highly educated members of
+the family and are often called the "literati". There are also always
+individual family members who are not interested in official careers or
+who failed in their careers and live as free "literati" either in the
+big cities or on the home farms. It seems, to judge from much later
+sources, that the families assisted their most able members to enter the
+official careers, while those individuals who were less able were used
+in the administration of the farms. This system in combination with the
+strong familism of the Chinese, gave a double security to the gentry
+families. If difficulties arose in the estates either by attacks of
+bandits or by war or other catastrophes, the family members in official
+positions could use their influence and power to restore the property in
+the provinces. If, on the other hand, the family members in official
+positions lost their positions or even their lives by displeasing the
+court, the home branch could always find ways to remain untouched and
+could, in a generation or two, recruit new members and regain power and
+influence in the government. Thus, as families, the gentry was secure,
+although failures could occur to individuals. There are many gentry
+families who remained in the ruling _élite_ for many centuries, some
+over more than a thousand years, weathering all vicissitudes of life.
+Some authors believe that Chinese leading families generally pass
+through a three- or four-generation cycle: a family member by his
+official position is able to acquire much land, and his family moves
+upward. He is able to give the best education and other facilities to
+his sons who lead a good life. But either these sons or the grandsons
+are spoiled and lazy; they begin to lose their property and status. The
+family moves downward, until in the fourth or fifth generation a new
+rise begins. Actual study of families seems to indicate that this is not
+true. The main branch of the family retains its position over centuries.
+But some of the branch families, created often by the less able family
+members, show a tendency towards downward social mobility.
+
+It is clear from the above that a gentry family should be interested in
+having a fair number of children. The more sons they have, the more
+positions of power the family can occupy and thus, the more secure it
+will be; the more daughters they have, the more "political" marriages
+they can conclude, i.e. marriages with sons of other gentry families in
+positions of influence. Therefore, gentry families in China tend to be,
+on the average, larger than ordinary families, while in our Western
+countries the leading families usually were smaller than the lower class
+families. This means that gentry families produced more children than
+was necessary to replenish the available leading positions; thus, some
+family members had to get into lower positions and had to lose status.
+In view of this situation it was very difficult for lower class families
+to achieve access into this gentry group. In European countries the
+leading _élite_ did not quite replenish their ranks in the next
+generation, so that there was always some chance for the lower classes
+to move up into leading ranks. The gentry society was, therefore, a
+comparably stable society with little upward social mobility but with
+some downward mobility. As a whole and for reasons of gentry
+self-interest, the gentry stood for stability and against change.
+
+The gentry members in the bureaucracy collaborated closely with one
+another because they were tied together by bonds of blood or marriage.
+It was easy for them to find good tutors for their children, because a
+pupil owed a debt of gratitude to his teacher and a child from a gentry
+family could later on nicely repay this debt; often, these teachers
+themselves were members of other gentry families. It was easy for sons
+of the gentry to get into official positions, because the people who had
+to recommend them for office were often related to them or knew the
+position of their family. In Han time, local officials had the duty to
+recommend young able men; if these men turned out to be good, the
+officials were rewarded, if not they were blamed or even punished. An
+official took less of a chance, if he recommended a son of an
+influential family, and he obliged such a candidate so that he could
+later count on his help if he himself should come into difficulties.
+When, towards the end of the second century B.C., a kind of examination
+system was introduced, this attitude was not basically changed.
+
+The country branch of the family by the fact that it controlled large
+tracts of land, supplied also the logical tax collectors: they had the
+standing and power required for this job. Even if they were appointed in
+areas other than their home country (a rule which later was usually
+applied), they knew the gentry families of the other district or were
+related to them and got their support by appointing their members as
+their assistants.
+
+Gentry society continued from Kao Tsu's time to 1948, but it went
+through a number of phases of development and changed considerably in
+time. We will later outline some of the most important changes. In
+general the number of politically leading gentry families was around one
+hundred (texts often speak of "the hundred families" in this time) and
+they were concentrated in the capital; the most important home seats of
+these families in Han time were close to the capital and east of it or
+in the plains of eastern China, at that time the main centre of grain
+production.
+
+We regard roughly the first one thousand years of "Gentry Society" as
+the period of the Chinese "Middle Ages", beginning with the Han dynasty;
+the preceding time of the Ch'in was considered as a period of
+transition, a time in which the feudal period of "Antiquity" came to a
+formal end and a new organization of society began to become visible.
+Even those authors who do not accept a sociological classification of
+periods and many authors who use Marxist categories, believe that with
+Ch'in and Han a new era in Chinese history began.
+
+
+2 _Situation of the Hsiung-nu empire; its relation to the Han empire.
+Incorporation of South China_
+
+In the time of the Ch'in dynasty there had already come into unpleasant
+prominence north of the Chinese frontier the tribal union, then
+relatively small, of the Hsiung-nu. Since then, the Hsiung-nu empire had
+destroyed the federation of the Yüeh-chih tribes (some of which seem to
+have been of Indo-European language stock) and incorporated their people
+into their own federation; they had conquered also the less well
+organized eastern pastoral tribes, the Tung-hu and thus had become a
+formidable power. Everything goes to show that it had close relations
+with the territories of northern China. Many Chinese seem to have
+migrated to the Hsiung-nu empire, where they were welcome as artisans
+and probably also as farmers; but above all they were needed for the
+staffing of a new state administration. The scriveners in the newly
+introduced state secretariat were Chinese and wrote Chinese, for at that
+time the Hsiung-nu apparently had no written language. There were
+Chinese serving as administrators and court officials, and even as
+instructors in the army administration, teaching the art of warfare
+against non-nomads. But what was the purpose of all this? Mao Tun, the
+second ruler of the Hsiung-nu, and his first successors undoubtedly
+intended ultimately to conquer China, exactly as many other northern
+peoples after them planned to do, and a few of them did. The main
+purpose of this was always to bring large numbers of peasants under the
+rule of the nomad rulers and so to solve, once for all, the problem of
+the provision of additional winter food. Everything that was needed, and
+everything that seemed to be worth trying to get as they grew more
+civilized, would thus be obtained better and more regularly than by
+raids or by tedious commercial negotiations. But if China was to be
+conquered and ruled there must exist a state organization of equal
+authority to hers; the Hsiung-nu ruler must himself come forward as Son
+of Heaven and develop a court ceremonial similar to that of a Chinese
+emperor. Thus the basis of the organization of the Hsiung-nu state lay
+in its rivalry with the neighbouring China; but the details naturally
+corresponded to the special nature of the Hsiung-nu social system. The
+young Hsiung-nu feudal state differed from the ancient Chinese feudal
+state not only in depending on a nomad economy with only supplementary
+agriculture, but also in possessing, in addition to a whole class of
+nobility and another of commoners, a stratum of slavery to be analysed
+further below. Similar to the Chou state, the Hsiung-nu state contained,
+especially around the ruler, an element of court bureaucracy which,
+however, never developed far enough to replace the basically feudal
+character of administration.
+
+Thus Kao Tsu was faced in Mao Tun not with a mere nomad chieftain but
+with the most dangerous of enemies, and Kao Tsu's policy had to be
+directed to preventing any interference of the Hsiung-nu in North
+Chinese affairs, and above all to preventing alliances between Hsiung-nu
+and Chinese. Hsiung-nu alone, with their technique of horsemen's
+warfare, would scarcely have been equal to the permanent conquest of the
+fortified towns of the north and the Great Wall, although they
+controlled a population which may have been in excess of 2,000,000
+people. But they might have succeeded with Chinese aid. Actually a
+Chinese opponent of Kao Tsu had already come to terms with Mao Tun, and
+in 200 B.C. Kao Tsu was very near suffering disaster in northern Shansi,
+as a result of which China would have come under the rule of the
+Hsiung-nu. But it did not come to that, and Mao Tun made no further
+attempt, although the opportunity came several times. Apparently the
+policy adopted by his court was not imperialistic but national, in the
+uncorrupted sense of the word. It was realized that a country so thickly
+populated as China could only be administered from a centre within
+China. The Hsiung-nu would thus have had to abandon their home territory
+and rule in China itself. That would have meant abandoning the flocks,
+abandoning nomad life, and turning into Chinese. The main supporters of
+the national policy, the first principle of which was loyalty to the old
+ways of life, seem to have been the tribal chieftains. Mao Tun fell in
+with their view, and the Hsiung-nu maintained their state as long as
+they adhered to that principle--for some seven hundred years. Other
+nomad peoples, Toba, Mongols, and Manchus, followed the opposite policy,
+and before long they were caught in the mechanism of the much more
+highly developed Chinese economy and culture, and each of them
+disappeared from the political scene in the course of a century or so.
+
+The national line of policy of the Hsiung-nu did not at all mean an end
+of hostilities and raids on Chinese territory, so that Kao Tsu declared
+himself ready to give the Hsiung-nu the foodstuffs and clothing
+materials they needed if they would make an end of their raids. A treaty
+to this effect was concluded, and sealed by the marriage of a Chinese
+princess with Mao Tun. This was the first international treaty in the
+Far East between two independent powers mutually recognized as equals,
+and the forms of international diplomacy developed in this time remained
+the standard forms for the next thousand years. The agreement was
+renewed at the accession of each new ruler, but was never adhered to
+entirely by either side. The needs of the Hsiung-nu increased with the
+expansion of their empire and the growing luxury of their court; the
+Chinese, on the other hand, wanted to give as little as possible, and no
+doubt they did all they could to cheat the Hsiung-nu. Thus, in spite of
+the treaties the Hsiung-nu raids went on. With China's progressive
+consolidation, the voluntary immigration of Chinese into the Hsiung-nu
+empire came to an end, and the Hsiung-nu actually began to kidnap
+Chinese subjects. These were the main features of the relations between
+Chinese and Hsiung-nu almost until 100 B.C.
+
+In the extreme south, around the present-day Canton, another independent
+empire had been formed in the years of transition, under the leadership
+of a Chinese. The narrow basis of this realm was no doubt provided by
+the trading colonies, but the indigenous population of Yüeh tribes was
+insufficiently civilized for the building up of a state that could have
+maintained itself against China. Kao Tsu sent a diplomatic mission to
+the ruler of this state, and invited him to place himself under Chinese
+suzerainty (196 B.C.). The ruler realized that he could offer no serious
+resistance, while the existing circumstances guaranteed him virtual
+independence and he yielded to Kao Tsu without a struggle.
+
+
+3 _Brief feudal reaction. Consolidation of the gentry_
+
+Kao Tsu died in 195 B.C. From then to 179 the actual ruler was his
+widow, the empress Lü, while children were officially styled emperors.
+The empress tried to remove all the representatives of the emperor's
+family and to replace them with members of her own family. To secure her
+position she revived the feudal system, but she met with strong
+resistance from the dynasty and its supporters who already belonged in
+many cases to the new gentry, and who did not want to find their
+position jeopardized by the creation of new feudal lords.
+
+On the death of the empress her opponents rose, under the leadership of
+Kao Tsu's family. Every member of the empress's family was exterminated,
+and a son of Kao Tsu, known later under the name of Wen Ti (Emperor
+Wen), came to the throne. He reigned from 179 to 157 B.C. Under him
+there were still many fiefs, but with the limitation which the emperor
+Kao Tsu had laid down shortly before his death: only members of the
+imperial family should receive fiefs, to which the title of King was
+attached. Thus all the more important fiefs were in the hands of the
+imperial family, though this did not mean that rivalries came to an end.
+
+On the whole Wen Ti's period of rule passed in comparative peace. For
+the first time since the beginning of Chinese history, great areas of
+continuous territory were under unified rule, without unending internal
+warfare such as had existed under Shih Huang-ti and Kao Tsu. The
+creation of so extensive a region of peace produced great economic
+advance. The burdens that had lain on the peasant population were
+reduced, especially since under Wen Ti the court was very frugal. The
+population grew and cultivated fresh land, so that production increased
+and with it the exchange of goods. The most outstanding sign of this was
+the abandonment of restrictions on the minting of copper coin, in order
+to prevent deflation through insufficiency of payment media. As a
+consequence more taxes were brought in, partly in kind, partly in coin,
+and this increased the power of the central government. The new gentry
+streamed into the towns, their standard of living rose, and they made
+themselves more and more into a class apart from the general population.
+As people free from material cares, they were able to devote themselves
+to scholarship. They went back to the old writings and studied them once
+more. They even began to identify themselves with the nobles of feudal
+times, to adopt the rules of good behaviour and the ceremonial described
+in the Confucianist books, and very gradually, as time went on, to make
+these their textbooks of good form. From this point the Confucianist
+ideals first began to penetrate the official class recruited from the
+gentry, and then the state organization itself. It was expected that an
+official should be versed in Confucianism, and schools were set up for
+Confucianist education. Around 100 B.C. this led to the introduction of
+the examination system, which gradually became the one method of
+selection of new officials. The system underwent many changes, but
+remained in operation in principle until 1904. The object of the
+examinations was not to test job efficiency but command of the ideals of
+the gentry and knowledge of the literature inculcating them: this was
+regarded as sufficient qualification for any position in the service of
+the state.
+
+In theory this path to training of character and to admission to the
+state service was open to every "respectable" citizen. Of the
+traditional four "classes" of Chinese society, only the first two,
+officials (_shih_) and farmers (_nung_) were always regarded as fully
+"respectable" (_liang-min_). Members of the other two classes, artisans
+(_kung_) and merchants (_shang_), were under numerous restrictions.
+Below these were classes of "lowly people" (_ch'ien-min_) and below
+these the slaves which were not part of society proper. The privileges
+and obligations of these categories were soon legally fixed. In
+practice, during the first thousand years of the existence of the
+examination system no peasant had a chance to become an official by
+means of the examinations. In the Han period the provincial officials
+had to propose suitable young persons for examination, and so for
+admission to the state service, as was already mentioned. In addition,
+schools had been instituted for the sons of officials; it is interesting
+to note that there were, again and again, complaints about the low level
+of instruction in these schools. Nevertheless, through these schools all
+sons of officials, whatever their capacity or lack of capacity, could
+become officials in their turn. In spite of its weaknesses, the system
+had its good side. It inoculated a class of people with ideals that were
+unquestionably of high ethical value. The Confucian moral system gave a
+Chinese official or any member of the gentry a spiritual attitude and an
+outward bearing which in their best representatives has always commanded
+respect, an integrity that has always preserved its possessors, and in
+consequence Chinese society as a whole, from moral collapse, from
+spiritual nihilism, and has thus contributed to the preservation of
+Chinese cultural values in spite of all foreign conquerors.
+
+In the time of Wen Ti and especially of his successors, the revival at
+court of the Confucianist ritual and of the earlier Heaven-worship
+proceeded steadily. The sacrifices supposed to have been performed in
+ancient times, the ritual supposed to have been prescribed for the
+emperor in the past, all this was reintroduced. Obviously much of it was
+spurious: much of the old texts had been lost, and when fragments were
+found they were arbitrarily completed. Moreover, the old writing was
+difficult to read and difficult to understand; thus various things were
+read into the texts without justification. The new Confucians who came
+forward as experts in the moral code were very different men from their
+predecessors; above all, like all their contemporaries, they were
+strongly influenced by the shamanistic magic that had developed in the
+Ch'in period.
+
+Wen Ti's reign had brought economic advance and prosperity;
+intellectually it had been a period of renaissance, but like every such
+period it did not simply resuscitate what was old, but filled the
+ancient moulds with an entirely new content. Socially the period had
+witnessed the consolidation of the new upper class, the gentry, who
+copied the mode of life of the old nobility. This is seen most clearly
+in the field of law. In the time of the Legalists the first steps had
+been taken in the codification of the criminal law. They clearly
+intended these laws to serve equally for all classes of the people. The
+Ch'in code which was supposedly Li K'uei's code, was used in the Han
+period, and was extensively elaborated by Siao Ho (died 193 B.C.) and
+others. This code consisted of two volumes of the chief laws for grave
+cases, one of mixed laws for the less serious cases, and six volumes on
+the imposition of penalties. In the Han period "decisions" were added,
+so that about A.D. 200 the code had grown to 26,272 paragraphs with over
+17,000,000 words. The collection then consisted of 960 volumes. This
+colossal code has been continually revised, abbreviated, or expanded,
+and under its last name of "Collected Statues of the Manchu Dynasty" it
+retained its validity down to the present century.
+
+Alongside this collection there was another book that came to be
+regarded and used as a book of precedences. The great Confucianist
+philosopher Tung Chung-shu (179-104 B.C.), a firm supporter of the
+ideology of the new gentry class, declared that the classic Confucianist
+writings, and especially the book _Ch'un-ch'iu_, "Annals of Spring and
+Autumn", attributed to Confucius himself, were essentially books of
+legal decisions. They contained "cases" and Confucius's decisions of
+them. Consequently any case at law that might arise could be decided by
+analogy with the cases contained in "Annals of Spring and Autumn". Only
+an educated person, of course, a member of the gentry, could claim that
+his action should be judged by the decisions of Confucius and not by the
+code compiled for the common people, for Confucius had expressly stated
+that his rules were intended only for the upper class. Thus, right down
+to modern times an educated person could be judged under regulations
+different from those applicable to the common people, or if judged on
+the basis of the laws, he had to expect a special treatment. The
+principle of the "equality before the law" which the Legalists had
+advocated and which fitted well into the absolutistic, totalitarian
+system of the Ch'in, had been attacked by the feudal nobility at that
+time and was attacked by the new gentry of the Han time. Legalist
+thinking remained an important undercurrent for many centuries to come,
+but application of the equalitarian principle was from now on never
+seriously considered.
+
+Against the growing influence of the officials belonging to the gentry
+there came a last reaction. It came as a reply to the attempt of a
+representative of the gentry to deprive the feudal princes of the whole
+of their power. In the time of Wen Ti's successor a number of feudal
+kings formed an alliance against the emperor, and even invited the
+Hsiung-nu to join them. The Hsiung-nu did not do so, because they saw
+that the rising had no prospect of success, and it was quelled. After
+that the feudal princes were steadily deprived of rights. They were
+divided into two classes, and only privileged ones were permitted to
+live in the capital, the others being required to remain in their
+domains. At first, the area was controlled by a "minister" of the
+prince, an official of the state; later the area remained under normal
+administration and the feudal prince kept only an empty title; the tax
+income of a certain number of families of an area was assigned to him
+and transmitted to him by normal administrative channels. Often, the
+number of assigned families was fictional in that the actual income was
+from far fewer families. This system differs from the Near Eastern
+system in which also no actual enfeoffment took place, but where
+deserving men were granted the right to collect themselves the taxes of
+a certain area with certain numbers of families.
+
+Soon after this the whole government was given the shape which it
+continued to have until A.D. 220, and which formed the point of
+departure for all later forms of government. At the head of the state
+was the emperor, in theory the holder of absolute power in the state
+restricted only by his responsibility towards "Heaven", i.e. he had to
+follow and to enforce the basic rules of morality, otherwise "Heaven"
+would withdraw its "mandate", the legitimation of the emperor's rule,
+and would indicate this withdrawal by sending natural catastrophes. Time
+and again we find emperors publicly accusing themselves for their faults
+when such catastrophes occurred; and to draw the emperor's attention to
+actual or made-up calamities or celestrial irregularities was one way to
+criticize an emperor and to force him to change his behaviour. There are
+two other indications which show that Chinese emperors--excepting a few
+individual cases--at least in the first ten centuries of gentry society
+were not despots: it can be proved that in some fields the
+responsibility for governmental action did not lie with the emperor but
+with some of his ministers. Secondly, the emperor was bound by the law
+code: he could not change it nor abolish it. We know of cases in which
+the ruler disregarded the code, but then tried to "defend" his arbitrary
+action. Each new dynasty developed a new law code, usually changing only
+details of the punishment, not the basic regulations. Rulers could issue
+additional "regulations", but these, too, had to be in the spirit of
+the general code and the existing moral norms. This situation has some
+similarity to the situation in Muslim countries. At the ruler's side
+were three counsellors who had, however, no active functions. The real
+conduct of policy lay in the hands of the "chancellor", or of one of the
+"nine ministers". Unlike the practice with which we are familiar in the
+West, the activities of the ministries (one of them being the court
+secretariat) were concerned primarily with the imperial palace. As,
+however, the court secretariat, one of the nine ministries, was at the
+same time a sort of imperial statistical office, in which all economic,
+financial, and military statistical material was assembled, decisions on
+issues of critical importance for the whole country could and did come
+from it. The court, through the Ministry of Supplies, operated mines and
+workshops in the provinces and organized the labour service for public
+constructions. The court also controlled centrally the conscription for
+the general military service. Beside the ministries there was an
+extensive administration of the capital with its military guards. The
+various parts of the country, including the lands given as fiefs to
+princes, had a local administration, entirely independent of the central
+government and more or less elaborated according to their size. The
+regional administration was loosely associated with the central
+government through a sort of primitive ministry of the interior, and
+similarly the Chinese representatives in the protectorates, that is to
+say the foreign states which had submitted to Chinese protective
+overlordship, were loosely united with a sort of foreign ministry in the
+central government. When a rising or a local war broke out, that was the
+affair of the officer of the region concerned. If the regional troops
+were insufficient, those of the adjoining regions were drawn upon; if
+even these were insufficient, a real "state of war" came into being;
+that is to say, the emperor appointed eight generals-in-chief, mobilized
+the imperial troops, and intervened. This imperial army then had
+authority over the regional and feudal troops, the troops of the
+protectorates, the guards of the capital, and those of the imperial
+palace. At the end of the war the imperial army was demobilized and the
+generals-in-chief were transferred to other posts.
+
+In all this there gradually developed a division into civil and military
+administration. A number of regions would make up a province with a
+military governor, who was in a sense the representative of the imperial
+army, and who was supposed to come into activity only in the event of
+war.
+
+This administration of the Han period lacked the tight organization that
+would make precise functioning possible. On the other hand, an
+extremely important institution had already come into existence in a
+primitive form. As central statistical authority, the court secretariat
+had a special position within the ministries and supervised the
+administration of the other offices. Thus there existed alongside the
+executive a means of independent supervision of it, and the resulting
+rivalry enabled the emperor or the chancellor to detect and eliminate
+irregularities. Later, in the system of the T'ang period (A.D. 618-906),
+this institution developed into an independent censorship, and the
+system was given a new form as a "State and Court Secretariat", in which
+the whole executive was comprised and unified. Towards the end of the
+T'ang period the permanent state of war necessitated the permanent
+commissioning of the imperial generals-in-chief and of the military
+governors, and as a result there came into existence a "Privy Council of
+State", which gradually took over functions of the executive. The system
+of administration in the Han and in the T'ang period is shown in the
+following table:
+
+     _Han epoch_                             _T'ang epoch_
+
+  1. Emperor                              1. Emperor
+
+  2. Three counsellors to the emperor     2. Three counsellors and three
+     (with no active functions)              assistants (with no active
+                                             functions)
+
+  3. Eight supreme generals               3. Generals and Governors-General
+     (only appointed in time of war)         (only appointed in time of
+                                             war; but in practice
+                                             continuously in office)
+
+  4. ----                                 4. (a) State secretariat
+                                               (1) Central secretariat
+                                               (2) Secretariat of the Crown
+                                               (3) Secretariat of the Palace
+                                                   and imperial historical
+                                                   commission
+
+                                          4. (b) Emperor's Secretariat
+                                               (1) Private Archives
+                                               (2) Court Adjutants' Office
+                                               (3) Harem administration
+
+  5. Court administration (Ministries)    5. Court administration
+                                             (Ministries)
+    (1) Ministry for state sacrifices          (1) Ministry for state
+                                                   sacrifices
+    (2) Ministry for imperial coaches          (2) Ministry for imperial
+       and horses                                  coaches and horses
+    (3) Ministry for justice at court          (3) Ministry for justice
+                                                   at court
+    (4) Ministry for receptions                (4) Ministry for receptions
+                                                   (i.e. foreign affairs)
+    (5) Ministry for ancestors'                (5) Ministry for ancestors'
+        temples                                    temples
+    (6) Ministry for supplies to the           (6) Ministry for supplies to
+        court                                      the court
+    (7) Ministry for the harem                 (7) Economic and financial
+                                                   Ministry
+    (8) Ministry for the palace                (8) Ministry for the payment
+        guards                                     of salaries
+    (9) Ministry for the court                 (9) Ministry for armament
+        (state secretariat)                        and magazines
+
+  6. Administration of the capital:       6. Administration of the capital:
+    (1) Crown prince's palace                  (1) Crown prince's palace
+    (2) Security service for the capital       (2) Palace guards and guards'
+                                                   office
+    (3) Capital administration:                (3) Arms production
+      (a) Guards of the capital                    department
+      (b) Guards of the city gates
+      (c) Building department
+                                               (4) Labour service
+                                                   department
+                                               (5) Building department
+                                               (6) Transport department
+                                               (7) Department for education
+                                                   (of sons of officials!)
+
+  7. Ministry of the Interior             7. Ministry of the Interior
+     (Provincial administration)             (Provincial administration)
+
+  8. Foreign Ministry                     8. ----
+
+                                          9. Censorship (Audit council)
+
+
+There is no denying that according to our standard this whole system was
+still elementary and "personal", that is to say, attached to the
+emperor's person--though it should not be overlooked that we ourselves
+are not yet far from a similar phase of development. To this day the
+titles of not a few of the highest officers of state--the Lord Privy
+Seal, for instance--recall that in the past their offices were conceived
+as concerned purely with the personal service of the monarch. In one
+point, however, the Han administrative set-up was quite modern: it
+already had a clear separation between the emperor's private treasury
+and the state treasury; laws determined which of the two received
+certain taxes and which had to make certain payments. This separation,
+which in Europe occurred not until the late Middle Ages, in China was
+abolished at the end of the Han Dynasty.
+
+The picture changes considerably to the advantage of the Chinese as soon
+as we consider the provincial administration. The governor of a
+province, and each of his district officers or prefects, had a staff
+often of more than a hundred officials. These officials were drawn from
+the province or prefecture and from the personal friends of the
+administrator, and they were appointed by the governor or the prefect.
+The staff was made up of officials responsible for communications with
+the central or provincial administration (private secretary, controller,
+finance officer), and a group of officials who carried on the actual
+local administration. There were departments for transport, finance,
+education, justice, medicine (hygiene), economic and military affairs,
+market control, and presents (which had to be made to the higher
+officials at the New Year and on other occasions). In addition to these
+offices, organized in a quite modern style, there was an office for
+advising the governor and another for drafting official documents and
+letters.
+
+The interesting feature of this system is that the provincial
+administration was _de facto_ independent of the central administration,
+and that the governor and even his prefects could rule like kings in
+their regions, appointing and discharging as they chose. This was a
+vestige of feudalism, but on the other hand it was a healthy check
+against excessive centralization. It is thanks to this system that even
+the collapse of the central power or the cutting off of a part of the
+empire did not bring the collapse of the country. In a remote frontier
+town like Tunhuang, on the border of Turkestan, the life of the local
+Chinese went on undisturbed whether communication with the capital was
+maintained or was broken through invasions by foreigners. The official
+sent from the centre would be liable at any time to be transferred
+elsewhere; and he had to depend on the practical knowledge of his
+subordinates, the members of the local families of the gentry. These
+officials had the local government in their hands, and carried on the
+administration of places like Tunhuang through a thousand years and
+more. The Hsin family, for instance, was living there in 50 B.C. and was
+still there in A.D. 950; and so were the Yin, Ling-hu, Li, and K'ang
+families.
+
+All the officials of the various offices or Ministries were appointed
+under the state examination system, but they had no special professional
+training; only for the more important subordinate posts were there
+specialists, such as jurists, physicians, and so on. A change came
+towards the end of the T'ang period, when a Department of Commerce and
+Monopolies was set up; only specialists were appointed to it, and it was
+placed directly under the emperor. Except for this, any official could
+be transferred from any ministry to any other without regard to his
+experience.
+
+
+4 _Turkestan policy. End of the Hsiung-nu empire_
+
+In the two decades between 160 and 140 B.C. there had been further
+trouble with the Hsiung-nu, though there was no large-scale fighting.
+There was a fundamental change of policy under the next emperor, Wu (or
+Wu Ti, 141-86 B.C.). The Chinese entered for the first time upon an
+active policy against the Hsiung-nu. There seem to have been several
+reasons for this policy, and several objectives. The raids of the
+Hsiung-nu from the Ordos region and from northern Shansi had shown
+themselves to be a direct menace to the capital and to its extremely
+important hinterland. Northern Shansi is mountainous, with deep ravines.
+A considerable army on horseback could penetrate some distance to the
+south before attracting attention. Northern Shensi and the Ordos region
+are steppe country, in which there were very few Chinese settlements and
+through which an army of horsemen could advance very quickly. It was
+therefore determined to push back the Hsiung-nu far enough to remove
+this threat. It was also of importance to break the power of the
+Hsiung-nu in the province of Kansu, and to separate them as far as
+possible from the Tibetans living in that region, to prevent any union
+between those two dangerous adversaries. A third point of importance was
+the safeguarding of caravan routes. The state, and especially the
+capital, had grown rich through Wen Ti's policy. Goods streamed into the
+capital from all quarters. Commerce with central Asia had particularly
+increased, bringing the products of the Middle East to China. The
+caravan routes passed through western Shensi and Kansu to eastern
+Turkestan, but at that time the Hsiung-nu dominated the approaches to
+Turkestan and were in a position to divert the trade to themselves or
+cut it off. The commerce brought profit not only to the caravan traders,
+most of whom were probably foreigners, but to the officials in the
+provinces and prefectures through which the routes passed. Thus the
+officials in western China were interested in the trade routes being
+brought under direct control, so that the caravans could arrive
+regularly and be immune from robbery. Finally, the Chinese government
+may well have regarded it as little to its honour to be still paying
+dues to the Hsiung-nu and sending princesses to their rulers, now that
+China was incomparably wealthier and stronger than at the time when that
+policy of appeasement had begun.
+
+[Illustration: Map 3. China in the struggle with, the Huns or Hsiung Nu
+_(roughly 128-100 B.C.)_]
+
+The first active step taken was to try, in 133 B.C., to capture the
+head of the Hsiung-nu state, who was called a _shan-yü_; but the
+_shan-yü_ saw through the plan and escaped. There followed a period of
+continuous fighting until 119 B.C. The Chinese made countless attacks,
+without lasting success. But the Hsiung-nu were weakened, one sign of
+this being that there were dissensions after the death of the _shan-yü_
+Chün-ch'en, and in 127 B.C. his son went over to the Chinese. Finally
+the Chinese altered their tactics, advancing in 119 B.C. with a strong
+army of cavalry, which suffered enormous losses but inflicted serious
+loss on the Hsiung-nu. After that the Hsiung-nu withdrew farther to the
+north, and the Chinese settled peasants in the important region of
+Kansu.
+
+Meanwhile, in 125 B.C., the famous Chang Ch'ien had returned. He had
+been sent in 138 to conclude an alliance with the Yüeh-chih against the
+Hsiung-nu. The Yüeh-chih had formerly been neighbours of the Hsiung-nu
+as far as the Ala Shan region, but owing to defeat by the Hsiung-nu
+their remnants had migrated to western Turkestan. Chang Ch'ien had
+followed them. Politically he had had no success, but he brought back
+accurate information about the countries in the far west, concerning
+which nothing had been known beyond the vague reports of merchants. Now
+it was learnt whence the foreign goods came and whither the Chinese
+goods went. Chang Ch'ien's reports (which are one of the principal
+sources for the history of central Asia at that remote time)
+strengthened the desire to enter into direct and assured commercial
+relations with those distant countries. The government evidently thought
+of getting this commerce into its own hands. The way to do this was to
+impose "tribute" on the countries concerned. The idea was that the
+missions bringing the annual "tribute" would be a sort of state
+bartering commissions. The state laid under tribute must supply
+specified goods at its own cost, and received in return Chinese produce,
+the value of which was to be roughly equal to the "tribute". Thus Chang
+Ch'ien's reports had the result that, after the first successes against
+the Hsiung-nu, there was increased interest in a central Asian policy.
+The greatest military success were the campaigns of General Li Kuang-li
+to Ferghana in 104 and 102 B.C. The result of the campaigns was to bring
+under tribute all the small states in the Tarim basin and some of the
+states of western Turkestan. From now on not only foreign consumer goods
+came freely into China, but with them a great number of other things,
+notably plants such as grape, peach, pomegranate.
+
+In 108 B.C. the western part of Korea was also conquered. Korea was
+already an important transit region for the trade with Japan. Thus this
+trade also came under the direct influence of the Chinese government.
+Although this conquest represented a peril to the eastern flank of the
+Hsiung-nu, it did not by any means mean that they were conquered. The
+Hsiung-nu while weakened evaded the Chinese pressure, but in 104 B.C.
+and again in 91 they inflicted defeats on the Chinese. The Hsiung-nu
+were indirectly threatened by Chinese foreign policy, for the Chinese
+concluded an alliance with old enemies of the Hsiung-nu, the Wu-sun, in
+the north of the Tarim basin. This made the Tarim basin secure for the
+Chinese, and threatened the Hsiung-nu with a new danger in their rear.
+Finally the Chinese did all they could through intrigue, espionage, and
+sabotage to promote disunity and disorder within the Hsiung-nu, though
+it cannot be seen from the Chinese accounts how far the Chinese were
+responsible for the actual conflicts and the continual changes of
+_shan-yü_. Hostilities against the Hsiung-nu continued incessantly,
+after the death of Wu Ti, under his successor, so that the Hsiung-nu
+were further weakened. In consequence of this it was possible to rouse
+against them other tribes who until then had been dependent on them--the
+Ting-ling in the north and the Wu-huan in the east. The internal
+difficulties of the Hsiung-nu increased further.
+
+Wu Ti's active policy had not been directed only against the Hsiung-nu.
+After heavy fighting he brought southern China, with the region round
+Canton, and the south-eastern coast, firmly under Chinese dominion--in
+this case again on account of trade interests. No doubt there were
+already considerable colonies of foreign merchants in Canton and other
+coastal towns, trading in Indian and Middle East goods. The traders seem
+often to have been Sogdians. The southern wars gave Wu Ti the control of
+the revenues from this commerce. He tried several times to advance
+through Yünnan in order to secure a better land route to India, but
+these attempts failed. Nevertheless, Chinese influence became stronger
+in the south-west.
+
+In spite of his long rule, Wu Ti did not leave an adult heir, as the
+crown prince was executed, with many other persons, shortly before Wu
+Ti's death. The crown prince had been implicated in an alleged attempt
+by a large group of people to remove the emperor by various sorts of
+magic. It is difficult to determine today what lay behind this affair;
+probably it was a struggle between two cliques of the gentry. Thus a
+regency council had to be set up for the young heir to the throne; it
+included a member of a Hsiung-nu tribe. The actual government was in the
+hands of a general and his clique until the death of the heir to the
+throne, and at the beginning of his successor's reign.
+
+At this time came the end of the Hsiung-nu empire--a foreign event of
+the utmost importance. As a result of the continual disastrous wars
+against the Chinese, in which not only many men but, especially, large
+quantities of cattle fell into Chinese hands, the livelihood of the
+Hsiung-nu was seriously threatened; their troubles were increased by
+plagues and by unusually severe winters. To these troubles were added
+political difficulties, including unsettled questions in regard to the
+succession to the throne. The result of all this was that the Hsiung-nu
+could no longer offer effective military resistance to the Chinese.
+There were a number of _shan-yü_ ruling contemporaneously as rivals, and
+one of them had to yield to the Chinese in 58 B.C.; in 51 he came as a
+vassal to the Chinese court. The collapse of the Hsiung-nu empire was
+complete. After 58 B.C. the Chinese were freed from all danger from that
+quarter and were able, for a time, to impose their authority in Central
+Asia.
+
+
+5 _Impoverishment. Cliques. End of the Dynasty_
+
+In other respects the Chinese were not doing as well as might have been
+assumed. The wars carried on by Wu Ti and his successors had been
+ruinous. The maintenance of large armies of occupation in the new
+regions, especially in Turkestan, also meant a permanent drain on the
+national funds. There was a special need for horses, for the people of
+the steppes could only be fought by means of cavalry. As the Hsiung-nu
+were supplying no horses, and the campaigns were not producing horses
+enough as booty, the peasants had to rear horses for the government.
+Additional horses were bought at very high prices, and apart from this
+the general financing of the wars necessitated increased taxation of the
+peasants, a burden on agriculture no less serious than was the enrolment
+of many peasants for military service. Finally, the new external trade
+did not by any means bring the advantages that had been hoped for. The
+tribute missions brought tribute but, to begin with, this meant an
+obligation to give presents in return; moreover, these missions had to
+be fed and housed in the capital, often for months, as the official
+receptions took place only on New Year's Day. Their maintenance entailed
+much expense, and meanwhile the members of the missions traded privately
+with the inhabitants and the merchants of the capital, buying things
+they needed and selling things they had brought in addition to the
+tribute. The tribute itself consisted mainly of "precious articles",
+which meant strange or rare things of no practical value. The emperor
+made use of them as elements of personal luxury, or made presents of
+some of them to deserving officials. The gifts offered by the Chinese in
+return consisted mainly of silk. Silk was received by the government as
+a part of the tax payments and formed an important element of the
+revenue of the state. It now went abroad without bringing in any
+corresponding return. The private trade carried on by the members of the
+missions was equally unserviceable to the Chinese. It, too, took from
+them goods of economic value, silk and gold, which went abroad in
+exchange for luxury articles of little or no economic importance, such
+as glass, precious stones, or stud horses, which in no way benefited the
+general population. Thus in this last century B.C. China's economic
+situation grew steadily and fairly rapidly worse. The peasants, more
+heavily taxed than ever, were impoverished, and yet the exchequer became
+not fuller but emptier, so that gold began even to be no longer
+available for payments. Wu Ti was aware of the situation and called
+different groups together to discuss the problems of economics. Under
+the name "Discussions on Salt and Iron" the gist of these talks is
+preserved and shows that one group under the leadership of Sang
+Hung-yang (143-80 B.C.) was business-oriented and thinking in economic
+terms, while their opponents, mainly Confucianists, regarded the
+situation mainly as a moral crisis. Sang proposed an "equable
+transportation" and a "standardization" system and favoured other state
+monopolies and controls; these ideas were taken up later and continued
+to be discussed, again and again.
+
+Already under Wu Ti there had been signs of a development which now
+appeared constantly in Chinese history. Among the new gentry, families
+entered into alliances with each other, sealed their mutual allegiance
+by matrimonial unions, and so formed large cliques. Each clique made it
+its concern to get the most important government positions into its
+hands, so that it should itself control the government. Under Wu Ti, for
+example, almost all the important generals had belonged to a certain
+clique, which remained dominant under his two successors. Two of the
+chief means of attaining power were for such a clique to give the
+emperor a girl from its ranks as wife, and to see to it that all the
+eunuchs around the emperor should be persons dependent on the clique.
+Eunuchs came generally from the poorer classes; they were launched at
+court by members of the great cliques, or quite openly presented to the
+emperor.
+
+The chief influence of the cliques lay, however, in the selection of
+officials. It is not surprising that the officials recommended only sons
+of people in their own clique--their family or its closest associates.
+On top of all this, the examiners were in most cases themselves members
+of the same families to which the provincial officials belonged. Thus it
+was made doubly certain that only those candidates who were to the
+liking of the dominant group among the gentry should pass.
+
+Surrounded by these cliques, the emperors became in most cases powerless
+figureheads. At times energetic rulers were able to play off various
+cliques against each other, and so to acquire personal power; but the
+weaker emperors found themselves entirely in the hands of cliques. Not a
+few emperors in China were removed by cliques which they had attempted
+to resist; and various dynasties were brought to their end by the
+cliques; this was the fate of the Han dynasty.
+
+The beginning of its fall came with the activities of the widow of the
+emperor Yüan Ti. She virtually ruled in the name of her
+eighteen-year-old son, the emperor Ch'eng Ti (32-7 B.C.), and placed all
+her brothers, and also her nephew, Wang Mang, in the principal
+government posts. They succeeded at first in either removing the
+strongest of the other cliques or bringing them into dependence. Within
+the Wang family the nephew Wang Mang steadily advanced, securing direct
+supporters even in some branches of the imperial family; these
+personages declared their readiness to join him in removing the existing
+line of the imperial house. When Ch'eng Ti died without issue, a young
+nephew of his (Ai Ti, 6-1 B.C.) was placed on the throne by Wang Mang,
+and during this period the power of the Wangs and their allies grew
+further, until all their opponents had been removed and the influence of
+the imperial family very greatly reduced. When Ai Ti died, Wang Mang
+placed an eight-year-old boy on the throne, himself acting as regent;
+four years later the boy fell ill and died, probably with Wang Mang's
+aid. Wang Mang now chose a one-year-old baby, but soon after he felt
+that the time had come for officially assuming the rulership. In A.D. 8
+he dethroned the baby, ostensibly at Heaven's command, and declared
+himself emperor and first of the Hsin ("new") dynasty. All the members
+of the old imperial family in the capital were removed from office and
+degraded to commoners, with the exception of those who had already been
+supporting Wang Mang. Only those members who held unimportant posts at a
+distance remained untouched.
+
+Wang Mang's "usurpation" is unusual from two points of view. First, he
+paid great attention to public opinion and induced large masses of the
+population to write petitions to the court asking the Han ruler to
+abdicate; he even fabricated "heavenly omina" in his own favour and
+against the Han dynasty in order to get wide support even from
+intellectuals. Secondly, he inaugurated a formal abdication ceremony,
+culminating in the transfer of the imperial seal to himself. This
+ceremony became standard for the next centuries. The seal was made of a
+precious stone, once presented to the Ch'in dynasty ruler before he
+ascended the throne. From now on, the possessor of this seal was the
+legitimate ruler.
+
+
+6 _The pseudo-socialistic dictatorship. Revolt of the "Red Eyebrows"_
+
+Wang Mang's dynasty lasted only from A.D. 9 to 23; but it was one of the
+most stirring periods of Chinese history. It is difficult to evaluate
+Wang Mang, because all we know about him stems from sources hostile
+towards him. Yet we gain the impression that some of his innovations,
+such as the legalization of enthronement through the transfer of the
+seal; the changes in the administration of provinces and in the
+bureaucratic set-up in the capital; and even some of his economic
+measures were so highly regarded that they were retained or
+re-introduced, although this happened in some instances centuries later
+and without mentioning Wang Mang's name. But most of his policies and
+actions were certainly neither accepted nor acceptable. He made use of
+every conceivable resource in order to secure power to his clique. As
+far as possible he avoided using open force, and resorted to a
+high-level propaganda. Confucianism, the philosophic basis of the power
+of the gentry, served him as a bait; he made use of the so-called "old
+character school" for his purposes. When, after the holocaust of books,
+it was desired to collect the ancient classics again, texts were found
+under strange circumstances in the walls of Confucius's house; they were
+written in an archaic script. The people who occupied themselves with
+these books were called the old character school. The texts came under
+suspicion; most scholars had little belief in their genuineness. Wang
+Mang, however, and his creatures energetically supported the cult of
+these ancient writings. The texts were edited and issued, and in the
+process, as can now be seen, certain things were smuggled into them that
+fitted in well with Wang Mang's intentions. He even had other texts
+reissued with falsifications. He now represented himself in all his
+actions as a man who did with the utmost precision the things which the
+books reported of rulers or ministers of ancient times. As regent he had
+declared that his model was the brother of the first emperor of the Chou
+dynasty; as emperor he took for his exemplar one of the mythical
+emperors of ancient China; of his new laws he claimed that they were
+simply revivals of decrees of the golden age. In all this he appealed to
+the authority of literature that had been tampered with to suit his
+aims. Actually, such laws had never before been customary; either Wang
+Mang completely misinterpreted passages in an ancient text to suit his
+purpose, or he had dicta that suited him smuggled into the text. There
+can be no question that Wang Mang and his accomplices began by
+deliberately falsifying and deceiving. However, as time went on, he
+probably began to believe in his own frauds.
+
+Wang Mang's great series of certain laws has brought him the name of
+"the first Socialist on the throne of China". But closer consideration
+reveals that these measures, ostensibly and especially aimed at the good
+of the poor, were in reality devised simply in order to fill the
+imperial exchequer and to consolidate the imperial power. When we read
+of the turning over of great landed estates to the state, do we not
+imagine that we are faced with a modern land reform? But this applied
+only to the wealthiest of all the landowners, who were to be deprived in
+this way of their power. The prohibition of private slave-owning had a
+similar purpose, the state reserving to itself the right to keep slaves.
+Moreover, landless peasants were to receive land to till, at the expense
+of those who possessed too much. This admirable law, however, was not
+intended seriously to be carried into effect. Instead, the setting up of
+a system of state credits for peasants held out the promise, in spite of
+rather reduced interest rates, of important revenue. The peasants had
+never been in a position to pay back their private debts together with
+the usurious interest, but there were at least opportunities of coming
+to terms with a private usurer, whereas the state proved a merciless
+creditor. It could dispossess the peasant, and either turn his property
+into a state farm, convey it to another owner, or make the peasant a
+state slave. Thus this measure worked against the interest of the
+peasants, as did the state monopoly of the exploitation of mountains and
+lakes. "Mountains and lakes" meant the uncultivated land around
+settlements, the "village commons", where people collected firewood or
+went fishing. They now had to pay money for fishing rights and for the
+right to collect wood, money for the emperor's exchequer. The same
+purpose lay behind the wine, salt, and iron tool monopolies. Enormous
+revenues came to the state from the monopoly of minting coin, when old
+metal coin of full value was called in and exchanged for debased coin.
+Another modern-sounding institution, that of the "equalization offices",
+was supposed to buy cheap goods in times of plenty in order to sell them
+to the people in times of scarcity at similarly low prices, so
+preventing want and also preventing excessive price fluctuations. In
+actual fact these state offices formed a new source of profit, buying
+cheaply and selling as dearly as possible.
+
+Thus the character of these laws was in no way socialistic; nor,
+however, did they provide an El Dorado for the state finances, for Wang
+Mang's officials turned all the laws to their private advantage. The
+revenues rarely reached the capital; they vanished into the pockets of
+subordinate officials. The result was a further serious lowering of the
+level of existence of the peasant population, with no addition to the
+financial resources of the state. Yet Wang Mang had great need of money,
+because he attached importance to display and because he was planning a
+new war. He aimed at the final destruction of the Hsiung-nu, so that
+access to central Asia should no longer be precarious and it should thus
+be possible to reduce the expense of the military administration of
+Turkestan. The war would also distract popular attention from the
+troubles at home. By way of preparation for war, Wang Mang sent a
+mission to the Hsiung-nu with dishonouring proposals, including changes
+in the name of the Hsiung-nu and in the title of the _shan-yü_. The name
+Hsiung-nu was to be given the insulting change of Hsiang-nu, meaning
+"subjugated slaves". The result was that risings of the Hsiung-nu took
+place, whereupon Wang Mang commanded that the whole of their country
+should be partitioned among fifteen _shan-yü_ and declared the country
+to be a Chinese province. Since this declaration had no practical
+result, it robbed Wang Mang of the increased prestige he had sought and
+only further infuriated the Hsiung-nu. Wang Mang concentrated a vast
+army on the frontier. Meanwhile he lost the whole of the possessions in
+Turkestan.
+
+But before Wang Mang's campaign against the Hsiung-nu could begin, the
+difficulties at home grew steadily worse. In A.D. 12 Wang Mang felt
+obliged to abrogate all his reform legislation because it could not be
+carried into effect; and the economic situation proved more lamentable
+than ever. There were continual risings, which culminated in A.D. 18 in
+a great popular insurrection, a genuine revolutionary rising of the
+peasants, whose distress had grown beyond bearing through Wang Mang's
+ill-judged measures. The rebels called themselves "Red Eyebrows"; they
+had painted their eyebrows red by way of badge and in order to bind
+their members indissolubly to their movement. The nucleus of this rising
+was a secret society. Such secret societies, usually are harmless, but
+may, in emergency situations, become an immensely effective instrument
+in the hands of the rural population. The secret societies then organize
+the peasants, in order to achieve a forcible settlement of the matter in
+dispute. Occasionally, however, the movement grows far beyond its
+leaders' original objective and becomes a popular revolutionary
+movement, directed against the whole ruling class. That is what happened
+on this occasion. Vast swarms of peasants marched to the capital,
+killing all officials and people of position on their way. The troops
+sent against them by Wang Mang either went over to the Red Eyebrows or
+copied them, plundering wherever they could and killing officials. Owing
+to the appalling mass murders and the fighting, the forces placed by
+Wang Mang along the frontier against the Hsiung-nu received no
+reinforcements and, instead of attacking the Hsiung-nu, themselves went
+over to plundering, so that ultimately the army simply disintegrated.
+Fortunately for China, the _shan-yü_ of the time did not take advantage
+of his opportunity, perhaps because his position within the Hsiung-nu
+empire was too insecure.
+
+Scarcely had the popular rising begun when descendants of the deposed
+Han dynasty appeared and tried to secure the support of the upper class.
+They came forward as fighters against the usurper Wang Mang and as
+defenders of the old social order against the revolutionary masses. But
+the armies which these Han princes were able to collect were no better
+than those of the other sides. They, too, consisted of poor and hungry
+peasants, whose aim was to get money or goods by robbery; they too,
+plundered and murdered more than they fought.
+
+However, one prince by the name of Liu Hsiu gradually gained the upper
+hand. The basis of his power was the district of Nanyang in Honan, one
+of the wealthiest agricultural centres of China at that time and also
+the centre of iron and steel production. The big landowners, the gentry
+of Nanyang, joined him, and the prince's party conquered the capital.
+Wang Mang, placing entire faith in his sanctity, did not flee; he sat in
+his robes in the throne-room and recited the ancient writings, convinced
+that he would overcome his adversaries by the power of his words. But a
+soldier cut off his head (A.D. 22). The skull was kept for two hundred
+years in the imperial treasury. The fighting, nevertheless, went on.
+Various branches of the prince's party fought one another, and all of
+them fought the Red Eyebrows. In those years millions of men came to
+their end. Finally, in A.D. 24, Liu Hsiu prevailed, becoming the first
+emperor of the second Han dynasty, also called the Later Han dynasty;
+his name as emperor was Kuang-wu Ti (A.D. 25-57).
+
+
+7 _Reaction and Restoration: the Later Han dynasty_
+
+Within the country the period that followed was one of reaction and
+restoration. The massacres of the preceding years had so reduced the
+population that there was land enough for the peasants who remained
+alive. Moreover, their lords and the money-lenders of the towns were
+generally no longer alive, so that many peasants had become free of
+debt. The government was transferred from Sian to Loyang, in the present
+province of Honan. This brought the capital nearer to the great
+wheat-producing regions, so that the transport of grain and other taxes
+in kind to the capital was cheapened. Soon this cleared foundation was
+covered by a new stratum, a very sparse one, of great landowners who
+were supporters and members of the new imperial house, largely
+descendants of the landowners of the earlier Han period. At first they
+were not much in evidence, but they gained power more and more rapidly.
+In spite of this, the first half-century of the Later Han period was one
+of good conditions on the land and economic recovery.
+
+
+8 _Hsiung-nu policy_
+
+In foreign policy the first period of the Later Han dynasty was one of
+extraordinary success, both in the extreme south and in the question of
+the Hsiung-nu. During the period of Wang Mang's rule and the fighting
+connected with it, there had been extensive migration to the south and
+south-west. Considerable regions of Chinese settlement had come into
+existence in Yünnan and even in Annam and Tongking, and a series of
+campaigns under General Ma Yüan (14 B.C.-A.D. 49) now added these
+regions to the territory of the empire. These wars were carried on with
+relatively small forces, as previously in the Canton region, the natives
+being unable to offer serious resistance owing to their inferiority in
+equipment and civilization. The hot climate, however, to which the
+Chinese soldiers were unused, was hard for them to endure.
+
+The Hsiung-nu, in spite of internal difficulties, had regained
+considerable influence in Turkestan during the reign of Wang Mang. But
+the king of the city state of Yarkand had increased his power by
+shrewdly playing off Chinese and Hsiung-nu against each other, so that
+before long he was able to attack the Hsiung-nu. The small states in
+Turkestan, however, regarded the overlordship of the distant China as
+preferable to that of Yarkand or the Hsiung-nu both of whom, being
+nearer, were able to bring their power more effectively into play.
+Accordingly many of the small states appealed for Chinese aid. Kuang-wu
+Ti met this appeal with a blank refusal, implying that order had only
+just been restored in China and that he now simply had not the resources
+for a campaign in Turkestan. Thus, the king of Yarkand was able to
+extend his power over the remainder of the small states of Turkestan,
+since the Hsiung-nu had been obliged to withdraw. Kuang-wu Ti had had
+several frontier wars with the Hsiung-nu without any decisive result.
+But in the years around A.D. 45 the Hsiung-nu had suffered several
+severe droughts and also great plagues of locusts, so that they had lost
+a large part of their cattle. They were no longer able to assert
+themselves in Turkestan and at the same time to fight the Chinese in the
+south and the Hsien-pi and the Wu-huan in the east. These two peoples,
+apparently largely of Mongol origin, had been subject in the past to
+Hsiung-nu overlordship. They had spread steadily in the territories
+bordering Manchuria and Mongolia, beyond the eastern frontier of the
+Hsiung-nu empire. Living there in relative peace and at the same time in
+possession of very fertile pasturage, these two peoples had grown in
+strength. And since the great political collapse of 58 B.C. the
+Hsiung-nu had not only lost their best pasturage in the north of the
+provinces of Shensi and Shansi, but had largely grown used to living in
+co-operation with the Chinese. They had become much more accustomed to
+trade with China, exchanging animals for textiles and grain, than to
+warfare, so that in the end they were defeated by the Hsien-pi and
+Wu-huan, who had held to the older form of purely war-like nomad life.
+Weakened by famine and by the wars against Wu-huan and Hsien-pi, the
+Hsiung-nu split into two, one section withdrawing to the north.
+
+The southern Hsiung-nu were compelled to submit to the Chinese in order
+to gain security from their other enemies. Thus the Chinese were able to
+gain a great success without moving a finger: the Hsiung-nu, who for
+centuries had shown themselves again and again to be the most dangerous
+enemies of China, were reduced to political insignificance. About a
+hundred years earlier the Hsiung-nu empire had suffered defeat; now half
+of what remained of it became part of the Chinese state. Its place was
+taken by the Hsien-pi and Wu-huan, but at first they were of much less
+importance.
+
+In spite of the partition, the northern Hsiung-nu attempted in the years
+between A.D. 60 and 70 to regain a sphere of influence in Turkestan;
+this seemed the easier for them since the king of Yarkand had been
+captured and murdered, and Turkestan was more or less in a state of
+confusion. The Chinese did their utmost to play off the northern against
+the southern Hsiung-nu and to maintain a political balance of power in
+the west and north. So long as there were a number of small states in
+Turkestan, of which at least some were friendly to China, Chinese trade
+caravans suffered relatively little disturbance on their journeys.
+Independent states in Turkestan had proved more profitable for trade
+than when a large army of occupation had to be maintained there. When,
+however, there appeared to be the danger of a new union of the two
+parts of the Hsiung-nu as a restoration of a large empire also
+comprising all Turkestan, the Chinese trading monopoly was endangered.
+Any great power would secure the best goods for itself, and there would
+be no good business remaining for China.
+
+For these reasons a great Chinese campaign was undertaken against
+Turkestan in A.D. 73 under Tou Ku. Mainly owing to the ability of the
+Chinese deputy commander Pan Ch'ao, the whole of Turkestan was quickly
+conquered. Meanwhile the emperor Ming Ti (A.D. 58-75) had died, and under
+the new emperor Chang Ti (76-88) the "isolationist" party gained the
+upper hand against the clique of Tou Ku and Pan Ch'ao: the danger of the
+restoration of a Hsiung-nu empire, the isolationists contended, no
+longer existed; Turkestan should be left to itself; the small states
+would favour trade with China of their own accord. Meanwhile, a
+considerable part of Turkestan had fallen away from China, for Chang Ti
+sent neither money nor troops to hold the conquered territories. Pan
+Ch'ao nevertheless remained in Turkestan (at Kashgar and Khotan) where
+he held on amid countless difficulties. Although he reported (A.D. 78)
+that the troops could feed themselves in Turkestan and needed neither
+supplies nor money from home, no reinforcements of any importance were
+sent; only a few hundred or perhaps a thousand men, mostly released
+criminals, reached him. Not until A.D. 89 did the Pan Ch'ao clique
+return to power when the mother of the young emperor Ho Ti (89-105) took
+over the government during his minority: she was a member of the family
+of Tou Ku. She was interested in bringing to a successful conclusion the
+enterprise which had been started by members of her family and its
+followers. In addition, it can be shown that a number of other members
+of the "war party" had direct interests in the west, mainly in form of
+landed estates. Accordingly, a campaign was started in 89 under her
+brother against the northern Hsiung-nu, and it decided the fate of
+Turkestan in China's favour. Turkestan remained firmly in Chinese
+possession until the death of Pan Ch'ao in 102. Shortly afterwards heavy
+fighting broke out again: the Tanguts advanced from the south in an
+attempt to cut off Chinese access to Turkestan. The Chinese drove back
+the Tanguts and maintained their hold on Turkestan, though no longer
+absolutely.
+
+
+9 _Economic situation. Rebellion of the "Yellow Turbans". Collapse of
+the Han dynasty_
+
+The economic results of the Turkestan trade in this period were not so
+unfavourable as in the earlier Han period. The army of occupation was
+incomparably smaller, and under Pan Ch'ao's policy the soldiers were fed
+and paid in Turkestan itself, so that the cost to China remained small.
+Moreover, the drain on the national income was no longer serious
+because, in the intervening period, regular Chinese settlements had been
+planted in Turkestan including Chinese merchants, so that the trade no
+longer remained entirely in the hands of foreigners.
+
+In spite of the economic consolidation at the beginning of the Later Han
+dynasty, and in spite of the more balanced trade, the political
+situation within China steadily worsened from A.D. 80 onwards. Although
+the class of great landowners was small, a number of cliques formed
+within it, and their mutual struggle for power soon went beyond the
+limits of court intrigue. New actors now came upon the stage, namely the
+eunuchs. With the economic improvement there had been a general increase
+in the luxury at the court of the Han emperors, and the court steadily
+increased in size. The many hundred wives and concubines in the palace
+made necessary a great army of eunuchs. As they had the ear of the
+emperor and so could influence him, the eunuchs formed an important
+political factor. For a time the main struggle was between the group of
+eunuchs and the group of scholars. The eunuchs served a particular
+clique to which some of the emperor's wives belonged. The scholars, that
+is to say the ministers, together with members of the ministries and the
+administrative staff, served the interests of another clique. The
+struggles grew more and more sanguinary in the middle of the second
+century A.D. It soon proved that the group with the firmest hold in the
+provinces had the advantage, because it was not easy to control the
+provinces from a distance. The result was that, from about A.D. 150,
+events at court steadily lost importance, the lead being taken by the
+generals commanding the provincial troops. It would carry us too far to
+give the details of all these struggles. The provincial generals were at
+first Ts'ao Ts'ao, Lü Pu, Yüan Shao, and Sun Ts'ê; later came Liu Pei.
+All were striving to gain control of the government, and all were
+engaged in mutual hostilities from about 180 onwards. Each general was
+also trying to get the emperor into his hands. Several times the last
+emperor of the Later Han dynasty, Hsien Ti (190-220), was captured by
+one or another of the generals. As the successful general was usually
+unable to maintain his hold on the capital, he dragged the poor emperor
+with him from place to place until he finally had to give him up to
+another general. The point of this chase after the emperor was that
+according to the idea introduced earlier by Wang Mang the first ruler of
+a new dynasty had to receive the imperial seals from the last emperor
+of the previous dynasty. The last emperor must abdicate in proper form.
+Accordingly, each general had to get possession of the emperor to begin
+with, in order at the proper time to take over the seals.
+
+By about A.D. 200 the new conditions had more or less crystallized.
+There remained only three great parties. The most powerful was that of
+Ts'ao Ts'ao, who controlled the north and was able to keep permanent
+hold of the emperor. In the west, in the province of Szechwan, Liu Pei
+had established himself, and in the south-east Sun Ts'ê's brother.
+
+But we must not limit our view to these generals' struggles. At this
+time there were two other series of events of equal importance with
+those. The incessant struggles of the cliques against each other
+continued at the expense of the people, who had to fight them and pay
+for them. Thus, after A.D. 150 the distress of the country population
+grew beyond all limits. Conditions were as disastrous as in the time of
+Wang Mang. And once more, as then, a popular movement broke out, that of
+the so-called "Yellow Turbans". This was the first of the two important
+events. This popular movement had a characteristic which from now on
+became typical of all these risings of the people. The intellectual
+leaders of the movement, Chang Ling and others, were members of a
+particular religious sect. This sect was influenced by Iranian Mazdaism
+on the one side and by certain ideas from Lao Tzŭ; on the other side;
+and these influences were superimposed on popular rural as well as,
+perhaps, local tribal religious beliefs and superstitions. The sect had
+roots along the coastal settlements of Eastern China, where it seems to
+have gained the support of the peasantry and their local priests. These
+priests of the people were opposed to the representatives of the
+official religion, that is to say the officials drawn from the gentry.
+In small towns and villages the temples of the gods of the fruits of the
+field, of the soil, and so on, were administered by authorized local
+officials, and these officials also carried out the prescribed
+sacrifices. The old temples of the people were either done away with (we
+have many edicts of the Han period concerning the abolition of popular
+forms of religious worship), or their worship was converted into an
+official cult: the all-powerful gentry extended their domination over
+religion as well as all else. But the peasants regarded their local
+unauthorized priests as their natural leaders against the gentry and
+against gentry forms of religion. One branch, probably the main branch
+of this movement, developed a stronghold in Eastern Szechwan province,
+where its members succeeded to create a state of their own which
+retained its independence for a while. It is the only group which
+developed real religious communities in which men and women
+participated, extensive welfare schemes existed and class differences
+were discouraged. It had a real church organization with dioceses,
+communal friendship meals and a confession ritual; in short, real piety
+developed as it could not develop in the official religions. After the
+annihilation of this state, remnants of the organization can be traced
+through several centuries, mainly in central and south China. It may
+well be that the many "Taoistic" traits which can be found in the
+religions of late and present-day Mongolian and Tibetan tribes, can be
+derived from this movement of the Yellow Turbans.
+
+The rising of the Yellow Turbans began in 184; all parties, cliques and
+generals alike, were equally afraid of the revolutionaries, since these
+were a threat to the gentry as such, and so to all parties. Consequently
+a combined army of considerable size was got together and sent against
+the rebels. The Yellow Turbans were beaten.
+
+During these struggles it became evident that Ts'ao Ts'ao with his
+troops had become the strongest of all the generals. His troops seem to
+have consisted not of Chinese soldiers alone, but also of Hsiung-nu. It
+is understandable that the annals say nothing about this, and it can
+only be inferred from the facts. It appears that in order to reinforce
+their armies the generals recruited not only Chinese but foreigners. The
+generals operating in the region of the present-day Peking had soldiers
+of the Wu-huan and Hsien-pi, and even of the Ting-ling; Liu Pei, in the
+west, made use of Tanguts, and Ts'ao Ts'ao clearly went farthest of all
+in this direction; he seems to have been responsible for settling
+nineteen tribes of Hsiung-nu in the Chinese province of Shansi between
+180 and 200, in return for their armed aid. In this way Ts'ao Ts'ao
+gained permanent power in the empire by means of these troops, so that
+immediately after his death his son Ts'ao P'ei, with the support of
+powerful allied families, was able to force the emperor to abdicate and
+to found a new dynasty, the Wei dynasty (A.D. 220).
+
+This meant, however, that a part of China which for several centuries
+had been Chinese was given up to the Hsiung-nu. This was not, of course,
+what Ts'ao Ts'ao had intended; he had given the Hsiung-nu some area of
+pasturage in Shansi with the idea that they should be controlled and
+administered by the officials of the surrounding district. His plan had
+been similar to what the Chinese had often done with success: aliens
+were admitted into the territory of the empire in a body, but then the
+influence of the surrounding administrative centres was steadily
+extended over them, until the immigrants completely lost their own
+nationality and became Chinese. The nineteen tribes of Hsiung-nu,
+however, were much too numerous, and after the prolonged struggles in
+China the provincial administration proved much too weak to be able to
+carry out the plan. Thus there came into existence here, within China, a
+small Hsiung-nu realm ruled by several _shan-yü_. This was the second
+major development, and it became of the utmost importance to the history
+of the next four centuries.
+
+
+10 _Literature and Art_
+
+With the development of the new class of the gentry in the Han period,
+there was an increase in the number of those who were anxious to
+participate in what had been in the past an exclusively aristocratic
+possession--education. Thus it is by no mere chance that in this period
+many encyclopaedias were compiled. Encyclopaedias convey knowledge in an
+easily grasped and easily found form. The first compilation of this sort
+dates from the third century B.C. It was the work of Lü Pu-wei, the
+merchant who was prime minister and regent during the minority of Shih
+Huang-ti. It contains general information concerning ceremonies,
+customs, historic events, and other things the knowledge of which was
+part of a general education. Soon afterwards other encyclopaedias
+appeared, of which the best known is the Book of the Mountains and Seas
+_(Shan Hai Ching)_. This book, arranged according to regions of the
+world, contains everything known at the time about geography, natural
+philosophy, and the animal and plant world, and also about popular
+myths. This tendency to systemization is shown also in the historical
+works. The famous _Shih Chi_, one of our main sources for Chinese
+history, is the first historical work of the modern type, that is to
+say, built up on a definite plan, and it was also the model for all
+later official historiography. Its author, Ssŭ-ma Ch'ien (born 135
+B.C.), and his father, made use of the material in the state archives
+and of private documents, old historical and philosophical books,
+inscriptions, and the results of their own travels. The philosophical
+and historical books of earlier times (with the exception of those of
+the nature of chronicles) consisted merely of a few dicta or reports of
+particular events, but the _Shih Chi_ is a compendium of a mass of
+source-material. The documents were abbreviated, but the text of the
+extracts was altered as little as possible, so that the general result
+retains in a sense the value of an original source. In its arrangement
+the _Shih Chi_ became a model for all later historians: the first part
+is in the form of annals, and there follow tables concerning the
+occupants of official posts and fiefs, and then biographies of various
+important personalities, though the type of the comprehensive biography
+did not appear till later. The _Shih Chi_ also, like later historical
+works, contains many monographs dealing with particular fields of
+knowledge, such as astronomy, the calendar, music, economics, official
+dress at court, and much else. The whole type of construction differs
+fundamentally from such works as those of Thucydides or Herodotus. The
+Chinese historical works have the advantage that the section of annals
+gives at once the events of a particular year, the monographs describe
+the development of a particular field of knowledge, and the biographical
+section offers information concerning particular personalities. The
+mental attitude is that of the gentry: shortly after the time of Ssŭ-ma
+Ch'ien an historical department was founded, in which members of the
+gentry worked as historians upon the documents prepared by
+representatives of the gentry in the various government offices.
+
+In addition to encyclopaedias and historical works, many books of
+philosophy were written in the Han period, but most of them offer no
+fundamentally new ideas. They were the product of the leisure of rich
+members of the gentry, and only three of them are of importance. One is
+the work of Tung Chung-shu, already mentioned. The second is a book by
+Liu An called _Huai-nan Tzŭ_. Prince Liu An occupied himself with Taoism
+and allied problems, gathered around him scholars of different schools,
+and carried on discussions with them. Many of his writings are lost, but
+enough is extant to show that he was one of the earliest Chinese
+alchemists. The question has not yet been settled, but it is probable
+that alchemy first appeared in China, together with the cult of the
+"art" of prolonging life, and was later carried to the West, where it
+flourished among the Arabs and in medieval Europe.
+
+The third important book of the Han period was the _Lun Hêng_ (Critique
+of Opinions) of Wang Ch'ung, which appeared in the first century of the
+Christian era. Wang Ch'ung advocated rational thinking and tried to pave
+the way for a free natural science, in continuation of the beginnings
+which the natural philosophers of the later Chou period had made. The
+book analyses reports in ancient literature and customs of daily life,
+and shows how much they were influenced by superstition and by ignorance
+of the facts of nature. From this attitude a modern science might have
+developed, as in Europe towards the end of the Middle Ages; but the
+gentry had every reason to play down this tendency which, with its
+criticism of all that was traditional, might have proceeded to an attack
+on the dominance of the gentry and their oppression especially of the
+merchants and artisans. It is fascinating to observe how it was the
+needs of the merchants and seafarers of Asia Minor and Greece that
+provided the stimulus for the growth of the classic sciences, and how on
+the contrary the growth of Chinese science was stifled because the
+gentry were so strongly hostile to commerce and navigation, though both
+had always existed.
+
+There were great literary innovations in the field of poetry. The
+splendour and elegance at the new imperial court of the Han dynasty
+attracted many poets who sang the praises of the emperor and his court
+and were given official posts and dignities. These praises were in the
+form of grandiloquent, overloaded poetry, full of strange similes and
+allusions, but with little real feeling. In contrast, the many women
+singers and dancers at the court, mostly slaves from southern China,
+introduced at the court southern Chinese forms of song and poem, which
+were soon adopted and elaborated by poets. Poems and dance songs were
+composed which belonged to the finest that Chinese poetry can show--full
+of natural feeling, simple in language, moving in content.
+
+Our knowledge of the arts is drawn from two sources--literature, and the
+actual discoveries in the excavations. Thus we know that most of the
+painting was done on silk, of which plenty came into the market through
+the control of silk-producing southern China. Paper had meanwhile been
+invented in the second century B.C., by perfecting the techniques of
+making bark-cloth and felt. Unfortunately nothing remains of the actual
+works that were the first examples of what the Chinese everywhere were
+beginning to call "art". "People", that is to say the gentry, painted as
+a social pastime, just as they assembled together for poetry,
+discussion, or performances of song and dance; they painted as an
+aesthetic pleasure and rarely as a means of earning. We find philosophic
+ideas or greetings, emotions, and experiences represented by
+paintings--paintings with fanciful or ideal landscapes; paintings
+representing life and environment of the cultured class in idealized
+form, never naturalistic either in fact or in intention. Until recently
+it was an indispensable condition in the Chinese view that an artist
+must be "cultured" and be a member of the gentry--distinguished,
+unoccupied, wealthy. A man who was paid for his work, for instance for a
+portrait for the ancestral cult, was until late time regarded as a
+craftsman, not as an artist. Yet, these "craftsmen" have produced in Han
+time and even earlier, many works which, in our view, undoubtedly belong
+to the realm of art. In the tombs have been found reliefs whose
+technique is generally intermediate between simple outline engraving and
+intaglio. The lining-in is most frequently executed in scratched lines.
+The representations, mostly in strips placed one above another, are of
+lively historical scenes, scenes from the life of the dead, great ritual
+ceremonies, or adventurous scenes from mythology. Bronze vessels have
+representations in inlaid gold and silver, mostly of animals. The most
+important documents of the painting of the Han period have also been
+found in tombs. We see especially ladies and gentlemen of society, with
+richly ornamented, elegant, expensive clothing that is very reminiscent
+of the clothing customary to this day in Japan. There are also artistic
+representations of human figures on lacquer caskets. While sculpture was
+not strongly developed, the architecture of the Han must have been
+magnificent and technically highly complex. Sculpture and temple
+architecture received a great stimulus with the spread of Buddhism in
+China. According to our present knowledge, Buddhism entered China from
+the south coast and through Central Asia at latest in the first century
+B.C.; it came with foreign merchants from India or Central Asia.
+According to Indian customs, Brahmans, the Hindu caste providing all
+Hindu priests, could not leave their homes. As merchants on their trips
+which lasted often several years, did not want to go without religious
+services, they turned to Buddhist priests as well as to priests of Near
+Eastern religions. These priests were not prevented from travelling and
+used this opportunity for missionary purposes. Thus, for a long time
+after the first arrival of Buddhists, the Buddhist priests in China were
+foreigners who served foreign merchant colonies. The depressed
+conditions of the people in the second century A.D. drove members of the
+lower classes into their arms, while the parts of Indian science which
+these priests brought with them from India aroused some interest in
+certain educated circles. Buddhism, therefore, undeniably exercised an
+influence at the end of the Han dynasty, although no Chinese were
+priests and few, if any, gentry members were adherents of the religious
+teachings.
+
+With the end of the Han period a further epoch of Chinese history comes
+to its close. The Han period was that of the final completion and
+consolidation of the social order of the gentry. The period that
+followed was that of the conflicts of the Chinese with the populations
+on their northern borders.
+
+
+
+
+Chapter Seven
+
+THE EPOCH OF THE FIRST DIVISION OF CHINA (A.D. 220-580)
+
+
+
+(A) The three kingdoms (220-265)
+
+
+1 _Social, intellectual, and economic problems during the first
+division_
+
+The end of the Han period was followed by the three and a half centuries
+of the first division of China into several kingdoms, each with its own
+dynasty. In fact, once before during the period of the Contending
+States, China had been divided into a number of states, but at least in
+theory they had been subject to the Chou dynasty, and none of the
+contending states had made the claim to be the legitimate ruler of all
+China. In this period of the "first division" several states claimed to
+be legitimate rulers, and later Chinese historians tried to decide which
+of these had "more right" to this claim. At the outset (220-280) there
+were three kingdoms (Wei, Wu, Shu Han); then came an unstable reunion
+during twenty-seven years (280-307) under the rule of the Western Chin.
+This was followed by a still sharper division between north and south:
+while a wave of non-Chinese nomad dynasties poured over the north, in
+the south one Chinese clique after another seized power, so that dynasty
+followed dynasty until finally, in 580, a united China came again into
+existence, adopting the culture of the north and the traditions of the
+gentry.
+
+In some ways, the period from 220 to 580 can be compared with the period
+of the coincidentally synchronous breakdown of the Roman Empire: in both
+cases there was no great increase in population, although in China
+perhaps no over-all decrease in population as in the Roman Empire;
+decrease occurred, however, in the population of the great Chinese
+cities, especially of the capital; furthermore we witness, in both
+empires, a disorganization of the monetary system, i.e. in China the
+reversal to a predominance of natural economy after some 400 years of
+money economy. Yet, this period cannot be simply dismissed as a
+transition period, as was usually done by the older European works on
+China. The social order of the gentry, whose birth and development
+inside China we followed, had for the first time to defend itself
+against views and systems entirely opposed to it; for the Turkish and
+Mongol peoples who ruled northern China brought with them their
+traditions of a feudal nobility with privileges of birth and all that
+they implied. Thus this period, socially regarded, is especially that of
+the struggle between the Chinese gentry and the northern nobility, the
+gentry being excluded at first as a direct political factor in the
+northern and more important part of China. In the south the gentry
+continued in the old style with a constant struggle between cliques, the
+only difference being that the class assumed a sort of "colonial"
+character through the formation of gigantic estates and through
+association with the merchant class.
+
+To throw light on the scale of events, we need to have figures of
+population. There are no figures for the years around A.D. 220, and we
+must make do with those of 140; but in order to show the relative
+strength of the three states it is the ratio between the figures that
+matters. In 140 the regions which later belonged to Wei had roughly
+29,000,000 inhabitants; those later belonging to Wu had 11,700,000;
+those which belonged later to Shu Han had a bare 7,500,000. (The figures
+take no account of the primitive native population, which was not yet
+included in the taxation lists.) The Hsiung-nu formed only a small part
+of the population, as there were only the nineteen tribes which had
+abandoned one of the parts, already reduced, of the Hsiung-nu empire.
+The whole Hsiung-nu empire may never have counted more than some
+3,000,000. At the time when the population of what became the Wei
+territory totalled 29,000,000 the capital with its immediate environment
+had over a million inhabitants. The figure is exclusive of most of the
+officials and soldiers, as these were taxable in their homes and so were
+counted there. It is clear that this was a disproportionate
+concentration round the capital.
+
+It was at this time that both South and North China felt the influence
+of Buddhism, which until A.D. 220 had no more real effect on China than
+had, for instance, the penetration of European civilization between 1580
+and 1842. Buddhism offered new notions, new ideals, foreign science, and
+many other elements of culture, with which the old Chinese philosophy
+and science had to contend. At the same time there came with Buddhism
+the first direct knowledge of the great civilized countries west of
+China. Until then China had regarded herself as the only existing
+civilized country, and all other countries had been regarded as
+barbaric, for a civilized country was then taken to mean a country with
+urban industrial crafts and agriculture. In our present period, however,
+China's relations with the Middle East and with southern Asia were so
+close that the existence of civilized countries outside China had to be
+admitted. Consequently, when alien dynasties ruled in northern China and
+a new high civilization came into existence there, it was impossible to
+speak of its rulers as barbarians any longer. Even the theory that the
+Chinese emperor was the Son of Heaven and enthroned at the centre of the
+world was no longer tenable. Thus a vast widening of China's
+intellectual horizon took place.
+
+Economically, our present period witnessed an adjustment in South China
+between the Chinese way of life, which had penetrated from the north,
+and that of the natives of the south. Large groups of Chinese had to
+turn over from wheat culture in dry fields to rice culture in wet
+fields, and from field culture to market gardening. In North China the
+conflict went on between Chinese agriculture and the cattle breeding of
+Central Asia. Was the will of the ruler to prevail and North China to
+become a country of pasturage, or was the country to keep to the
+agrarian tradition of the people under this rule? The Turkish and Mongol
+conquerors had recently given up their old supplementary agriculture and
+had turned into pure nomads, obtaining the agricultural produce they
+needed by raiding or trade. The conquerors of North China were now faced
+with a different question: if they were to remain nomads, they must
+either drive the peasants into the south, or make them into slave
+herdsmen, or exterminate them. There was one more possibility: they
+might install themselves as a ruling upper class, as nobles over the
+subjugated native peasants. The same question was faced much later by
+the Mongols, and at first they answered it differently from the peoples
+of our present period. Only by attention to this problem shall we be in
+a position to explain why the rule of the Turkish peoples did not last,
+why these peoples were gradually absorbed and disappeared.
+
+
+2 _Status of the two southern Kingdoms_
+
+When the last emperor of the Han period had to abdicate in favour of
+Ts'ao P'ei and the Wei dynasty began, China was in no way a unified
+realm. Almost immediately, in 221, two other army commanders, who had
+long been independent, declared themselves emperors. In the south-west
+of China, in the present province of Szechwan, the Shu Han dynasty was
+founded in this way, and in the south-east, in the region of the present
+Nanking, the Wu dynasty.
+
+The situation of the southern kingdom of Shu Han (221-263) corresponded
+more or less to that of the Chungking régime in the Second World War.
+West of it the high Tibetan mountains towered up; there was very little
+reason to fear any major attack from that direction. In the north and
+east the realm was also protected by difficult mountain country. The
+south lay relatively open, but at that time there were few Chinese
+living there, but only natives with a relatively low civilization. The
+kingdom could only be seriously attacked from two corners--through the
+north-west, where there was a negotiable plateau, between the Ch'in-ling
+mountains in the north and the Tibetan mountains in the west, a plateau
+inhabited by fairly highly developed Tibetan tribes; and secondly
+through the south-east corner, where it would be possible to penetrate
+up the Yangtze. There was in fact incessant fighting at both these
+dangerous corners.
+
+Economically, Shu Han was not in a bad position. The country had long
+been part of the Chinese wheat lands, and had a fairly large Chinese
+peasant population in the well irrigated plain of Ch'engtu. There was
+also a wealthy merchant class, supplying grain to the surrounding
+mountain peoples and buying medicaments and other profitable Tibetan
+products. And there were trade routes from here through the present
+province of Yünnan to India.
+
+Shu Han's difficulty was that its population was not large enough to be
+able to stand against the northern State of Wei; moreover, it was
+difficult to carry out an offensive from Shu Han, though the country
+could defend itself well. The first attempt to find a remedy was a
+campaign against the native tribes of the present Yünnan. The purpose of
+this was to secure man-power for the army and also slaves for sale; for
+the south-west had for centuries been a main source for traffic in
+slaves. Finally it was hoped to gain control over the trade to India.
+All these things were intended to strengthen Shu Han internally, but in
+spite of certain military successes they produced no practical result,
+as the Chinese were unable in the long run to endure the climate or to
+hold out against the guerrilla tactics of the natives. Shu Han tried to
+buy the assistance of the Tibetans and with their aid to carry out a
+decisive attack on Wei, whose dynastic legitimacy was not recognized by
+Shu Han. The ruler of Shu Han claimed to be a member of the imperial
+family of the deposed Han dynasty, and therefore to be the rightful,
+legitimate ruler over China. His descent, however, was a little
+doubtful, and in any case it depended on a link far back in the past.
+Against this the Wei of the north declared that the last ruler of the
+Han dynasty had handed over to them with all due form the seals of the
+state and therewith the imperial prerogative. The controversy was of no
+great practical importance, but it played a big part in the Chinese
+Confucianist school until the twelfth century, and contributed largely
+to a revision of the old conceptions of legitimacy.
+
+The political plans of Shu Han were well considered and far-seeing. They
+were evolved by the premier, a man from Shantung named Chu-ko Liang; for
+the ruler died in 226 and his successor was still a child. But Chu-ko
+Liang lived only for a further eight years, and after his death in 234
+the decline of Shu Han began. Its political leaders no longer had a
+sense of what was possible. Thus Wei inflicted several defeats on Shu
+Han, and finally subjugated it in 263.
+
+The situation of the state of Wu was much less favourable than that of
+Shu Han, though this second southern kingdom lasted from 221 to 280. Its
+country consisted of marshy, water-logged plains, or mountains with
+narrow valleys. Here Tai peoples had long cultivated their rice, while
+in the mountains Yao tribes lived by hunting and by simple agriculture.
+Peasants immigrating from the north found that their wheat and pulse did
+not thrive here, and slowly they had to gain familiarity with rice
+cultivation. They were also compelled to give up their sheep and cattle
+and in their place to breed pigs and water buffaloes, as was done by the
+former inhabitants of the country. The lower class of the population was
+mainly non-Chinese; above it was an upper class of Chinese, at first
+relatively small, consisting of officials, soldiers, and merchants in a
+few towns and administrative centres. The country was poor, and its only
+important economic asset was the trade in metals, timber, and other
+southern products; soon there came also a growing overseas trade with
+India and the Middle East, bringing revenues to the state in so far as
+the goods were re-exported from Wu to the north.
+
+Wu never attempted to conquer the whole of China, but endeavoured to
+consolidate its own difficult territory with a view to building up a
+state on a firm foundation. In general, Wu played mainly a passive part
+in the incessant struggles between the three kingdoms, though it was
+active in diplomacy. The Wu kingdom entered into relations with a man
+who in 232 had gained control of the present South Manchuria and shortly
+afterwards assumed the title of king. This new ruler of "Yen", as he
+called his kingdom, had determined to attack the Wei dynasty, and hoped,
+by putting pressure on it in association with Wu, to overrun Wei from
+north and south. Wei answered this plan very effectively by recourse to
+diplomacy and it began by making Wu believe that Wu had reason to fear
+an attack from its western neighbour Shu Han. A mission was also
+dispatched from Wei to negotiate with Japan. Japan was then emerging
+from its stone age and introducing metals; there were countless small
+principalities and states, of which the state of Yamato, then ruled by a
+queen, was the most powerful. Yamato had certain interests in Korea,
+where it already ruled a small coastal strip in the east. Wei offered
+Yamato the prospect of gaining the whole of Korea if it would turn
+against the state of Yen in South Manchuria. Wu, too, had turned to
+Japan, but the negotiations came to nothing, since Wu, as an ally of
+Yen, had nothing to offer. The queen of Yamato accordingly sent a
+mission to Wei; she had already decided in favour of that state. Thus
+Wei was able to embark on war against Yen, which it annihilated in 237.
+This wrecked Wu's diplomatic projects, and no more was heard of any
+ambitious plans of the kingdom of Wu.
+
+The two southern states had a common characteristic: both were
+condottiere states, not built up from their own population but conquered
+by generals from the north and ruled for a time by those generals and
+their northern troops. Natives gradually entered these northern armies
+and reduced their percentage of northerners, but a gulf remained between
+the native population, including its gentry, and the alien military
+rulers. This reduced the striking power of the southern states.
+
+On the other hand, this period had its positive element. For the first
+time there was an emperor in south China, with all the organization that
+implied. A capital full of officials, eunuchs, and all the satellites of
+an imperial court provided incentives to economic advance, because it
+represented a huge market. The peasants around it were able to increase
+their sales and grew prosperous. The increased demand resulted in an
+increase of tillage and a thriving trade. Soon the transport problem had
+to be faced, as had happened long ago in the north, and new means of
+transport, especially ships, were provided, and new trade routes opened
+which were to last far longer than the three kingdoms; on the other
+hand, the costs of transport involved fresh taxation burdens for the
+population. The skilled staff needed for the business of administration
+came into the new capital from the surrounding districts, for the
+conquerors and new rulers of the territory of the two southern dynasties
+had brought with them from the north only uneducated soldiers and
+almost equally uneducated officers. The influx of scholars and
+administrators into the chief cities produced cultural and economic
+centres in the south, a circumstance of great importance to China's
+later development.
+
+
+3 _The northern State of Wei_
+
+The situation in the north, in the state of Wei (220-265) was anything
+but rosy. Wei ruled what at that time were the most important and
+richest regions of China, the plain of Shensi in the west and the great
+plain east of Loyang, the two most thickly populated areas of China. But
+the events at the end of the Han period had inflicted great economic
+injury on the country. The southern and south-western parts of the Han
+empire had been lost, and though parts of Central Asia still gave
+allegiance to Wei, these, as in the past, were economically more of a
+burden than an asset, because they called for incessant expenditure. At
+least the trade caravans were able to travel undisturbed from and to
+China through Turkestan. Moreover, the Wei kingdom, although much
+smaller than the empire of the Han, maintained a completely staffed
+court at great expense, because the rulers, claiming to rule the whole
+of China, felt bound to display more magnificence than the rulers of the
+southern dynasties. They had also to reward the nineteen tribes of the
+Hsiung-nu in the north for their military aid, not only with cessions of
+land but with payments of money. Finally, they would not disarm but
+maintained great armies for the continual fighting against the southern
+states. The Wei dynasty did not succeed, however, in closely
+subordinating the various army commanders to the central government.
+Thus the commanders, in collusion with groups of the gentry, were able
+to enrich themselves and to secure regional power. The inadequate
+strength of the central government of Wei was further undermined by the
+rivalries among the dominant gentry. The imperial family (Ts'ao Pei, who
+reigned from 220 to 226, had taken as emperor the name of Wen Ti) was
+descended from one of the groups of great landowners that had formed in
+the later Han period. The nucleus of that group was a family named
+Ts'ui, of which there is mention from the Han period onward and which
+maintained its power down to the tenth century; but it remained in the
+background and at first held entirely aloof from direct intervention in
+high policy. Another family belonging to this group was the Hsia-hou
+family which was closely united to the family of Wen Ti by adoption; and
+very soon there was also the Ssŭ-ma family. Quite naturally Wen Ti, as
+soon as he came into power, made provision for the members of these
+powerful families, for only thanks to their support had he been able to
+ascend the throne and to maintain his hold on the throne. Thus we find
+many members of the Hsia-hou and Ssŭ-ma families in government
+positions. The Ssŭ-ma family especially showed great activity, and at
+the end of Wen Ti's reign their power had so grown that a certain Ssŭ-ma
+I was in control of the government, while the new emperor Ming Ti
+(227-233) was completely powerless. This virtually sealed the fate of
+the Wei dynasty, so far as the dynastic family was concerned. The next
+emperor was installed and deposed by the Ssŭ-ma family; dissensions
+arose within the ruling family, leading to members of the family
+assassinating one another. In 264 a member of the Ssŭ-ma family declared
+himself king; when he died and was succeeded by his son Ssŭ-ma Yen, the
+latter, in 265, staged a formal act of renunciation of the throne of the
+Wei dynasty and made himself the first ruler of the new Chin dynasty.
+There is nothing to gain by detailing all the intrigues that led up to
+this event: they all took place in the immediate environment of the
+court and in no way affected the people, except that every item of
+expenditure, including all the bribery, had to come out of the taxes
+paid by the people.
+
+With such a situation at court, with the bad economic situation in the
+country, and with the continual fighting against the two southern
+states, there could be no question of any far-reaching foreign policy.
+Parts of eastern Turkestan still showed some measure of allegiance to
+Wei, but only because at the time it had no stronger opponent. The
+Hsiung-nu beyond the frontier were suffering from a period of depression
+which was at the same time a period of reconstruction. They were
+beginning slowly to form together with Mongol elements a new unit, the
+Juan-juan, but at this time were still politically inactive. The
+nineteen tribes within north China held more and more closely together
+as militarily organized nomads, but did not yet represent a military
+power and remained loyal to the Wei. The only important element of
+trouble seems to have been furnished by the Hsien-pi tribes, who had
+joined with Wu-huan tribes and apparently also with vestiges of the
+Hsiung-nu in eastern Mongolia, and who made numerous raids over the
+frontier into the Wei empire. The state of Yen, in southern Manchuria,
+had already been destroyed by Wei in 238 thanks to Wei's good relations
+with Japan. Loose diplomatic relations were maintained with Japan in the
+period that followed; in that period many elements of Chinese
+civilization found their way into Japan and there, together with
+settlers from many parts of China, helped to transform the culture of
+ancient Japan.
+
+
+
+(B) The Western Chin dynasty (A.D. 265-317)
+
+
+1 _Internal situation in the Chin empire_
+
+The change of dynasty in the state of Wei did not bring any turn in
+China's internal history. Ssŭ-ma Yen, who as emperor was called Wu Ti
+(265-289), had come to the throne with the aid of his clique and his
+extraordinarily large and widely ramified family. To these he had to
+give offices as reward. There began at court once more the same
+spectacle as in the past, except that princes of the new imperial family
+now played a greater part than under the Wei dynasty, whose ruling house
+had consisted of a small family. It was now customary, in spite of the
+abolition of the feudal system, for the imperial princes to receive
+large regions to administer, the fiscal revenues of which represented
+their income. The princes were not, however, to exercise full authority
+in the style of the former feudal lords: their courts were full of
+imperial control officials. In the event of war it was their duty to
+come forward, like other governors, with an army in support of the
+central government. The various Chin princes succeeded, however, in
+making other governors, beyond the frontiers of their regions, dependent
+on them. Also, they collected armies of their own independently of the
+central government and used those armies to pursue personal policies.
+The members of the families allied with the ruling house, for their
+part, did all they could to extend their own power. Thus the first ruler
+of the dynasty was tossed to and fro between the conflicting interests
+and was himself powerless. But though intrigue was piled on intrigue,
+the ruler who, of course, himself had come to the head of the state by
+means of intrigues, was more watchful than the rulers of the Wei dynasty
+had been, and by shrewd counter-measures he repeatedly succeeded in
+playing off one party against another, so that the dynasty remained in
+power. Numerous widespread and furious risings nevertheless took place,
+usually led by princes. Thus during this period the history of the
+dynasty was of an extraordinarily dismal character.
+
+In spite of this, the Chin troops succeeded in overthrowing the second
+southern state, that of Wu (A.D. 280), and in so restoring the unity of
+the empire, the Shu Han realm having been already conquered by the Wei.
+After the destruction of Wu there remained no external enemy that
+represented a potential danger, so that a general disarmament was
+decreed (280) in order to restore a healthy economic and financial
+situation. This disarmament applied, of course, to the troops directly
+under the orders of the dynasty, namely the troops of the court and the
+capital and the imperial troops in the provinces. Disarmament could
+not, however, be carried out in the princes' regions, as the princes
+declared that they needed personal guards. The dismissal of the troops
+was accompanied by a decree ordering the surrender of arms. It may be
+assumed that the government proposed to mint money with the metal of the
+weapons surrendered, for coin (the old coin of the Wei dynasty) had
+become very scarce; as we indicated previously, money had largely been
+replaced by goods so that, for instance, grain and silks were used for
+the payment of salaries. China, from _c_. 200 A.D. on until the eighth
+century, remained in a period of such partial "natural economy".
+
+Naturally the decree for the surrender of weapons remained a
+dead-letter. The discharged soldiers kept their weapons at first and
+then preferred to sell them. A large part of them was acquired by the
+Hsiung-nu and the Hsien-pi in the north of China; apparently they
+usually gave up land in return. In this way many Chinese soldiers,
+though not all by any means, went as peasants to the regions in the
+north of China and beyond the frontier. They were glad to do so, for the
+Hsiung-nu and the Hsien-pi had not the efficient administration and
+rigid tax collection of the Chinese; and above all, they had no great
+landowners who could have organized the collection of taxes. For their
+part, the Hsiung-nu and the Hsien-pi had no reason to regret this
+immigration of peasants, who could provide them with the farm produce
+they needed. And at the same time they were receiving from them large
+quantities of the most modern weapons.
+
+This ineffective disarmament was undoubtedly the most pregnant event of
+the period of the western Chin dynasty. The measure was intended to save
+the cost of maintaining the soldiers and to bring them back to the land
+as peasants (and taxpayers); but the discharged men were not given land
+by the government. The disarmament achieved nothing, not even the
+desired increase in the money in circulation; what did happen was that
+the central government lost all practical power, while the military
+strength both of the dangerous princes within the country and also of
+the frontier people was increased. The results of these mistaken
+measures became evident at once and compelled the government to arm
+anew.
+
+
+2 _Effect on the frontier peoples_
+
+Four groups of frontier peoples drew more or less advantage from the
+demobilization law--the people of the Toba, the Tibetans, and the
+Hsien-pi in the north, and the nineteen tribes of the Hsiung-nu within
+the frontiers of the empire. In the course of time all sorts of
+complicated relations developed among those ascending peoples as well
+as between them and the Chinese.
+
+The Toba (T'o-pa) formed a small group in the north of the present
+province of Shansi, north of the city of Tat'ungfu, and they were about
+to develop their small state. They were primarily of Turkish origin, but
+had absorbed many tribes of the older Hsiung-nu and the Hsien-pi. In
+considering the ethnical relationships of all these northern peoples we
+must rid ourselves of our present-day notions of national unity. Among
+the Toba there were many Turkish tribes, but also Mongols, and probably
+a Tungus tribe, as well as perhaps others whom we cannot yet analyse.
+These tribes may even have spoken different languages, much as later not
+only Mongol but also Turkish was spoken in the Mongol empire. The
+political units they formed were tribal unions, not national states.
+
+Such a union or federation can be conceived of, structurally, as a cone.
+At the top point of the cone there was the person of the ruler of the
+federation. He was a member of the leading family or clan of the leading
+tribe (the two top layers of the cone). If we speak of the Toba as of
+Turkish stock, we mean that according to our present knowledge, this
+leading tribe (_a_) spoke a language belonging to the Turkish language
+family and (_b_) exhibited a pattern of culture which belonged to the
+type called above in Chapter One as "North-western Culture". The next
+layer of the cone represented the "inner circle of tribes", i.e. such
+tribes as had joined with the leading tribe at an early moment. The
+leading family of the leading tribe often took their wives from the
+leading families of the "inner tribes", and these leaders served as
+advisors and councillors to the leader of the federation. The next lower
+layer consisted of the "outer tribes", i.e. tribes which had joined the
+federation only later, often under strong pressure; their number was
+always much larger than the number of the "inner tribes", but their
+political influence was much weaker. Every layer below that of the
+"outer tribes" was regarded as inferior and more or less "unfree". There
+was many a tribe which, as a tribe, had to serve a free tribe; and there
+were others who, as tribes, had to serve the whole federation. In
+addition, there were individuals who had quit or had been forced to quit
+their tribe or their home and had joined the federation leader as his
+personal "bondsmen"; further, there were individual slaves and, finally,
+there were the large masses of agriculturists who had been conquered by
+the federation. When such a federation was dissolved, by defeat or inner
+dissent, individual tribes or groups of tribes could join a new
+federation or could resume independent life.
+
+Typically, such federations exhibited two tendencies. In the case of the
+Hsiung-nu we indicated already previously that the leader of the
+federation repeatedly attempted to build up a kind of bureaucratic
+system, using his bondsmen as a nucleus. A second tendency was to
+replace the original tribal leaders by members of the family of the
+federation leader. If this initial step, usually first taken when "outer
+tribes" were incorporated, was successful, a reorganization was
+attempted: instead of using tribal units in war, military units on the
+basis of "Groups of Hundred", "Groups of Thousand", etc., were created
+and the original tribes were dissolved into military regiments. In the
+course of time, and especially at the time of the dissolution of a
+federation, these military units had gained social coherence and
+appeared to be tribes again; we are probably correct in assuming that
+all "tribes" which we find from this time on were already "secondary"
+tribes of this type. A secondary tribe often took its name from its
+leader, but it could also revive an earlier "primary tribe" name.
+
+The Toba represented a good example for this "cone" structure of
+pastoral society. Also the Hsiung-nu of this time seem to have had a
+similar structure. Incidentally, we will from now on call the Hsiung-nu
+"Huns" because Chinese sources begin to call them "Hu", a term which
+also had a more general meaning (all non-Chinese in the north and west
+of China) as well as a more special meaning (non-Chinese in Central Asia
+and India).
+
+The Tibetans fell apart into two sub-groups, the Ch'iang and the Ti.
+Both names appeared repeatedly as political conceptions, but the
+Tibetans, like all other state-forming groups of peoples, sheltered in
+their realms countless alien elements. In the course of the third and
+second centuries B.C. the group of the Ti, mainly living in the
+territory of the present Szechwan, had mixed extensively with remains of
+the Yüeh-chih; the others, the Ch'iang, were northern Tibetans or
+so-called Tanguts; that is to say, they contained Turkish and Mongol
+elements. In A.D. 296 there began a great rising of the Ti, whose leader
+Ch'i Wan-nien took on the title emperor. The Ch'iang rose with them, but
+it was not until later, from 312, that they pursued an independent
+policy. The Ti State, however, though it had a second emperor, very soon
+lost importance, so that we shall be occupied solely with the Ch'iang.
+
+As the tribal structure of Tibetan groups was always weak and as
+leadership developed among them only in times of war, their states
+always show a military rather than a tribal structure, and the
+continuation of these states depended strongly upon the personal
+qualities of their leaders. Incidentally, Tibetans fundamentally were
+sheep-breeders and not horse-breeders and, therefore, they always
+showed inclination to incorporate infantry into their armies. Thus,
+Tibetan states differed strongly from the aristocratically organized
+"Turkish" states as well as from the tribal, non-aristocratic "Mongol"
+states of that period.
+
+The Hsien-pi, according to our present knowledge, were under "Mongol"
+leadership, i.e. we believe that the language of the leading group
+belonged to the family of Mongolian languages and that their culture
+belonged to the type described above as "Northern culture". They had, in
+addition, a strong admixture of Hunnic tribes. Throughout the period
+during which they played a part in history, they never succeeded in
+forming any great political unit, in strong contrast to the Huns, who
+excelled in state formation. The separate groups of the Hsien-pi pursued
+a policy of their own; very frequently Hsien-pi fought each other, and
+they never submitted to a common leadership. Thus their history is
+entirely that of small groups. As early as the Wei period there had been
+small-scale conflicts with the Hsien-pi tribes, and at times the tribes
+had had some success. The campaigns of the Hsien-pi against North China
+now increased, and in the course of them the various tribes formed
+firmer groupings, among which the Mu-jung tribes played a leading part.
+In 281, the year after the demobilization law, this group marched south
+into China, and occupied the region round Peking. After fierce fighting,
+in which the Mu-jung section suffered heavy losses, a treaty was signed
+in 289, under which the Mu-jung tribe of the Hsien-pi recognized Chinese
+overlordship. The Mu-jung were driven to this step mainly because they
+had been continually attacked from southern Manchuria by another
+Hsien-pi tribe, the Yü-wen, the tribe most closely related to them. The
+Mu-jung made use of the period of their so-called subjection to organize
+their community in North China.
+
+South of the Toba were the nineteen tribes of the Hsiung-nu or Huns, as
+we are now calling them. Their leader in A.D. 287, Liu Yüan, was one of
+the principal personages of this period. His name is purely Chinese, but
+he was descended from the Hun _shan-yü_, from the family and line of Mao
+Tun. His membership of that long-famous noble line and old ruling family
+of Huns gave him a prestige which he increased by his great organizing
+ability.
+
+
+3 _Struggles for the throne_
+
+We shall return to Liu Yüan later; we must now cast another glance at
+the official court of the Chin. In that court a family named Yang had
+become very powerful, a daughter of this family having become empress.
+When, however, the emperor died, the wife of the new emperor Hui Ti
+(290-306) secured the assassination of the old empress Yang and of her
+whole family. Thus began the rule at court of the Chia family. In 299
+the Chia family got rid of the heir to the throne, to whom they
+objected, assassinating this prince and another one. This event became
+the signal for large-scale activity on the part of the princes, each of
+whom was supported by particular groups of families. The princes had not
+complied with the disarmament law of 280 and so had become militarily
+supreme. The generals newly appointed in the course of the imperial
+rearmament at once entered into alliance with the princes, and thus were
+quite unreliable as officers of the government. Both the generals and
+the princes entered into agreements with the frontier peoples to assure
+their aid in the struggle for power. The most popular of these
+auxiliaries were the Hsien-pi, who were fighting for one of the princes
+whose territory lay in the east. Since the Toba were the natural enemies
+of the Hsien-pi, who were continually contesting their hold on their
+territory, the Toba were always on the opposite side to that supported
+by the Hsien-pi, so that they now supported generals who were ostensibly
+loyal to the government. The Huns, too, negotiated with several generals
+and princes and received tempting offers. Above all, all the frontier
+peoples were now militarily well equipped, continually receiving new war
+material from the Chinese who from time to time were co-operating with
+them.
+
+In A.D. 300 Prince Lun assassinated the empress Chia and removed her
+group. In 301 he made himself emperor, but in the same year he was
+killed by the prince of Ch'i. This prince was killed in 302 by the
+prince of Ch'ang-sha, who in turned was killed in 303 by the prince of
+Tung-hai. The prince of Ho-chien rose in 302 and was killed in 306; the
+prince of Ch'engtu rose in 303, conquered the capital in 305, and then,
+in 306, was himself removed. I mention all these names and dates only to
+show the disunion within the ruling groups.
+
+
+4 _Migration of Chinese_
+
+All these struggles raged round the capital, for each of the princes
+wanted to secure full power and to become emperor. Thus the border
+regions remained relatively undisturbed. Their population suffered much
+less from the warfare than the unfortunate people in the neighbourhood
+of the central government. For this reason there took place a mass
+migration of Chinese from the centre of the empire to its periphery.
+This process, together with the shifting of the frontier peoples, is one
+of the most important events of that epoch. A great number of Chinese
+migrated especially into the present province of Kansu, where a governor
+who had originally been sent there to fight the Hsien-pi had created a
+sort of paradise by his good administration and maintenance of peace.
+The territory ruled by this Chinese, first as governor and then in
+increasing independence, was surrounded by Hsien-pi, Tibetans, and other
+peoples, but thanks to the great immigration of Chinese and to its
+situation on the main caravan route to Turkestan, it was able to hold
+its own, to expand, and to become prosperous.
+
+Other groups of Chinese peasants migrated southwards into the
+territories of the former state of Wu. A Chinese prince of the house of
+the Chin was ruling there, in the present Nanking. His purpose was to
+organize that territory, and then to intervene in the struggles of the
+other princes. We shall meet him again at the beginning of the Hun rule
+over North China in 317, as founder and emperor of the first south
+Chinese dynasty, which was at once involved in the usual internal and
+external struggles. For the moment, however, the southern region was
+relatively at peace, and was accordingly attracting settlers.
+
+Finally, many Chinese migrated northward, into the territories of the
+frontier peoples, not only of the Hsien-pi but especially of the Huns.
+These alien peoples, although in the official Chinese view they were
+still barbarians, at least maintained peace in the territories they
+ruled, and they left in peace the peasants and craftsmen who came to
+them, even while their own armies were involved in fighting inside
+China. Not only peasants and craftsmen came to the north but more and
+more educated persons. Members of families of the gentry that had
+suffered from the fighting, people who had lost their influence in
+China, were welcomed by the Huns and appointed teachers and political
+advisers of the Hun nobility.
+
+
+5 _Victory of the Huns. The Hun Han dynasty (later renamed the Earlier
+Chao dynasty)_
+
+With its self-confidence thus increased, the Hun council of nobles
+declared that in future the Huns should no longer fight now for one and
+now for another Chinese general or prince. They had promised loyalty to
+the Chinese emperor, but not to any prince. No one doubted that the
+Chinese emperor was a complete nonentity and no longer played any part
+in the struggle for power. It was evident that the murders would
+continue until one of the generals or princes overcame the rest and made
+himself emperor. Why should not the Huns have the same right? Why should
+not they join in this struggle for the Chinese imperial throne?
+
+There were two arguments against this course, one of which was already
+out of date. The Chinese had for many centuries set down the Huns as
+uncultured barbarians; but the inferiority complex thus engendered in
+the Huns had virtually been overcome, because in the course of time
+their upper class had deliberately acquired a Chinese education and so
+ranked culturally with the Chinese. Thus the ruler Liu Yüan, for
+example, had enjoyed a good Chinese education and was able to read all
+the classical texts. The second argument was provided by the rigid
+conceptions of legitimacy to which the Turkish-Hunnic aristocratic
+society adhered. The Huns asked themselves: "Have we, as aliens, any
+right to become emperors and rulers in China, when we are not descended
+from an old Chinese family?" On this point Liu Yüan and his advisers
+found a good answer. They called Liu Yüan's dynasty the "Han dynasty",
+and so linked it with the most famous of all the Chinese dynasties,
+pointing to the pact which their ancestor Mao Tun had concluded five
+hundred years earlier with the first emperor of the Han dynasty and
+which had described the two states as "brethren". They further recalled
+the fact that the rulers of the Huns were closely related to the Chinese
+ruling family, because Mao Tun and his successors had married Chinese
+princesses. Finally, Liu Yüan's Chinese family name, Liu, had also been
+the family name of the rulers of the Han dynasty. Accordingly the Hun
+Lius came forward not as aliens but as the rightful successors in
+continuation of the Han dynasty, as legitimate heirs to the Chinese
+imperial throne on the strength of relationship and of treaties.
+
+Thus the Hun Liu Yüan had no intention of restoring the old empire of
+Mao Tun, the empire of the nomads; he intended to become emperor of
+China, emperor of a country of farmers. In this lay the fundamental
+difference between the earlier Hun empire and this new one. The question
+whether the Huns should join in the struggle for the Chinese imperial
+throne was therefore decided among the Huns themselves in 304 in the
+affirmative, by the founding of the "Hun Han dynasty". All that remained
+was the practical question of how to hold out with their small army of
+50,000 men if serious opposition should be offered to the "barbarians".
+
+Meanwhile Liu Yüan provided himself with court ceremonial on the Chinese
+model, in a capital which, after several changes, was established at
+P'ing-ch'êng in southern Shansi. He attracted more and more of the
+Chinese gentry, who were glad to come to this still rather barbaric but
+well-organized court. In 309 the first attack was made on the Chinese
+capital, Loyang. Liu Yüan died in the following year, and in 311, under
+his successor Liu Ts'ung (310-318), the attack was renewed and Loyang
+fell. The Chin emperor, Huai Ti, was captured and kept a prisoner in
+P'ing-ch'êng until in 313 a conspiracy in his favour was brought to
+light in the Hun empire, and he and all his supporters were killed.
+Meanwhile the Chinese clique of the Chin dynasty had hastened to make a
+prince emperor in the second capital, Ch'ang-an (Min Ti, 313-316) while
+the princes' struggles for the throne continued. Nobody troubled about
+the fate of the unfortunate emperor in his capital. He received no
+reinforcements, so that he was helpless in face of the next attack of
+the Huns, and in 316 he was compelled to surrender like his predecessor.
+Now the Hun Han dynasty held both capitals, which meant virtually the
+whole of the western part of North China, and the so-called "Western
+Chin dynasty" thus came to its end. Its princes and generals and many of
+its gentry became landless and homeless and had to flee into the south.
+
+
+
+(C) The alien empires in North China, down to the Toba (A.D. 317-385)
+
+
+1 _The Later Chao dynasty in eastern North China (Hun_; 329-352)
+
+At this time the eastern part of North China was entirely in the hands
+of Shih Lo, a former follower of Liu Yüan. Shih Lo had escaped from
+slavery in China and had risen to be a military leader among
+detribalized Huns. In 310 he had not only undertaken a great campaign
+right across China to the south, but had slaughtered more than 100,000
+Chinese, including forty-eight princes of the Chin dynasty, who had
+formed a vast burial procession for a prince. This achievement added
+considerably to Shih Lo's power, and his relations with Liu Ts'ung,
+already tense, became still more so. Liu Yüan had tried to organize the
+Hun state on the Chinese model, intending in this way to gain efficient
+control of China; Shih Lo rejected Chinese methods, and held to the old
+warrior-nomad tradition, making raids with the aid of nomad fighters. He
+did not contemplate holding the territories of central and southern
+China which he had conquered; he withdrew, and in the two years 314-315
+he contented himself with bringing considerable expanses in
+north-eastern China, especially territories of the Hsien-pi, under his
+direct rule, as a base for further raids. Many Huns in Liu Ts'ung's
+dominion found Shih Lo's method of rule more to their taste than living
+in a state ruled by officials, and they went over to Shih Lo and joined
+him in breaking entirely with Liu Ts'ung. There was a further motive for
+this: in states founded by nomads, with a federation of tribes as their
+basis, the personal qualities of the ruler played an important part. The
+chiefs of the various tribes would not give unqualified allegiance to
+the son of a dead ruler unless the son was a strong personality or gave
+promise of becoming one. Failing that, there would be independence
+movements. Liu Ts'ung did not possess the indisputable charisma of his
+predecessor Liu Yüan; and the Huns looked with contempt on his court
+splendour, which could only have been justified if he had conquered all
+China. Liu Ts'ung had no such ambition; nor had his successor Liu Yao
+(319-329), who gave the Hun Han dynasty retroactively, from its start
+with Liu Yüan, the new name of "Earlier Chao dynasty" (304-329). Many
+tribes then went over to Shih Lo, and the remainder of Liu Yao's empire
+was reduced to a precarious existence. In 329 the whole of it was
+annexed by Shih Lo.
+
+Although Shih Lo had long been much more powerful than the emperors of
+the "Earlier Chao dynasty", until their removal he had not ventured to
+assume the title of emperor. The reason for this seems to have lain in
+the conceptions of nobility held by the Turkish peoples in general and
+the Huns in particular, according to which only those could become
+_shan-yü_ (or, later, emperor) who could show descent from the Tu-ku
+tribe the rightful _shan-yü_ stock. In accordance with this conception,
+all later Hun dynasties deliberately disowned Shih Lo. For Shih Lo,
+after his destruction of Liu Yao, no longer hesitated: ex-slave as he
+was, and descended from one of the non-noble stocks of the Huns, he made
+himself emperor of the "Later Chao dynasty" (329-352).
+
+Shih Lo was a forceful army commander, but he was a man without
+statesmanship, and without the culture of his day. He had no Chinese
+education; he hated the Chinese and would have been glad to make north
+China a grazing ground for his nomad tribes of Huns. Accordingly he had
+no desire to rule all China. The part already subjugated, embracing the
+whole of north China with the exception of the present province of
+Kansu, sufficed for his purpose.
+
+The governor of that province was a loyal subject of the Chinese Chin
+dynasty, a man famous for his good administration, and himself a
+Chinese. After the execution of the Chin emperor Huai Ti by the Huns in
+313, he regarded himself as no longer bound to the central government;
+he made himself independent and founded the "Earlier Liang dynasty",
+which was to last until 376. This mainly Chinese realm was not very
+large, although it had admitted a broad stream of Chinese emigrants from
+the dissolving Chin empire; but economically the Liang realm was very
+prosperous, so that it was able to extend its influence as far as
+Turkestan. During the earlier struggles Turkestan had been virtually in
+isolation, but now new contacts began to be established. Many traders
+from Turkestan set up branches in Liang. In the capital there were whole
+quarters inhabited only by aliens from western and eastern Turkestan and
+from India. With the traders came Buddhist monks; trade and Buddhism
+seemed to be closely associated everywhere. In the trading centres
+monasteries were installed in the form of blocks of houses within strong
+walls that successfully resisted many an attack. Consequently the
+Buddhists were able to serve as bankers for the merchants, who deposited
+their money in the monasteries, which made a charge for its custody; the
+merchants also warehoused their goods in the monasteries. Sometimes the
+process was reversed, a trade centre being formed around an existing
+monastery. In this case the monastery also served as a hostel for the
+merchants. Economically this Chinese state in Kansu was much more like a
+Turkestan city state that lived by commerce than the agrarian states of
+the Far East, although agriculture was also pursued under the Earlier
+Liang.
+
+From this trip to the remote west we will return first to the Hun
+capital. From 329 onward Shih Lo possessed a wide empire, but an
+unstable one. He himself felt at all times insecure, because the Huns
+regarded him, on account of his humble origin, as a "revolutionary". He
+exterminated every member of the Liu family, that is to say the
+old _shan-yü_ family, of whom he could get hold, in order to remove any
+possible pretender to the throne; but he could not count on the loyalty
+of the Hun and other Turkish tribes under his rule. During this period
+not a few Huns went over to the small realm of the Toba; other Hun
+tribes withdrew entirely from the political scene and lived with their
+herds as nomad tribes in Shansi and in the Ordos region. The general
+insecurity undermined the strength of Shih Lo's empire. He died in 333,
+and there came to the throne, after a short interregnum, another
+personality of a certain greatness, Shih Hu (334-349). He transferred
+the capital to the city of Yeh, in northern Honan, where the rulers of
+the Wei dynasty had reigned. There are many accounts of the magnificence
+of the court of Yeh. Foreigners, especially Buddhist monks, played a
+greater part there than Chinese. On the one hand, it was not easy for
+Shih Hu to gain the active support of the educated Chinese gentry after
+the murders of Shih Lo and, on the other hand, Shih Hu seems to have
+understood that foreigners without family and without other relations to
+the native population, but with special skills, are the most reliable
+and loyal servants of a ruler. Indeed, his administration seems to have
+been good, but the regime remained completely parasitic, with no
+support of the masses or the gentry. After Shih Hu's death there were
+fearful combats between his sons; ultimately a member of an entirely
+different family of Hun origin seized power, but was destroyed in 352 by
+the Hsien-pi, bringing to an end the Later Chao dynasty.
+
+
+2 _Earlier Yen dynasty in the north-east (proto-Mongol; 352-370), and
+the Earlier Ch'in dynasty in all north China (Tibetan; 351-394)_
+
+In the north, proto-Mongol Hsien-pi tribes had again made themselves
+independent; in the past they had been subjects of Liu Yüan and then of
+Shih Lo. A man belonging to one of these tribes, the tribe of the
+Mu-jung, became the leader of a league of tribes, and in 337 founded the
+state of Yen. This proto-Mongol state of the Mu-jung, which the
+historians call the "Earlier Yen" state, conquered parts of southern
+Manchuria and also the state of Kao-li in Korea, and there began then an
+immigration of Hsien-pi into Korea, which became noticeable at a later
+date. The conquest of Korea, which was still, as in the past, a Japanese
+market and was very wealthy, enormously strengthened the state of Yen.
+Not until a little later, when Japan's trade relations were diverted to
+central China, did Korea's importance begin to diminish. Although this
+"Earlier Yen dynasty" of the Mu-jung officially entered on the heritage
+of the Huns, and its régime was therefore dated only from 352 (until
+370), it failed either to subjugate the whole realm of the "Later Chao"
+or effectively to strengthen the state it had acquired. This old Hun
+territory had suffered economically from the anti-agrarian nomad
+tendency of the last of the Hun emperors; and unremunerative wars
+against the Chinese in the south had done nothing to improve its
+position. In addition to this, the realm of the Toba was dangerously
+gaining strength on the flank of the new empire. But the most dangerous
+enemy was in the west, on former Hun soil, in the province of
+Shensi--Tibetans, who finally came forward once more with claims to
+dominance. These were Tibetans of the P'u family, which later changed
+its name to Fu. The head of the family had worked his way up as a leader
+of Tibetan auxiliaries under the "Later Chao", gaining more and more
+power and following. When under that dynasty the death of Shih Hu marked
+the beginning of general dissolution, he gathered his Tibetans around
+him in the west, declared himself independent of the Huns, and made
+himself emperor of the "Earlier Ch'in dynasty" (351-394). He died in
+355, and was followed after a short interregnum by Fu Chien (357-385),
+who was unquestionably one of the most important figures of the fourth
+century. This Tibetan empire ultimately defeated the "Earlier Yen
+dynasty" and annexed the realm of the Mu-jung. Thus the Mu-jung Hsien-pi
+came under the dominion of the Tibetans; they were distributed among a
+number of places as garrisons of mounted troops.
+
+The empire of the Tibetans was organized quite differently from the
+empires of the Huns and the Hsien-pi tribes. The Tibetan organization
+was purely military and had nothing to do with tribal structure. This
+had its advantages, for the leader of such a formation had no need to
+take account of tribal chieftains; he was answerable to no one and
+possessed considerable personal power. Nor was there any need for him to
+be of noble rank or descended from an old family. The Tibetan ruler Fu
+Chien organized all his troops, including the non-Tibetans, on this
+system, without regard to tribal membership.
+
+Fu Chien's state showed another innovation: the armies of the Huns and
+the Hsien-pi had consisted entirely of cavalry, for the nomads of the
+north were, of course, horsemen; to fight on foot was in their eyes not
+only contrary to custom but contemptible. So long as a state consisted
+only of a league of tribes, it was simply out of the question to
+transform part of the army into infantry. Fu Chien, however, with his
+military organization that paid no attention to the tribal element,
+created an infantry in addition to the great cavalry units, recruiting
+for it large numbers of Chinese. The infantry proved extremely valuable,
+especially in the fighting in the plains of north China and in laying
+siege to fortified towns. Fu Chien thus very quickly achieved military
+predominance over the neighbouring states. As we have seen already, he
+annexed the "Earlier Yen" realm of the proto-Mongols (370), but he also
+annihilated the Chinese "Earlier Liang" realm (376) and in the same year
+the small Turkish Toba realm. This made him supreme over all north China
+and stronger than any alien ruler before him. He had in his possession
+both the ancient capitals, Ch'ang-an and Loyang; the whole of the rich
+agricultural regions of north China belonged to him; he also controlled
+the routes to Turkestan. He himself had had a Chinese education, and he
+attracted Chinese to his court; he protected the Buddhists; and he tried
+in every way to make the whole country culturally Chinese. As soon as Fu
+Chien had all north China in his power, as Liu Yüan and his Huns had
+done before him, he resolved, like Liu Yüan, to make every effort to
+gain the mastery over all China, to become emperor of China. Liu Yüan's
+successors had not had the capacity for which such a venture called; Fu
+Chien was to fail in it for other reasons. Yet, from a military point
+of view, his chances were not bad. He had far more soldiers under his
+command than the Chinese "Eastern Chin dynasty" which ruled the south,
+and his troops were undoubtedly better. In the time of the founder of
+the Tibetan dynasty the southern empire had been utterly defeated by his
+troops (354), and the south Chinese were no stronger now.
+
+Against them the north had these assets: the possession of the best
+northern tillage, the control of the trade routes, and "Chinese" culture
+and administration. At the time, however, these represented only
+potentialities and not tangible realities. It would have taken ten to
+twenty years to restore the capacities of the north after its
+devastation in many wars, to reorganize commerce, and to set up a really
+reliable administration, and thus to interlock the various elements and
+consolidate the various tribes. But as early as 383 Fu Chien started his
+great campaign against the south, with an army of something like a
+million men. At first the advance went well. The horsemen from the
+north, however, were men of the mountain country, and in the soggy
+plains of the Yangtze region, cut up by hundreds of water-courses and
+canals, they suffered from climatic and natural conditions to which they
+were unaccustomed. Their main strength was still in cavalry; and they
+came to grief. The supplies and reinforcements for the vast army failed
+to arrive in time; units did not reach the appointed places at the
+appointed dates. The southern troops under the supreme command of Hsieh
+Hsüan, far inferior in numbers and militarily of no great efficiency,
+made surprise attacks on isolated units before these were in regular
+formation. Some they defeated, others they bribed; they spread false
+reports. Fu Chien's army was seized with widespread panic, so that he
+was compelled to retreat in haste. As he did so it became evident that
+his empire had no inner stability: in a very short time it fell into
+fragments. The south Chinese had played no direct part in this, for in
+spite of their victory they were not strong enough to advance far to the
+north.
+
+
+3 _The fragmentation of north China_
+
+The first to fall away from the Tibetan ruler was a noble of the
+Mu-jung, a member of the ruling family of the "Earlier Yen dynasty", who
+withdrew during the actual fighting to pursue a policy of his own. With
+the vestiges of the Hsien-pi who followed him, mostly cavalry, he fought
+his way northwards into the old homeland of the Hsien-pi and there, in
+central Hopei, founded the "Later Yen dynasty" (384-409), himself
+reigning for twelve years. In the remaining thirteen years of the
+existence of that dynasty there were no fewer than five rulers, the
+last of them a member of another family. The history of this Hsien-pi
+dynasty, as of its predecessor, is an unedifying succession of
+intrigues; no serious effort was made to build up a true state.
+
+In the same year 384 there was founded, under several other Mu-jung
+princes of the ruling family of the "Earlier Yen dynasty", the "Western
+Yen dynasty" (384-394). Its nucleus was nothing more than a detachment
+of troops of the Hsien-pi which had been thrown by Fu Chien into the
+west of his empire, in Shensi, in the neighbourhood of the old capital
+Ch'ang-an. There its commanders, on learning the news of Fu Chien's
+collapse, declared their independence. In western China, however, far
+removed from all liaison with the main body of the Hsien-pi, they were
+unable to establish themselves, and when they tried to fight their way
+to the north-east they were dispersed, so that they failed entirely to
+form an actual state.
+
+There was a third attempt in 384 to form a state in north China. A
+Tibetan who had joined Fu Chien with his followers declared himself
+independent when Fu Chien came back, a beaten man, to Shensi. He caused
+Fu Chien and almost the whole of his family to be assassinated, occupied
+the capital, Ch'ang-an, and actually entered into the heritage of Fu
+Chien. This Tibetan dynasty is known as the "Later Ch'in dynasty"
+(384-417). It was certainly the strongest of those founded in 384, but
+it still failed to dominate any considerable part of China and remained
+of local importance, mainly confined to the present province of Shensi.
+Fu Chien's empire nominally had three further rulers, but they did not
+exert the slightest influence on events.
+
+With the collapse of the state founded by Fu Chien, the tribes of
+Hsien-pi who had left their homeland in the third century and migrated
+to the Ordos region proceeded to form their own state: a man of the
+Hsien-pi tribe of the Ch'i-fu founded the so-called "Western Ch'in
+dynasty" (385-431). Like the other Hsien-pi states, this one was of weak
+construction, resting on the military strength of a few tribes and
+failing to attain a really secure basis. Its territory lay in the east
+of the present province of Kansu, and so controlled the eastern end of
+the western Asian caravan route, which might have been a source of
+wealth if the Ch'i-fu had succeeded in attracting commerce by discreet
+treatment and in imposing taxation on it. Instead of this, the bulk of
+the long-distance traffic passed through the Ordos region, a little
+farther north, avoiding the Ch'i-fu state, which seemed to the merchants
+to be too insecure. The Ch'i-fu depended mainly on cattle-breeding in
+the remote mountain country in the south of their territory, a region
+that gave them relative security from attack; on the other hand, this
+made them unable to exercise any influence on the course of political
+events in western China.
+
+Mention must be made of one more state that rose from the ruins of Fu
+Chien's empire. It lay in the far west of China, in the western part of
+the present province of Kansu, and was really a continuation of the
+Chinese "Earlier Liang" realm, which had been annexed ten years earlier
+(376) by Fu Chien. A year before his great march to the south, Fu Chien
+had sent the Tibetan Lü Kuang into the "Earlier Liang" region in order
+to gain influence over Turkestan. As mentioned previously, after the
+great Hun rulers Fu Chien was the first to make a deliberate attempt to
+secure cultural and political overlordship over the whole of China.
+Although himself a Tibetan, he never succumbed to the temptation of
+pursuing a "Tibetan" policy; like an entirely legitimate ruler of China,
+he was concerned to prevent the northern peoples along the frontier from
+uniting with the Tibetan peoples of the west for political ends. The
+possession of Turkestan would avert that danger, which had shown signs
+of becoming imminent of late: some tribes of the Hsien-pi had migrated
+as far as the high mountains of Tibet and had imposed themselves as a
+ruling class on the still very primitive Tibetans living there. From
+this symbiosis there began to be formed a new people, the so-called
+T'u-yü-hun, a hybridization of Mongol and Tibetan stock with a slight
+Turkish admixture. Lü Kuang had had considerable success in Turkestan;
+he had brought considerable portions of eastern Turkestan under Fu
+Chien's sovereignty and administered those regions almost independently.
+When the news came of Fu Chien's end, he declared himself an independent
+ruler, of the "Later Liang" dynasty (386-403). Strictly speaking, this
+was simply a trading State, like the city-states of Turkestan: its basis
+was the transit traffic that brought it prosperity. For commerce brought
+good profit to the small states that lay right across the caravan route,
+whereas it was of doubtful benefit, as we know, to agrarian China as a
+whole, because the luxury goods which it supplied to the court were paid
+for out of the production of the general population.
+
+This "Later Liang" realm was inhabited not only by a few Tibetans and
+many Chinese, but also by Hsien-pi and Huns. These heterogeneous
+elements with their divergent cultures failed in the long run to hold
+together in this long but extremely narrow strip of territory, which was
+almost incapable of military defence. As early as 397 a group of Huns in
+the central section of the country made themselves independent, assuming
+the name of the "Northern Liang" (397-439). These Huns quickly conquered
+other parts of the "Later Liang" realm, which then fell entirely to
+pieces. Chinese again founded a state, "West Liang" (400-421) in western
+Kansu, and the Hsien-pi founded "South Liang" (379-414) in eastern
+Kansu. Thus the "Later Liang" fell into three parts, more or less
+differing ethnically, though they could not be described as ethnically
+unadulterated states.
+
+
+4 _Sociological analysis of the two great alien empires_
+
+The two great empires of north China at the time of its division had
+been founded by non-Chinese--the first by the Hun Liu Yüan, the second
+by the Tibetan Fu Chien. Both rulers went to work on the same principle
+of trying to build up truly "Chinese" empires, but the traditions of
+Huns and Tibetans differed, and the two experiments turned out
+differently. Both failed, but not for the same reasons and not with the
+same results. The Hun Liu Yüan was the ruler of a league of feudal
+tribes, which was expected to take its place as an upper class above the
+unchanged Chinese agricultural population with its system of officials
+and gentry. But Liu Yüan's successors were national reactionaries who
+stood for the maintenance of the nomad life against that new plan of
+transition to a feudal class of urban nobles ruling an agrarian
+population. Liu Yüan's more far-seeing policy was abandoned, with the
+result that the Huns were no longer in a position to rule an immense
+agrarian territory, and the empire soon disintegrated. For the various
+Hun tribes this failure meant falling back into political
+insignificance, but they were able to maintain their national character
+and existence.
+
+Fu Chien, as a Tibetan, was a militarist and soldier, in accordance with
+the past of the Tibetans. Under him were grouped Tibetans without tribal
+chieftains; the great mass of Chinese; and dispersed remnants of tribes
+of Huns, Hsien-pi, and others. His organization was militaristic and,
+outside the military sphere, a militaristic bureaucracy. The Chinese
+gentry, so far as they still existed, preferred to work with him rather
+than with the feudalist Huns. These gentry probably supported Fu Chien's
+southern campaign, for, in consequence of the wide ramifications of
+their families, it was to their interest that China should form a single
+economic unit. They were, of course, equally ready to work with another
+group, one of southern Chinese, to attain the same end by other means,
+if those means should prove more advantageous: thus the gentry were not
+a reliable asset, but were always ready to break faith. Among other
+things, Fu Chien's southern campaign was wrecked by that faithlessness.
+When an essentially military state suffers military defeat, it can only
+go to pieces. This explains the disintegration of that great empire
+within a single year into so many diminutive states, as already
+described.
+
+
+5 _Sociological analysis of the petty States_
+
+The states that took the place of Fu Chien's empire, those many
+diminutive states (the Chinese speak of the period of the Sixteen
+Kingdoms), may be divided from the economic point of view into two
+groups--trading states and warrior states; sociologically they also fall
+into two groups, tribal states and military states.
+
+The small states in the west, in Kansu (the Later Liang and the Western,
+Northern, and Southern Liang), were trading states: they lived on the
+earnings of transit trade with Turkestan. The eastern states were
+warrior states, in which an army commander ruled by means of an armed
+group of non-Chinese and exploited an agricultural population. It is
+only logical that such states should be short-lived, as in fact they all
+were.
+
+Sociologically regarded, during this period only the Southern and
+Northern Liang were still tribal states. In addition to these came the
+young Toba realm, which began in 385 but of which mention has not yet
+been made. The basis of that state was the tribe, not the family or the
+individual; after its political disintegration the separate tribes
+remained in existence. The other states of the east, however, were
+military states, made up of individuals with no tribal allegiance but
+subject to a military commandant. But where there is no tribal
+association, after the political downfall of a state founded by ethnical
+groups, those groups sooner or later disappear as such. We see this in
+the years immediately following Fu Chien's collapse: the Tibetan
+ethnical group to which he himself belonged disappeared entirely from
+the historical scene. The two Tibetan groups that outlasted him, also
+forming military states and not tribal states, similarly came to an end
+shortly afterwards for all time. The Hsien-pi groups in the various
+fragments of the empire, with the exception of the petty states in
+Kansu, also continued, only as tribal fragments led by a few old ruling
+families. They, too, after brief and undistinguished military rule, came
+to an end; they disappeared so completely that thereafter we no longer
+find the term Hsien-pi in history. Not that they had been exterminated.
+When the social structure and its corresponding economic form fall to
+pieces, there remain only two alternatives for its individuals. Either
+they must go over to a new form, which in China could only mean that
+they became Chinese; many Hsien-pi in this way became Chinese in the
+decades following 384. Or, they could retain their old way of living in
+association with another stock of similar formation; this, too, happened
+in many cases. Both these courses, however, meant the end of the
+Hsien-pi as an independent ethnical unit. We must keep this process and
+its reasons in view if we are to understand how a great people can
+disappear once and for all.
+
+The Huns, too, so powerful in the past, were suddenly scarcely to be
+found any longer. Among the many petty states there were many Hsien-pi
+kingdoms, but only a single, quite small Hun state, that of the Northern
+Liang. The disappearance of the Huns was, however, only apparent; at
+this time they remained in the Ordos region and in Shansi as separate
+nomad tribes with no integrating political organization; their time had
+still to come.
+
+
+6 _Spread of Buddhism_
+
+According to the prevalent Chinese view, nothing of importance was
+achieved during this period in north China in the intellectual sphere;
+there was no culture in the north, only in the south. This is natural:
+for a Confucian this period, the fourth century, was one of degeneracy
+in north China, for no one came into prominence as a celebrated
+Confucian. Nothing else could be expected, for in the north the gentry,
+which had been the class that maintained Confucianism since the Han
+period, had largely been destroyed; from political leadership especially
+it had been shut out during the periods of alien rule. Nor could we
+expect to find Taoists in the true sense, that is to say followers of
+the teaching of Lao Tzŭ, for these, too, had been dependent since the
+Han period on the gentry. Until the fourth century, these two had
+remained the dominant philosophies.
+
+What could take their place? The alien rulers had left little behind
+them. Most of them had been unable to write Chinese, and in so far as
+they were warriors they had no interest in literature or in political
+philosophy, for they were men of action. Few songs and poems of theirs
+remain extant in translations from their language into Chinese, but
+these preserve a strong alien flavour in their mental attitude and in
+their diction. They are the songs of fighting men, songs that were sung
+on horseback, songs of war and its sufferings. These songs have nothing
+of the excessive formalism and aestheticism of the Chinese, but give
+expression to simple emotions in unpolished language with a direct
+appeal. The epic of the Turkish peoples had clearly been developed
+already, and in north China it produced a rudimentary ballad literature,
+to which four hundred years later no less attention was paid than to the
+emotional world of contemporary songs.
+
+The actual literature, however, and the philosophy of this period are
+Buddhist. How can we explain that Buddhism had gained such influence?
+
+It will be remembered that Buddhism came to China overland and by sea in
+the Han epoch. The missionary monks who came from abroad with the
+foreign merchants found little approval among the Chinese gentry. They
+were regarded as second-rate persons belonging, according to Chinese
+notions, to an inferior social class. Thus the monks had to turn to the
+middle and lower classes in China. Among these they found widespread
+acceptance, not of their profound philosophic ideas, but of their
+doctrine of the after life. This doctrine was in a certain sense
+revolutionary: it declared that all the high officials and superiors who
+treated the people so unjustly and who so exploited them, would in their
+next reincarnation be born in poor circumstances or into inferior rank
+and would have to suffer punishment for all their ill deeds. The poor
+who had to suffer undeserved evils would be born in their next life into
+high rank and would have a good time. This doctrine brought a ray of
+light, a promise, to the country people who had suffered so much since
+the later Han period of the second century A.D. Their situation remained
+unaltered down to the fourth century; and under their alien rulers the
+Chinese country population became Buddhist.
+
+The merchants made use of the Buddhist monasteries as banks and
+warehouses. Thus they, too, were well inclined towards Buddhism and gave
+money and land for its temples. The temples were able to settle peasants
+on this land as their tenants. In those times a temple was a more
+reliable landlord than an individual alien, and the poorer peasants
+readily became temple tenants; this increased their inclination towards
+Buddhism.
+
+The Indian, Sogdian, and Turkestani monks were readily allowed to settle
+by the alien rulers of China, who had no national prejudice against
+other aliens. The monks were educated men and brought some useful
+knowledge from abroad. Educated Chinese were scarcely to be found, for
+the gentry retired to their estates, which they protected as well as
+they could from their alien ruler. So long as the gentry had no prospect
+of regaining control of the threads of political life that extended
+throughout China, they were not prepared to provide a class of officials
+and scholars for the anti-Confucian foreigners, who showed interest only
+in fighting and trading. Thus educated persons were needed at the courts
+of the alien rulers, and Buddhists were therefore engaged. These foreign
+Buddhists had all the important Buddhist writings translated into
+Chinese, and so made use of their influence at court for religious
+propaganda.
+
+This does not mean that every text was translated from Indian languages;
+especially in the later period many works appeared which came not from
+India but from Sogdia or Turkestan, or had even been written in China by
+Sogdians or other natives of Turkestan, and were then translated into
+Chinese. In Turkestan, Khotan in particular became a centre of Buddhist
+culture. Buddhism was influenced by vestiges of indigenous cults, so
+that Khotan developed a special religious atmosphere of its own; deities
+were honoured there (for instance, the king of Heaven of the
+northerners) to whom little regard was paid elsewhere. This "Khotan
+Buddhism" had special influence on the Buddhist Turkish peoples.
+
+Big translation bureaux were set up for the preparation of these
+translations into Chinese, in which many copyists simultaneously took
+down from dictation a translation made by a "master" with the aid of a
+few native helpers. The translations were not literal but were
+paraphrases, most of them greatly reduced in length, glosses were
+introduced when the translator thought fit for political or doctrinal
+reasons, or when he thought that in this way he could better adapt the
+texts to Chinese feeling.
+
+Buddhism, quite apart from the special case of "Khotan Buddhism",
+underwent extensive modification on its way across Central Asia. Its
+main Indian form (Hinayana) was a purely individualistic religion of
+salvation without a God--related in this respect to genuine Taoism--and
+based on a concept of two classes of people: the monks who could achieve
+salvation and, secondly, the masses who fed the monks but could not
+achieve salvation. This religion did not gain a footing in China; only
+traces of it can be found in some Buddhistic sects in China. Mahayana
+Buddhism, on the other hand, developed into a true popular religion of
+salvation. It did not interfere with the indigenous deities and did not
+discountenance life in human society; it did not recommend Nirvana at
+once, but placed before it a here-after with all the joys worth striving
+for. In this form Buddhism was certain of success in Asia. On its way
+from India to China it divided into countless separate streams, each
+characterized by a particular book. Every nuance, from profound
+philosophical treatises to the most superficial little tracts written
+for the simplest of souls, and even a good deal of Turkestan shamanism
+and Tibetan belief in magic, found their way into Buddhist writings, so
+that some Buddhist monks practised Central Asian Shamanism.
+
+In spite of Buddhism, the old religion of the peasants retained its
+vitality. Local diviners, Chinese shamans (_wu_), sorcerers, continued
+their practices, although from now on they sometimes used Buddhist
+phraseology. Often, this popular religion is called "Taoism", because a
+systematization of the popular pantheon was attempted, and Lao Tzŭ and
+other Taoists played a role in this pantheon. Philosophic Taoism
+continued in this time, aside from the church-Taoism of Chang Ling and,
+naturally, all kinds of contacts between these three currents occurred.
+The Chinese state cult, the cult of Heaven saturated with Confucianism,
+was another living form of religion. The alien rulers, in turn, had
+brought their own mixture of worship of Heaven and shamanism. Their
+worship of Heaven was their official "representative" religion; their
+shamanism the private religion of the individual in his daily life. The
+alien rulers, accordingly, showed interest in the Chinese shamans as
+well as in the shamanistic aspects of Mahayana Buddhism. Not
+infrequently competitions were arranged by the rulers between priests of
+the different religious systems, and the rulers often competed for the
+possession of monks who were particularly skilled in magic or
+soothsaying.
+
+But what was the position of the "official" religion? Were the aliens to
+hold to their own worship of heaven, or were they to take over the
+official Chinese cult, or what else? This problem posed itself already
+in the fourth century, but it was left unsolved.
+
+
+
+(D) The Toba empire in North China (A.D. 385-550)
+
+
+1 _The rise of the Toba State_
+
+On the collapse of Fu Chien's empire one more state made its appearance;
+it has not yet been dealt with, although it was the most important one.
+This was the empire of the Toba, in the north of the present province of
+Shansi. Fu Chien had brought down the small old Toba state in 376, but
+had not entirely destroyed it. Its territory was partitioned, and part
+was placed under the administration of a Hun: in view of the old rivalry
+between Toba and Huns, this seemed to Fu Chien to be the best way of
+preventing any revival of the Toba. However, a descendant of the old
+ruling family of the Toba succeeded, with the aid of related families,
+in regaining power and forming a small new kingdom. Very soon many
+tribes which still lived in north China and which had not been broken up
+into military units, joined him. Of these there were ultimately 119,
+including many Hun tribes from Shansi and also many Hsien-pi tribes.
+Thus the question who the Toba were is not easy to answer. The leading
+tribe itself had migrated southward in the third century from the
+frontier territory between northern Mongolia and northern Manchuria.
+After this migration the first Toba state, the so-called Tai state, was
+formed (338-376); not much is known about it. The tribes that, from 385
+after the break-up of the Tibetan empire, grouped themselves round this
+ruling tribe, were both Turkish and Mongol; but from the culture and
+language of the Toba we think it must be inferred that the ruling tribe
+itself as well as the majority of the other tribes were Turkish; in any
+case, the Turkish element seems to have been stronger than the
+Mongolian.
+
+Thus the new Toba kingdom was a tribal state, not a military state. But
+the tribes were no longer the same as in the time of Liu Yüan a hundred
+years earlier. Their total population must have been quite small; we
+must assume that they were but the remains of 119 tribes rather than 119
+full-sized tribes. Only part of them were still living the old nomad
+life; others had become used to living alongside Chinese peasants and
+had assumed leadership among the peasants. These Toba now faced a
+difficult situation. The country was arid and mountainous and did not
+yield much agricultural produce. For the many people who had come into
+the Toba state from all parts of the former empire of Fu Chien, to say
+nothing of the needs of a capital and a court which since the time of
+Liu Yüan had been regarded as the indispensable entourage of a ruler who
+claimed imperial rank, the local production of the Chinese peasants was
+not enough. All the government officials, who were Chinese, and all the
+slaves and eunuchs needed grain to eat. Attempts were made to settle
+more Chinese peasants round the new capital, but without success;
+something had to be done. It appeared necessary to embark on a campaign
+to conquer the fertile plain of eastern China. In the course of a number
+of battles the Hsien-pi of the "Later Yen" were annihilated and eastern
+China conquered (409).
+
+Now a new question arose: what should be done with all those people?
+Nomads used to enslave their prisoners and use them for watching their
+flocks. Some tribal chieftains had adopted the practice of establishing
+captives on their tribal territory as peasants. There was an opportunity
+now to subject the millions of Chinese captives to servitude to the
+various tribal chieftains in the usual way. But those captives who were
+peasants could not be taken away from their fields without robbing the
+country of its food; therefore it would have been necessary to spread
+the tribes over the whole of eastern China, and this would have added
+immensely to the strength of the various tribes and would have greatly
+weakened the central power. Furthermore almost all Chinese officials at
+the court had come originally from the territories just conquered. They
+had come from there about a hundred years earlier and still had all
+their relatives in the east. If the eastern territories had been placed
+under the rule of separate tribes, and the tribes had been distributed
+in this way, the gentry in those territories would have been destroyed
+and reduced to the position of enslaved peasants. The Chinese officials
+accordingly persuaded the Toba emperor not to place the new territories
+under the tribes, but to leave them to be administered by officials of
+the central administration. These officials must have a firm footing in
+their territory, for only they could extract from the peasants the grain
+required for the support of the capital. Consequently the Toba
+government did not enslave the Chinese in the eastern territory, but
+made the local gentry into government officials, instructing them to
+collect as much grain as possible for the capital. This Chinese local
+gentry worked in close collaboration with the Chinese officials at
+court, a fact which determined the whole fate of the Toba empire.
+
+The Hsien-pi of the newly conquered east no longer belonged to any
+tribe, but only to military units. They were transferred as soldiers to
+the Toba court and placed directly under the government, which was thus
+notably strengthened, especially as the millions of peasants under their
+Chinese officials were also directly responsible to the central
+administration. The government now proceeded to convert also its own
+Toba tribes into military formations. The tribal men of noble rank were
+brought to the court as military officers, and so were separated from
+the common tribesmen and the slaves who had to remain with the herds.
+This change, which robbed the tribes of all means of independent action,
+was not carried out without bloodshed. There were revolts of tribal
+chieftains which were ruthlessly suppressed. The central government had
+triumphed, but it realized that more reliance could be placed on Chinese
+than on its own people, who were used to independence. Thus the Toba
+were glad to employ more and more Chinese, and the Chinese pressed more
+and more into the administration. In this process the differing social
+organizations of Toba and Chinese played an important part. The Chinese
+have patriarchal families with often hundreds of members. When a member
+of a family obtains a good position, he is obliged to make provision for
+the other members of his family and to secure good positions for them
+too; and not only the members of his own family but those of allied
+families and of families related to it by marriage. In contrast the Toba
+had a patriarchal nuclear family system; as nomad warriors with no fixed
+abode, they were unable to form extended family groups. Among them the
+individual was much more independent; each one tried to do his best for
+himself. No Toba thought of collecting a large clique around himself;
+everybody should be the artificer of his own fortune. Thus, when a
+Chinese obtained an official post, he was followed by countless others;
+but when a Toba had a position he remained alone, and so the
+sinification of the Toba empire went on incessantly.
+
+
+2 _The Hun kingdom of the Hsia (407-431)_
+
+At the rebuilding of the Toba empire, however, a good many Hun tribes
+withdrew westward into the Ordos region beyond the reach of the Toba,
+and there they formed the Hun "Hsia" kingdom. Its ruler, Ho-lien
+P'o-p'o, belonged to the family of Mao Tun and originally, like Liu
+Yüan, bore the sinified family name Liu; but he altered this to a Hun
+name, taking the family name of Ho-lien. This one fact alone
+demonstrates that the Hsia rejected Chinese culture and were
+nationalistic Hun. Thus there were now two realms in North China, one
+undergoing progressive sinification, the other falling back to the old
+traditions of the Huns.
+
+
+3 _Rise of the Toba to a great Power_
+
+The present province of Szechwan, in the west, had belonged to Fu
+Chien's empire. At the break-up of the Tibetan state that province
+passed to the southern Chinese empire and gave the southern Chinese
+access, though it was very difficult access, to the caravan route
+leading to Turkestan. The small states in Kansu, which dominated the
+route, now passed on the traffic along two routes, one northward to the
+Toba and the other alien states in north China, the other through
+north-west Szechwan to south China. In this way the Kansu states were
+strengthened both economically and politically, for they were able to
+direct the commerce either to the northern states or to south China as
+suited them. When the South Chinese saw the break-up of Fu Chien's
+empire into numberless fragments, Liu Yü, who was then all-powerful at
+the South Chinese court, made an attempt to conquer the whole of western
+China. A great army was sent from South China into the province of
+Shensi, where the Tibetan empire of the "Later Ch'in" was situated. The
+Ch'in appealed to the Toba for help, but the Toba were themselves too
+hotly engaged to be able to spare troops. They also considered that
+South China would be unable to maintain these conquests, and that they
+themselves would find them later an easy prey. Thus in 417 the state of
+"Later Ch'in" received a mortal blow from the South Chinese army. Large
+numbers of the upper class fled to the Toba. As had been foreseen, the
+South Chinese were unable to maintain their hold over the conquered
+territory, and it was annexed with ease by the Hun Ho-lien P'o-p'o. But
+why not by the Toba?
+
+Towards the end of the fourth century, vestiges of Hun, Hsien-pi, and
+other tribes had united in Mongolia to form the new people of the
+Juan-juan (also called Ju-juan or Jou-jan). Scholars disagree as to
+whether the Juan-juan were Turks or Mongols; European investigators
+believe them to have been identical with the Avars who appeared in the
+Near East in 558 and later in Europe, and are inclined, on the strength
+of a few vestiges of their language, to regard them as Mongols.
+Investigations concerning the various tribes, however, show that among
+the Juan-juan there were both Mongol and Turkish tribes, and that the
+question cannot be decided in favour of either group. Some of the tribes
+belonging to the Juan-juan had formerly lived in China. Others had lived
+farther north or west and came into the history of the Far East now for
+the first time.
+
+This Juan-juan people threatened the Toba in the rear, from the north.
+It made raids into the Toba empire for the same reasons for which the
+Huns in the past had raided agrarian China; for agriculture had made
+considerable progress in the Toba empire. Consequently, before the Toba
+could attempt to expand southward, the Juan-juan peril must be removed.
+This was done in the end, after a long series of hard and not always
+successful struggles. That was why the Toba had played no part in the
+fighting against South China, and had been unable to take immediate
+advantage of that fighting.
+
+After 429 the Juan-juan peril no longer existed, and in the years that
+followed the whole of the small states of the west were destroyed, one
+after another, by the Toba--the "Hsia kingdom" in 431, bringing down
+with it the "Western Ch'in", and the "Northern Liang" in 439. The
+non-Chinese elements of the population of those countries were moved
+northwards and served the Toba as soldiers; the Chinese also, especially
+the remains of the Kansu "Western Liang" state (conquered in 420), were
+enslaved, and some of them transferred to the north. Here again,
+however, the influence of the Chinese gentry made itself felt after a
+short time. As we know, the Chinese of "Western Liang" in Kansu had
+originally migrated there from eastern China. Their eastern relatives
+who had come under Toba rule through the conquest of eastern China and
+who through their family connections with Chinese officials of the Toba
+empire had found safety, brought their influence to bear on behalf of
+the Chinese of Kansu, so that several families regained office and
+social standing.
+
+[Illustration: Map 4: The Toba empire _(about A.D. 500)_]
+
+Their expansion into Kansu gave the Toba control of the commerce with
+Turkestan, and there are many mentions of tribute missions to the Toba
+court in the years that followed, some even from India. The Toba also
+spread in the east. And finally there was fighting with South China
+(430-431), which brought to the Toba empire a large part of the province
+of Honan with the old capital, Loyang. Thus about 440 the Toba must be
+described as the most powerful state in the Far East, ruling the whole
+of North China.
+
+
+4 _Economic and social conditions_
+
+The internal changes of which there had only been indications in the
+first period of the Toba empire now proceeded at an accelerated pace.
+There were many different factors at work. The whole of the civil
+administration had gradually passed into Chinese hands, the Toba
+retaining only the military administration. But the wars in the south
+called for the services of specialists in fortification and in infantry
+warfare, who were only to be found among the Chinese. The growing
+influence of the Chinese was further promoted by the fact that many Toba
+families were exterminated in the revolts of the tribal chieftains, and
+others were wiped out in the many battles. Thus the Toba lost ground
+also in the military administration.
+
+The wars down to A.D. 440 had been large-scale wars of conquest,
+lightning campaigns that had brought in a great deal of booty. With
+their loot the Toba developed great magnificence and luxury. The
+campaigns that followed were hard and long-drawn-out struggles,
+especially against South China, where there was no booty, because the
+enemy retired so slowly that they could take everything with them. The
+Toba therefore began to be impoverished, because plunder was the main
+source of their wealth. In addition to this, their herds gradually
+deteriorated, for less and less use was made of them; for instance,
+horses were little required for the campaign against South China, and
+there was next to no fighting in the north. In contrast with the
+impoverishment of the Toba, the Chinese gentry grew not only more
+powerful but more wealthy.
+
+The Toba seem to have tried to prevent this development by introducing
+the famous "land equalization system" _(chün-t'ien)_, one of their most
+important innovations. The direct purposes of this measure were to
+resettle uprooted farm population; to prevent further migrations of
+farmers; and to raise production and taxes. The founder of this system
+was Li An-shih, member of a Toba family and later husband of an imperial
+princess. The plan was basically accepted in 477, put into action in
+485, and remained the land law until _c_. 750. Every man and every
+woman had a right to receive a certain amount of land for life-time.
+After their death, the land was redistributed. In addition to this
+"personal land" there was so-called "mulberry land" on which farmers
+could plant mulberries for silk production; but they also could plant
+other crops under the trees. This land could be inherited from father to
+son and was not redistributed. Incidentally we know many similar
+regulations for trees in the Near East and Central Asia. As the tax was
+levied upon the personal land in form of grain, and on the tree land in
+form of silk, this regulation stimulated the cultivation of diversified
+crops on the tree land which then was not taxable. The basic idea behind
+this law was, that all land belonged to the state, a concept for which
+the Toba could point to the ancient Chou but which also fitted well for
+a dynasty of conquest. The new "_chün-t'ien_" system required a complete
+land and population survey which was done in the next years. We know
+from much later census fragments that the government tried to enforce
+this equalization law, but did not always succeed; we read statements
+such as "X has so and so much land; he has a claim on so and so much
+land and, therefore, has to get so and so much"; but there are no
+records that X ever received the land due to him.
+
+One consequence of the new land law was a legal fixation of the social
+classes. Already during Han time (and perhaps even earlier) a
+distinction had been made between "free burghers" _(liang-min)_ and
+"commoners" _(ch'ien-min)_. This distinction had continued as informal
+tradition until, now, it became a legal concept. Only "burghers", i.e.
+gentry and free farmers, were real citizens with all rights of a free
+man. The "commoners" were completely or partly unfree and fell under
+several heads. Ranking as the lowest class were the real slaves (_nu_),
+divided into state and private slaves. By law, slaves were regarded as
+pieces of property, not as members of human society. They were, however,
+forced to marry and thus, as a class, were probably reproducing at a
+rate similar to that of the normal population, while slaves in Europe
+reproduced at a lower rate than the population. The next higher class
+were serfs (_fan-hu_), hereditary state servants, usually descendants of
+state slaves. They were obliged to work three months during the year for
+the state and were paid for this service. They were not registered in
+their place of residence but under the control of the Ministry of
+Agriculture which distributed them to other offices, but did not use
+them for farm work. Similar in status to them were the private bondsmen
+(_pu-ch'ü_), hereditarily attached to gentry families. These serfs
+received only 50 per cent of the land which a free burgher received
+under the land law. Higher than these were the service families
+(_tsa-hu_) who were registered in their place of residence, but had to
+perform certain services; here we find "tomb families" who cared for the
+imperial tombs, "shepherd families", postal families, kiln families,
+soothsayer families, medical families, and musician families. Each of
+these categories of commoners had its own laws; each had to marry within
+the category. No intermarriage or adoption was allowed. It is
+interesting to observe that a similar fixation of the social status of
+citizens occurred in the Roman Empire from _c._ A.D. 300 on.
+
+Thus in the years between 440 and 490 there were great changes not only
+in the economic but in the social sphere. The Toba declined in number
+and influence. Many of them married into rich families of the Chinese
+gentry and regarded themselves as no longer belonging to the Toba. In
+the course of time the court was completely sinified.
+
+The Chinese at the court now formed the leading element, and they tried
+to persuade the emperor to claim dominion over all China, at least in
+theory, by installing his capital in Loyang, the old centre of China.
+This transfer had the advantage for them personally that the territories
+in which their properties were situated were close to that capital, so
+that the grain they produced found a ready market. And it was indeed no
+longer possible to rule the great Toba empire, now covering the whole of
+North China from North Shansi. The administrative staff was so great
+that the transport system was no longer able to bring in sufficient
+food. For the present capital did not lie on a navigable river, and all
+the grain had to be carted, an expensive and unsafe mode of transport.
+Ultimately, in 493-4, the Chinese gentry officials secured the transfer
+of the capital to Loyang. In the years 490 to 499 the Toba emperor Wen
+Ti (471-499) took further decisive steps required by the stage reached
+in internal development. All aliens were prohibited from using their own
+language in public life. Chinese became the official language. Chinese
+clothing and customs also became general. The system of administration
+which had largely followed a pattern developed by the Wei dynasty in the
+early third century, was changed and took a form which became the model
+for the T'ang dynasty in the seventh century. It is important to note
+that in this period, for the first time, an office for religious affairs
+was created which dealt mainly with Buddhistic monasteries. While after
+the Toba period such an office for religious affairs disappeared again,
+this idea was taken up later by Japan when Japan accepted a Chinese-type
+of administration.
+
+[Illustration: 6 Sun Ch'üan, ruler of Wu. _From a painting by Yen
+Li-pen_ (_c._ 640-680).]
+
+[Illustration: 7 General view of the Buddhist cave-temples of Yün-kang.
+In the foreground, the present village; in the background, the rampart.
+_Photo H. Hammer-Morrisson._]
+
+Owing to his bringing up, the emperor no longer regarded himself as Toba
+but as Chinese; he adopted the Chinese culture, acting as he was
+bound to do if he meant to be no longer an alien ruler in North China.
+Already he regarded himself as emperor of all China, so that the South
+Chinese empire was looked upon as a rebel state that had to be
+conquered. While, however, he succeeded in everything else, the campaign
+against the south failed except for some local successes.
+
+The transfer of the capital to Loyang was a blow to the Toba nobles.
+Their herds became valueless, for animal products could not be carried
+over the long distance to the new capital. In Loyang the Toba nobles
+found themselves parted from their tribes, living in an unaccustomed
+climate and with nothing to do, for all important posts were occupied by
+Chinese. The government refused to allow them to return to the north.
+Those who did not become Chinese by finding their way into Chinese
+families grew visibly poorer and poorer.
+
+
+5 _Victory and retreat of Buddhism_
+
+What we said in regard to the religious position of the other alien
+peoples applied also to the Toba. As soon, however, as their empire
+grew, they, too, needed an "official" religion of their own. For a few
+years they had continued their old sacrifices to Heaven; then another
+course opened to them. The Toba, together with many Chinese living in
+the Toba empire, were all captured by Buddhism, and especially by its
+shamanist element. One element in their preference of Buddhism was
+certainly the fact that Buddhism accepted all foreigners alike--both the
+Toba and the Chinese were "foreign" converts to an essentially Indian
+religion; whereas the Confucianist Chinese always made the non-Chinese
+feel that in spite of all their attempts they were still "barbarians"
+and that only real Chinese could be real Confucianists.
+
+Secondly, it can be assumed that the Toba rulers by fostering Buddhism
+intended to break the power of the Chinese gentry. A few centuries
+later, Buddhism was accepted by the Tibetan kings to break the power of
+the native nobility, by the Japanese to break the power of a federation
+of noble clans, and still later by the Burmese kings for the same
+reason. The acceptance of Buddhism by rulers in the Far East always
+meant also an attempt to create a more autocratic, absolutistic régime.
+Mahayana Buddhism, as an ideal, desired a society without clear-cut
+classes under one enlightened ruler; in such a society all believers
+could strive to attain the ultimate goal of salvation.
+
+Throughout the early period of Buddhism in the Far East, the question
+had been discussed what should be the relations between the Buddhist
+monks and the emperor, whether they were subject to him or not. This was
+connected, of course, with the fact that to the early fourth century the
+Buddhist monks were foreigners who, in the view prevalent in the Far
+East, owed only a limited allegiance to the ruler of the land. The
+Buddhist monks at the Toba court now submitted to the emperor, regarding
+him as a reincarnation of Buddha. Thus the emperor became protector of
+Buddhism and a sort of god. This combination was a good substitute for
+the old Chinese theory that the emperor was the Son of Heaven; it
+increased the prestige and the splendour of the dynasty. At the same
+time the old shamanism was legitimized under a Buddhist
+reinterpretation. Thus Buddhism became a sort of official religion. The
+emperor appointed a Buddhist monk as head of the Buddhist state church,
+and through this "Pope" he conveyed endowments on a large scale to the
+church. T'an-yao, head of the state church since 460, induced the state
+to attach state slaves, i.e. enslaved family members of criminals, and
+their families to state temples. They were supposed to work on temple
+land and to produce for the upkeep of the temples and monasteries. Thus,
+the institution of "temple slaves" was created, an institution which
+existed in South Asia and Burma for a long time, and which greatly
+strengthened the economic position of Buddhism.
+
+Like all Turkish peoples, the Toba possessed a myth according to which
+their ancestors came into the world from a sacred grotto. The Buddhists
+took advantage of this conception to construct, with money from the
+emperor, the vast and famous cave-temple of Yün-kang, in northern
+Shansi. If we come from the bare plains into the green river valley, we
+may see to this day hundreds of caves cut out of the steep cliffs of the
+river bank. Here monks lived in their cells, worshipping the deities of
+whom they had thousands of busts and reliefs sculptured in stone, some
+of more than life-size, some diminutive. The majestic impression made
+today by the figures does not correspond to their original effect, for
+they were covered with a layer of coloured stucco.
+
+We know only few names of the artists and craftsmen who made these
+objects. Probably some at least were foreigners from Turkestan, for in
+spite of the predominantly Chinese character of these sculptures, some
+of them are reminiscent of works in Turkestan and even in the Near East.
+In the past the influences of the Near East on the Far East--influences
+traced back in the last resort to Greece--were greatly exaggerated; it
+was believed that Greek art, carried through Alexander's campaign as far
+as the present Afghanistan, degenerated there in the hands of Indian
+imitators (the so-called Gandhara art) and ultimately passed on in more
+and more distorted forms through Turkestan to China. Actually, however,
+some eight hundred years lay between Alexander's campaign and the Toba
+period sculptures at Yün-kang and, owing to the different cultural
+development, the contents of the Greek and the Toba-period art were
+entirely different. We may say, therefore, that suggestions came from
+the centre of the Greco-Bactrian culture (in the present Afghanistan)
+and were worked out by the Toba artists; old forms were filled with a
+new content, and the elements in the reliefs of Yün-kang that seem to us
+to be non-Chinese were the result of this synthesis of Western
+inspiration and Turkish initiative. It is interesting to observe that
+all steppe rulers showed special interest in sculpture and, as a rule,
+in architecture; after the Toba period, sculpture flourished in China in
+the T'ang period, the period of strong cultural influence from Turkish
+peoples, and there was a further advance of sculpture and of the
+cave-dwellers' worship in the period of the "Five Dynasties" (906-960;
+three of these dynasties were Turkish) and in the Mongol period.
+
+But not all Buddhists joined the "Church", just as not all Taoists had
+joined the Church of Chang Ling's Taoism. Some Buddhists remained in the
+small towns and villages and suffered oppression from the central
+Church. These village Buddhist monks soon became instigators of a
+considerable series of attempts at revolution. Their Buddhism was of the
+so-called "Maitreya school", which promised the appearance on earth of a
+new Buddha who would do away with all suffering and introduce a Golden
+Age. The Chinese peasantry, exploited by the gentry, came to the support
+of these monks whose Messianism gave the poor a hope in this world. The
+nomad tribes also, abandoned by their nobles in the capital and
+wandering in poverty with their now worthless herds, joined these monks.
+We know of many revolts of Hun and Toba tribes in this period, revolts
+that had a religious appearance but in reality were simply the result of
+the extreme impoverishment of these remaining tribes.
+
+In addition to these conflicts between state and popular Buddhism,
+clashes between Buddhists and representatives of organized Taoism
+occurred. Such fights, however, reflected more the power struggle
+between cliques than between religious groups. The most famous incident
+was the action against the Buddhists in 446 which brought destruction to
+many temples and monasteries and death to many monks. Here, a mighty
+Chinese gentry faction under the leadership of the Ts'ui family had
+united with the Taoist leader K'ou Ch'ien-chih against another faction
+under the leadership of the crown prince.
+
+With the growing influence of the Chinese gentry, however, Confucianism
+gained ground again, until with the transfer of the capital to Loyang it
+gained a complete victory, taking the place of Buddhism and becoming
+once more as in the past the official religion of the state. This
+process shows us once more how closely the social order of the gentry
+was associated with Confucianism.
+
+
+
+(E) Succession States of the Toba (A.D. 550-580): Northern Ch'i dynasty,
+Northern Chou dynasty
+
+
+1 _Reasons for the splitting of the Toba empire_
+
+Events now pursued their logical course. The contrast between the
+central power, now become entirely Chinese, and the remains of the
+tribes who were with their herds mainly in Shansi and the Ordos region
+and were hopelessly impoverished, grew more and more acute. From 530
+onward the risings became more and more formidable. A few Toba who still
+remained with their old tribes placed themselves at the head of the
+rebels and conquered not only the whole of Shansi but also the capital,
+where there was a great massacre of Chinese and pro-Chinese Toba. The
+rebels were driven back; in this a man of the Kao family distinguished
+himself, and all the Chinese and pro-Chinese gathered round him. The Kao
+family, which may have been originally a Hsien-pi family, had its
+estates in eastern China and so was closely associated with the eastern
+Chinese gentry, who were the actual rulers of the Toba State. In 534
+this group took the impotent emperor of their own creation to the city
+of Yeh in the east, where he reigned _de jure_ for a further sixteen
+years. Then he was deposed, and Kao Yang made himself the first emperor
+of the Northern Ch'i dynasty (550-577).
+
+The national Toba group, on the other hand, found another man of the
+imperial family and established him in the west. After a short time this
+puppet was removed from the throne and a man of the Yü-wen family made
+himself emperor, founding the "Northern Chou dynasty" (557-580). The
+Hsien-pi family of Yü-wen was a branch of the Hsien-pi, but was closely
+connected with the Huns and probably of Turkish origin. All the still
+existing remains of Toba tribes who had eluded sinification moved into
+this western empire.
+
+The splitting of the Toba empire into these two separate realms was the
+result of the policy embarked on at the foundation of the empire. Once
+the tribal chieftains and nobles had been separated from their tribes
+and organized militarily, it was inevitable that the two elements should
+have different social destinies. The nobles could not hold their own
+against the Chinese; if they were not actually eliminated in one way or
+another, they disappeared into Chinese families. The rest, the people of
+the tribe, became destitute and were driven to revolt. The northern
+peoples had been unable to perpetuate either their tribal or their
+military organization, and the Toba had been equally unsuccessful in
+their attempt to perpetuate the two forms of organization alongside each
+other.
+
+These social processes are of particular importance because the ethnical
+disappearance of the northern peoples in China had nothing to do with
+any racial inferiority or with any particular power of assimilation; it
+was a natural process resulting from the different economic, social, and
+cultural organizations of the northern peoples and the Chinese.
+
+
+2 _Appearance of the (Gök) Turks_
+
+The Toba had liberated themselves early in the fifth century from the
+Juan-juan peril. None of the fighting that followed was of any great
+importance. The Toba resorted to the old means of defence against
+nomads--they built great walls. Apart from that, after their move
+southward to Loyang, their new capital, they were no longer greatly
+interested in their northern territories. When the Toba empire split
+into the Ch'i and the Northern Chou, the remaining Juan-juan entered
+into treaties first with one realm and then with the other: each realm
+wanted to secure the help of the Juan-juan against the other.
+
+Meanwhile there came unexpectedly to the fore in the north a people
+grouped round a nucleus tribe of Huns, the tribal union of the
+"T'u-chüeh", that is to say the Gök Turks, who began to pursue a policy
+of their own under their khan. In 546 they sent a mission to the western
+empire, then in the making, of the Northern Chou, and created the first
+bonds with it, following which the Northern Chou became allies of the
+Turks. The eastern empire, Ch'i, accordingly made terms with the
+Juan-juan, but in 552 the latter suffered a crushing defeat at the hands
+of the Turks, their former vassals. The remains of the Juan-juan either
+fled to the Ch'i state or went reluctantly into the land of the Chou.
+Soon there was friction between the Juan-juan and the Ch'i, and in 555
+the Juan-juan in that state were annihilated. In response to pressure
+from the Turks, the Juan-juan in the western empire of the Northern Chou
+were delivered up to them and killed in the same year. The Juan-juan
+then disappeared from the history of the Far East. They broke up into
+their several tribes, some of which were admitted into the Turks' tribal
+league. A few years later the Turks also annihilated the Ephthalites,
+who had been allied with the Juan-juan; this made the Turks the dominant
+power in Central Asia. The Ephthalites (Yeh-ta, Haytal) were a mixed
+group which contained elements of the old Yüeh-chih and spoke an
+Indo-European language. Some scholars regard them as a branch of the
+Tocharians of Central Asia. One menace to the northern states of China
+had disappeared--that of the Juan-juan. Their place was taken by a much
+more dangerous power, the Turks.
+
+
+3 _The Northern Ch'i dynasty; the Northern Chou dynasty_
+
+In consequence of this development the main task of the Northern Chou
+state consisted in the attempt to come to some settlement with its
+powerful Turkish neighbours, and meanwhile to gain what it could from
+shrewd negotiations with its other neighbours. By means of intrigues and
+diplomacy it intervened with some success in the struggles in South
+China. One of the pretenders to the throne was given protection; he was
+installed in the present Hankow as a quasi-feudal lord depending on
+Chou, and there he founded the "Later Liang dynasty" (555-587). In this
+way Chou had brought the bulk of South China under its control without
+itself making any real contribution to that result.
+
+Unlike the Chinese state of Ch'i, Chou followed the old Toba tradition.
+Old customs were revived, such as the old sacrifice to Heaven and the
+lifting of the emperor on to a carpet at his accession to the throne;
+family names that had been sinified were turned into Toba names again,
+and even Chinese were given Toba names; but in spite of this the inner
+cohesion had been destroyed. After two centuries it was no longer
+possible to go back to the old nomad, tribal life. There were also too
+many Chinese in the country, with whom close bonds had been forged
+which, in spite of all attempts, could not be broken. Consequently there
+was no choice but to organize a state essentially similar to that of the
+great Toba empire.
+
+There is just as little of importance that can be said of the internal
+politics of the Ch'i dynasty. The rulers of that dynasty were thoroughly
+repulsive figures, with no positive achievements of any sort to their
+credit. Confucianism had been restored in accordance with the Chinese
+character of the state. It was a bad time for Buddhists, and especially
+for the followers of the popularized Taoism. In spite of this, about
+A.D. 555 great new Buddhist cave-temples were created in Lung-men, near
+Loyang, in imitation of the famous temples of Yün-kang.
+
+The fighting with the western empire, the Northern Chou state, still
+continued, and Ch'i was seldom successful. In 563 Chou made preparations
+for a decisive blow against Ch'i, but suffered defeat because the Turks,
+who had promised aid, gave none and shortly afterwards began campaigns
+of their own against Ch'i. In 571 Ch'i had some success in the west
+against Chou, but then it lost parts of its territory to the South
+Chinese empire, and finally in 576-7 it was defeated by Chou in a great
+counter-offensive. Thus for some three years all North China was once
+more under a single rule, though of nothing approaching the strength of
+the Toba at the height of their power. For in all these campaigns the
+Turks had played an important part, and at the end they annexed further
+territory in the north of Ch'i, so that their power extended far into
+the east.
+
+Meanwhile intrigue followed intrigue at the court of Chou; the mutual
+assassinations within the ruling group were as incessant as in the last
+years of the great Toba empire, until the real power passed from the
+emperor and his Toba entourage to a Chinese family, the Yang. Yang
+Chien's daughter was the wife of a Chou emperor; his son was married to
+a girl of the Hun family Tu-ku; her sister was the wife of the father of
+the Chou emperor. Amid this tangled relationship in the imperial house
+it is not surprising that Yang Chien should attain great power. The
+Tu-ku were a very old family of the Hun nobility; originally the name
+belonged to the Hun house from which the _shan-yü_ had to be descended.
+This family still observed the traditions of the Hun rulers, and
+relationship with it was regarded as an honour even by the Chinese.
+Through their centuries of association with aristocratically organized
+foreign peoples, some of the notions of nobility had taken root among
+the Chinese gentry; to be related with old ruling houses was a welcome
+means of evidencing or securing a position of special distinction among
+the gentry. Yang Chien gained useful prestige from his family
+connections. After the leading Chinese cliques had regained predominance
+in the Chou empire, much as had happened before in the Toba empire, Yang
+Chien's position was strong enough to enable him to massacre the members
+of the imperial family and then, in 581, to declare himself emperor.
+Thus began the Sui dynasty, the first dynasty that was once more to rule
+all China.
+
+But what had happened to the Toba? With the ending of the Chou empire
+they disappeared for all time, just as the Juan-juan had done a little
+earlier. So far as the tribes did not entirely disintegrate, the people
+of the tribes seem during the last years of Toba and Chou to have joined
+Turkish and other tribes. In any case, nothing more is heard of them as
+a people, and they themselves lived on under the name of the tribe that
+led the new tribal league.
+
+Most of the Toba nobility, on the other hand, became Chinese. This
+process can be closely followed in the Chinese annals. The tribes that
+had disintegrated in the time of the Toba empire broke up into families
+of which some adopted the name of the tribe as their family name, while
+others chose Chinese family names. During the centuries that followed,
+in some cases indeed down to modern times, these families continue to
+appear, often playing an important part in Chinese history.
+
+
+
+(F) The Southern Empires
+
+
+1 _Economic and social situation in the south_
+
+During the 260 years of alien rule in North China, the picture of South
+China also was full of change. When in 317 the Huns had destroyed the
+Chinese Chin dynasty in the north, a Chin prince who normally would not
+have become heir to the throne declared himself, under the name Yüan Ti,
+the first emperor of the "Eastern Chin dynasty" (317-419). The capital
+of this new southern empire adjoined the present Nanking. Countless
+members of the Chinese gentry had fled from the Huns at that time and
+had come into the southern empire. They had not done so out of loyalty
+to the Chinese dynasty or out of national feeling, but because they saw
+little prospect of attaining rank and influence at the courts of the
+alien rulers, and because it was to be feared that the aliens would turn
+the fields into pasturage, and also that they would make an end of the
+economic and monetary system which the gentry had evolved for their own
+benefit.
+
+But the south was, of course, not uninhabited. There were already two
+groups living there--the old autochthonous population, consisting of
+Yao, Tai and Yüeh, and the earlier Chinese immigrants from the north,
+who had mainly arrived in the time of the Three Kingdoms, at the
+beginning of the third century A.D. The countless new immigrants now
+came into sharp conflict with the old-established earlier immigrants.
+Each group looked down on the other and abused it. The two immigrant
+groups in particular not only spoke different dialects but had developed
+differently in respect to manners and customs. A look for example at
+Formosa in the years after 1948 will certainly help in an understanding
+of this situation: analogous tensions developed between the new
+refugees, the old Chinese immigrants, and the native Formosan
+population. But let us return to the southern empires.
+
+The two immigrant groups also differed economically and socially: the
+old immigrants were firmly established on the large properties they had
+acquired, and dominated their tenants, who were largely autochthones; or
+they had engaged in large-scale commerce. In any case, they possessed
+capital, and more capital than was usually possessed by the gentry of
+the north. Some of the new immigrants, on the other hand, were military
+people. They came with empty hands, and they had no land. They hoped
+that the government would give them positions in the military
+administration and so provide them with means; they tried to gain
+possession of the government and to exclude the old settlers as far as
+possible. The tension was increased by the effect of the influx of
+Chinese in bringing more land into cultivation, thus producing a boom
+period such as is produced by the opening up of colonial land. Everyone
+was in a hurry to grab as much land as possible. There was yet a further
+difference between the two groups of Chinese: the old settlers had long
+lost touch with the remainder of their families in the north. They had
+become South Chinese, and all their interests lay in the south. The new
+immigrants had left part of their families in the north under alien
+rule. Their interests still lay to some extent in the north. They were
+working for the reconquest of the north by military means; at times
+individuals or groups returned to the north, while others persuaded the
+rest of their relatives to come south. It would be wrong to suppose that
+there was no inter-communication between the two parts into which China
+had fallen. As soon as the Chinese gentry were able to regain any
+footing in the territories under alien rule, the official relations,
+often those of belligerency, proceeded alongside unofficial intercourse
+between individual families and family groupings, and these latter were,
+as a rule, in no way belligerent.
+
+The lower stratum in the south consisted mainly of the remains of the
+original non-Chinese population, particularly in border and southern
+territories which had been newly annexed from time to time. In the
+centre of the southern state the way of life of the non-Chinese was very
+quickly assimilated to that of the Chinese, so that the aborigines were
+soon indistinguishable from Chinese. The remaining part of the lower
+class consisted of impoverished Chinese peasants. This whole lower
+section of the population rarely took any active and visible part in
+politics, except at times in the form of great popular risings.
+
+Until the third century, the south had been of no great economic
+importance, in spite of the good climate and the extraordinary fertility
+of the Yangtze valley. The country had been too thinly settled, and the
+indigenous population had not become adapted to organized trade. After
+the move southward of the Chin dynasty the many immigrants had made the
+country of the lower Yangtze more thickly populated, but not
+over-populated. The top-heavy court with more than the necessary number
+of officials (because there was still hope for a re-conquest of the
+north which would mean many new jobs for administrators) was a great
+consumer; prices went up and stimulated local rice production. The
+estates of the southern gentry yielded more than before, and naturally
+much more than the small properties of the gentry in the north where,
+moreover, the climate is far less favourable. Thus the southern
+landowners were able to acquire great wealth, which ultimately made
+itself felt in the capital.
+
+One very important development was characteristic in this period in the
+south, although it also occurred in the north. Already in pre-Han times,
+some rulers had gardens with fruit trees. The Han emperors had large
+hunting parks which were systematically stocked with rare animals; they
+also had gardens and hot-houses for the production of vegetables for the
+court. These "gardens" (_yüan_) were often called "manors" (_pieh-yeh_)
+and consisted of fruit plantations with luxurious buildings. We hear
+soon of water-cooled houses for the gentry, of artificial ponds for
+pleasure and fish breeding, artificial water-courses, artificial
+mountains, bamboo groves, and parks with parrots, ducks, and large
+animals. Here, the wealthy gentry of both north and south, relaxed from
+government work, surrounded by their friends and by women. These manors
+grew up in the hills, on the "village commons" where formerly the
+villagers had collected their firewood and had grazed their animals.
+Thus, the village commons begin to disappear. The original farm land was
+taxed, because it produced one of the two products subject to taxation,
+namely grain or mulberry leaves for silk production. But the village
+common had been and remained tax-free because it did not produce taxable
+things. While land-holdings on the farmland were legally restricted in
+their size, the "gardens" were unrestricted. Around A.D. 500 the ruler
+allowed high officials to have manors of three hundred mou size, while
+in the north a family consisting of husband and wife and children below
+fifteen years of age were allowed a farm of sixty mou only; but we hear
+of manors which were many times larger than the allowed size of three
+hundred. These manors began to play an important economic role, too:
+they were cultivated by tenants and produced fishes, vegetables, fruit
+and bamboo for the market, thus they gave more income than ordinary rice
+or wheat land.
+
+With the creation of manors the total amount of land under cultivation
+increased, though not the amount of grain-producing land. We gain the
+impression that from _c._ the third century A.D. on to the eleventh
+century the intensity of cultivation was generally lower than in the
+period before.
+
+The period from _c_. A.D. 300 on also seems to be the time of the second
+change in Chinese dietary habits. The first change occurred probably
+between 400 and 100 B.C. when the meat-eating Chinese reduced their meat
+intake greatly, gave up eating beef and mutton and changed over to some
+pork and dog meat. This first change was the result of increase of
+population and decrease of available land for pasturage. Cattle breeding
+in China was then reduced to the minimum of one cow or water-buffalo per
+farm for ploughing. Wheat was the main staple for the masses of the
+people. Between A.D. 300 and 600 rice became the main staple in the
+southern states although, theoretically, wheat could have been grown and
+some wheat probably was grown in the south. The vitamin and protein
+deficiencies which this change from wheat to rice brought forth, were
+made up by higher consumption of vegetables, especially beans, and
+partially also by eating of fish and sea food. In the north, rice became
+the staple food of the upper class, while wheat remained the main food
+of the lower classes. However, new forms of preparation of wheat, such
+as dumplings of different types, were introduced. The foreign rulers
+consumed more meat and milk products. Chinese had given up the use of
+milk products at the time of the first change, and took to them to some
+extent only in periods of foreign rule.
+
+
+2 _Struggles between cliques under the Eastern Chin dynasty_ (A.D.
+317-419)
+
+The officials immigrating from the north regarded the south as colonial
+country, and so as more or less uncivilized. They went into its
+provinces in order to get rich as quickly as possible, and they had no
+desire to live there for long: they had the same dislike of a provincial
+existence as had the families of the big landowners. Thus as a rule the
+bulk of the families remained in the capital, close to the court.
+Thither the products accumulated in the provinces were sent, and they
+found a ready sale, as the capital was also a great and long-established
+trading centre with a rich merchant class. Thus in the capital there was
+every conceivable luxury and every refinement of civilization. The
+people of the gentry class, who were maintained in the capital by
+relatives serving in the provinces as governors or senior officers,
+themselves held offices at court, though these gave them little to do.
+They had time at their disposal, and made use of it--in much worse
+intrigues than ever before, but also in music and poetry and in the
+social life of the harems. There is no question at all that the highest
+refinement of the civilization of the Far East between the fourth and
+the sixth century was to be found in South China, but the accompaniments
+of this over-refinement were terrible.
+
+We cannot enter into all the intrigues recorded at this time. The
+details are, indeed, historically unimportant. They were concerned only
+with the affairs of the court and its entourage. Not a single ruler of
+the Eastern Chin dynasty possessed personal or political qualities of
+any importance. The rulers' power was extremely limited because, with
+the exception of the founder of the state, Yüan Ti, who had come rather
+earlier, they belonged to the group of the new immigrants, and so had no
+firm footing and were therefore caught at once in the net of the newly
+re-grouping gentry class.
+
+The emperor Yüan Ti lived to see the first great rising. This rising
+(under Wang Tun) started in the region of the present Hankow, a region
+that today is one of the most important in China; it was already a
+centre of special activity. To it lead all the trade routes from the
+western provinces of Szechwan and Kweichow and from the central
+provinces of Hupei, Hunan, and Kiangsi. Normally the traffic from those
+provinces comes down the Yangtze, and thus in practice this region is
+united with that of the lower Yangtze, the environment of Nanking, so
+that Hankow might just as well have been the capital as Nanking. For
+this reason, in the period with which we are now concerned the region of
+the present Hankow was several times the place of origin of great
+risings whose aim was to gain control of the whole of the southern
+empire.
+
+Wang Tun had grown rich and powerful in this region; he also had near
+relatives at the imperial court; so he was able to march against the
+capital. The emperor in his weakness was ready to abdicate but died
+before that stage was reached. His son, however, defeated Wang Tun with
+the aid of General Yü Liang (A.D. 323). Yü Liang was the empress's
+brother; he, too, came from a northern family. Yüan Ti's successor also
+died early, and the young son of Yü Liang's sister came to the throne as
+Emperor Ch'eng (326-342); his mother ruled as regent, but Yü Liang
+carried on the actual business of government. Against this clique rose
+Su Chün, another member of the northern gentry, who had made himself
+leader of a bandit gang in A.D. 300 but had then been given a military
+command by the dynasty. In 328 he captured the capital and kidnapped the
+emperor, but then fell before the counterthrust of the Yü Liang party.
+The domination of Yü Liang's clique continued after the death of the
+twenty-one-years-old emperor. His twenty-year-old brother was set in
+his place; he, too, died two years later, and his two-year-old son
+became emperor (Mu Ti, 345-361).
+
+Meanwhile this clique was reinforced by the very important Huan family.
+This family came from the same city as the imperial house and was a very
+old gentry family of that city. One of the family attained a high post
+through personal friendship with Yü Liang: on his death his son Huan Wen
+came into special prominence as military commander.
+
+Huan Wen, like Wang Tun and others before him, tried to secure a firm
+foundation for his power, once more in the west. In 347 he reconquered
+Szechwan and deposed the local dynasty. Following this, Huan Wen and the
+Yü family undertook several joint campaigns against northern states--the
+first reaction of the south against the north, which in the past had
+always been the aggressor. The first fighting took place directly to the
+north, where the collapse of the "Later Chao" seemed to make
+intervention easy. The main objective was the regaining of the regions
+of eastern Honan, northern Anhwei and Kiangsu, in which were the family
+seats of Huan's and the emperor's families, as well as that of the Hsieh
+family which also formed an important group in the court clique. The
+purpose of the northern campaigns was not, of course, merely to defend
+private interests of court cliques: the northern frontier was the weak
+spot of the southern empire, for its plains could easily be overrun. It
+was then observed that the new "Earlier Ch'in" state was trying to
+spread from the north-west eastwards into this plain, and Ch'in was
+attacked in an attempt to gain a more favourable frontier territory.
+These expeditions brought no important practical benefit to the south;
+and they were not embarked on with full force, because there was only
+the one court clique at the back of them, and that not whole-heartedly,
+since it was too much taken up with the politics of the court.
+
+Huan Wen's power steadily grew in the period that followed. He sent his
+brothers and relatives to administer the regions along the upper
+Yangtze; those fertile regions were the basis of his power. In 371 he
+deposed the reigning emperor and appointed in his place a frail old
+prince who died a year later, as required, and was replaced by a child.
+The time had now come when Huan Wen might have ascended the throne
+himself, but he died. None of his family could assemble as much power as
+Huan Wen had done. The equality of strength of the Huan and the Hsieh
+saved the dynasty for a time.
+
+In 383 came the great assault of the Tibetan Fu Chien against the
+south. As we know, the defence was carried out more by the methods of
+diplomacy and intrigue than by military means, and it led to the
+disaster in the north already described. The successes of the southern
+state especially strengthened the Hsieh family, whose generals had come
+to the fore. The emperor (Hsiao Wu Ti, 373-396), who had come to the
+throne as a child, played no part in events at any time during his
+reign. He occupied himself occasionally with Buddhism, and otherwise
+only with women and wine. He was followed by his five-year-old son. At
+this time there were some changes in the court clique. In the Huan
+family Huan Hsüan, a son of Huan Wen, came especially into prominence.
+He parted from the Hsieh family, which had been closest to the emperor,
+and united with the Wang (the empress's) and Yin families. The Wang, an
+old Shansi family, had already provided two empresses, and was therefore
+strongly represented at court. The Yin had worked at first with the
+Hsieh, especially as the two families came from the same region, but
+afterwards the Yin went over to Huan Hsüan. At first this new clique had
+success, but later one of its generals, Liu Lao-chih, went over to the
+Hsieh clique, and its power declined. Wang Kung was killed, and Yin
+Chung-k'an fell away from Huan Hsüan and was killed by him in 399. Huan
+Hsüan himself, however, held his own in the regions loyal to him. Liu
+Lao-chih had originally belonged to the Hsieh clique, and his family
+came from a region not far from that of the Hsieh. He was very
+ambitious, however, and always took the side which seemed most to his
+own interest. For a time he joined Huan Hsüan; then he went over to the
+Hsieh, and finally returned to Huan Hsüan in 402 when the latter reached
+the height of his power. At that moment Liu Lao-chih was responsible for
+the defence of the capital from Huan Hsüan, but instead he passed over
+to him. Thus Huan Hsüan conquered the capital, deposed the emperor, and
+began a dynasty of his own. Then came the reaction, led by an earlier
+subordinate of Liu Lao-chih, Liu Yü. It may be assumed that these two
+army commanders were in some way related, though the two branches of
+their family must have been long separated. Liu Yü had distinguished
+himself especially in the suppression of a great popular rising which,
+around the year 400, had brought wide stretches of Chinese territory
+under the rebels' power, beginning with the southern coast. This rising
+was the first in the south. It was led by members of a secret society
+which was a direct continuation of the "Yellow Turbans" of the latter
+part of the second century A.D. and of organized church-Taoism. The
+whole course of this rising of the exploited and ill-treated lower
+classes was very similar to that of the popular rising of the "Yellow
+Turbans". The movement spread as far as the neighbourhood of Canton,
+but in the end it was suppressed, mainly by Liu Yü.
+
+Through these achievements Liu Yü's military power and political
+influence steadily increased; he became the exponent of all the cliques
+working against the Huan clique. He arranged for his supporters to
+dispose of Huan Hsüan's chief collaborators; and then, in 404, he
+himself marched on the capital. Huan Hsüan had to flee, and in his
+flight he was killed in the upper Yangtze region. The emperor was
+restored to his throne, but he had as little to say as ever, for the
+real power was Liu Yü's.
+
+Before making himself emperor, Liu Yü began his great northern campaign,
+aimed at the conquest of the whole of western China. The Toba had
+promised to remain neutral, and in 415 he was able to conquer the "Later
+Ch'in" in Shensi. The first aim of this campaign was to make more
+accessible the trade routes to Central Asia, which up to now had led
+through the difficult mountain passes of Szechwan; to this end treaties
+of alliance had been concluded with the states in Kansu against the
+"Later Ch'in". In the second place, this war was intended to increase
+Liu Yü's military strength to such an extent that the imperial crown
+would be assured to him; and finally he hoped to cut the claws of
+pro-Huan Hsüan elements in the "Later Ch'in" kingdom who, for the sake
+of the link with Turkestan, had designs on Szechwan.
+
+
+3 _The Liu-Sung dynasty (A.D. 420-478) and the Southern Ch'i dynasty
+(479-501)_
+
+After his successes in 416-17 in Shensi, Liu Yü returned to the capital,
+and shortly after he lost the chief fruits of his victory to Ho-lien
+P'o-p'o, the Hun ruler in the north, while Liu Yü himself was occupied
+with the killing of the emperor (419) and the installation of a puppet.
+In 420 the puppet had to abdicate and Liu Yü became emperor. He called
+his dynasty the Sung dynasty, but to distinguish it from another and
+more famous Sung dynasty of later time his dynasty is also called the
+Liu-Sung dynasty.
+
+The struggles and intrigues of cliques against each other continued as
+before. We shall pass quickly over this period after a glance at the
+nature of these internal struggles.
+
+Part of the old imperial family and its following fled northwards from
+Liu Yü and surrendered to the Toba. There they agitated for a campaign
+of vengeance against South China, and they were supported at the court
+of the Toba by many families of the gentry with landed interests in the
+south. Thus long-continued fighting started between Sung and Toba,
+concerned mainly with the domains of the deposed imperial family and
+its following. This fighting brought little success to south China, and
+about 450 it produced among the Toba an economic and social crisis that
+brought the wars to a temporary close. In this pause the Sung turned to
+the extreme south, and tried to gain influence there and in Annam. The
+merchant class and the gentry families of the capital who were allied
+with it were those chiefly interested in this expansion.
+
+About 450 began the Toba policy of shifting the central government to
+the region of the Yellow River, to Loyang; for this purpose the frontier
+had to be pushed farther south. Their great campaign brought the Toba in
+450 down to the Yangtze. The Sung suffered a heavy defeat; they had to
+pay tribute, and the Toba annexed parts of their northern territory.
+
+The Sung emperors who followed were as impotent as their predecessors
+and personally much more repulsive. Nothing happened at court but
+drinking, licentiousness, and continual murders.
+
+From 460 onward there were a number of important risings of princes; in
+some of them the Toba had a hand. They hoped by supporting one or
+another of the pretenders to gain overlordship over the whole of the
+southern empire. In these struggles in the south the Hsiao family,
+thanks mainly to General Hsiao Tao-ch'eng, steadily gained in power,
+especially as the family was united by marriage with the imperial house.
+In 477 Hsiao Tao-ch'eng finally had the emperor killed by an accomplice,
+the son of a shamaness; he set a boy on the throne and made himself
+regent. Very soon after this the boy emperor and all the members of the
+imperial family were murdered, and Hsiao Tao-ch'eng created the
+"Southern Ch'i" dynasty (479-501). Once more the remaining followers of
+the deposed dynasty fled northward to the Toba, and at once fighting
+between Toba and the south began again.
+
+This fighting ended with a victory for the Toba and with the final
+establishment of the Toba in the new capital of Loyang. South China was
+heavily defeated again and again, but never finally conquered. There
+were intervals of peace. In the years between 480 and 490 there was less
+disorder in the south, at all events in internal affairs. Princes were
+more often appointed to governorships, and the influence of the cliques
+was thus weakened. In spite of this, a stable régime was not built up,
+and in 494 a prince rose against the youthful emperor. This prince, with
+the help of his clique including the Ch'en family, which later attained
+importance, won the day, murdered the emperor, and became emperor
+himself. All that is recorded about him is that he fought unsuccessfully
+against the Toba, and that he had the whole of his own family killed
+out of fear that one of its members might act exactly as he had done.
+After his death there were conflicts between the emperor's few remaining
+relatives; in these the Toba again had a hand. The victor was a person
+named Hsiao Yen; he removed the reigning emperor in the usual way and
+made himself emperor. Although he belonged to the imperial family, he
+altered the name of the dynasty, and reigned from 502 as the first
+emperor of the "Liang dynasty".
+
+[Illustration: 8 Detail from the Buddhist cave-reliefs of Lungmen. _From
+a print in the author's possession_.]
+
+[Illustration: 9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the 'Great Buddha Temple' at Chengting (Hopei). _Photo H.
+Hammer-Morrisson_.]
+
+
+4 _The Liang dynasty_ (A.D. 502-556)
+
+The fighting with the Toba continued until 515. As a rule the Toba were
+the more successful, not at least through the aid of princes of the
+deposed "Southern Ch'i dynasty" and their followers. Wars began also in
+the west, where the Toba tried to cut off the access of the Liang to the
+caravan routes to Turkestan. In 507, however, the Toba suffered an
+important defeat. The southern states had tried at all times to work
+with the Kansu states against the northern states; the Toba now followed
+suit and allied themselves with a large group of native chieftains of
+the south, whom they incited to move against the Liang. This produced
+great native unrest, especially in the provinces by the upper Yangtze.
+The natives, who were steadily pushed back by the Chinese peasants, were
+reduced to migrating into the mountain country or to working for the
+Chinese in semi-servile conditions; and they were ready for revolt and
+very glad to work with the Toba. The result of this unrest was not
+decisive, but it greatly reduced the strength of the regions along the
+upper Yangtze. Thus the main strength of the southern state was more
+than ever confined to the Nanking region.
+
+The first emperor of the Liang dynasty, who assumed the name Wu Ti
+(502-549), became well known in the Western world owing to his love of
+literature and of Buddhism. After he had come to the throne with the aid
+of his followers, he took no further interest in politics; he left that
+to his court clique. From now on, however, the political initiative
+really belonged to the north. At this time there began in the Toba
+empire the risings of tribal leaders against the government which we
+have fully described above. One of these leaders, Hou Ching, who had
+become powerful as a military leader in the north, tried in 547 to
+conclude a private alliance with the Liang to strengthen his own
+position. At the same time the ruler of the northern state of the
+"Northern Ch'i", then in process of formation, himself wanted to
+negotiate an alliance with the Liang, in order to be able to get rid of
+Hou Ching. There was indecision in Liang. Hou Ching, who had been
+getting into difficulties, now negotiated with a dissatisfied prince in
+Liang, invaded the country in 548 with the prince's aid, captured the
+capital in 549, and killed Emperor Wu. Hou Ching now staged the usual
+spectacle: he put a puppet on the imperial throne, deposed him eighteen
+months later and made himself emperor.
+
+This man of the Toba on the throne of South China was unable, however,
+to maintain his position; he had not sufficient backing. He was at war
+with the new rulers in the northern empire, and his own army, which was
+not very large, melted away; above all, he proceeded with excessive
+harshness against the helpers who had gained access for him to the
+Liang, and thereafter he failed to secure a following from among the
+leading cliques at court. In 552 he was driven out by a Chinese army led
+by one of the princes and was killed.
+
+The new emperor had been a prince in the upper Yangtze region, and his
+closest associates were engaged there. They did not want to move to the
+distant capital, Nanking, because their private financial interests
+would have suffered. The emperor therefore remained in the city now
+called Hankow. He left the eastern territory in the hands of two
+powerful generals, one of whom belonged to the Ch'en family, which he no
+longer had the strength to remove. In this situation the generals in the
+east made themselves independent, and this naturally produced tension at
+once between the east and the west of the Liang empire; this tension was
+now exploited by the leaders of the Chou state then in the making in the
+north. On the invitation of a clique in the south and with its support,
+the Chou invaded the present province of Hupei and in 555 captured the
+Liang emperor's capital. They were now able to achieve their old
+ambition: a prince of the Chou dynasty was installed as a feudatory of
+the north, reigning until 587 in the present Hankow. He was permitted to
+call his quasi-feudal territory a kingdom and his dynasty, as we know
+already, the "Later Liang dynasty".
+
+
+5 _The Ch'en dynasty_ (A.D. 557-588) _and its ending by the Sui_
+
+The more important of the independent generals in the east, Ch'en
+Pa-hsien, installed a shadow emperor, forced him to abdicate, and made
+himself emperor. The Ch'en dynasty which thus began was even feebler
+than the preceding dynasties. Its territory was confined to the lower
+Yangtze valley. Once more cliques and rival pretenders were at work and
+prevented any sort of constructive home policy. Abroad, certain
+advantages were gained in north China over the Northern Ch'i dynasty,
+but none of any great importance.
+
+Meanwhile in the north Yang Chien had brought into power the Chinese Sui
+dynasty. It began by liquidating the quasi-feudal state of the "Later
+Liang". Then followed, in 588-9, the conquest of the Ch'en empire,
+almost without any serious resistance. This brought all China once more
+under united rule, and a period of 360 years of division was ended.
+
+
+6 _Cultural achievements of the south_
+
+For nearly three hundred years the southern empire had witnessed
+unceasing struggles between important cliques, making impossible any
+peaceful development within the country. Culturally, however, the period
+was rich in achievement. The court and the palaces of wealthy members of
+the gentry attracted scholars and poets, and the gentry themselves had
+time for artistic occupations. A large number of the best-known Chinese
+poets appeared in this period, and their works plainly reflect the
+conditions of that time: they are poems for the small circle of scholars
+among the gentry and for cultured patrons, spiced with quotations and
+allusions, elaborate in metre and construction, masterpieces of
+aesthetic sensitivity--but unintelligible except to highly educated
+members of the aristocracy. The works were of the most artificial type,
+far removed from all natural feeling.
+
+Music, too, was never so assiduously cultivated as at this time. But the
+old Chinese music disappeared in the south as in the north, where
+dancing troupes and women musicians in the Sogdian commercial colonies
+of the province of Kansu established the music of western Turkestan.
+Here in the south, native courtesans brought the aboriginal, non-Chinese
+music to the court; Chinese poets wrote songs in Chinese for this music,
+and so the old Chinese music became unfashionable and was forgotten. The
+upper class, the gentry, bought these girls, often in large numbers, and
+organized them in troupes of singers and dancers, who had to appear on
+festal occasions and even at the court. For merchants and other people
+who lacked full social recognition there were brothels, a quite natural
+feature wherever there were considerable commercial colonies or
+collections of merchants, including the capital of the southern empire.
+
+In their ideology, as will be remembered, the Chinese gentry were always
+in favour of Confucianism. Here in the south, however, the association
+with Confucianism was less serious, the southern gentry, with their
+relations with the merchant class, having acquired the character of
+"colonial" gentry. They were brought up as Confucians, but were
+interested in all sorts of different religious movements, and
+especially in Buddhism. A different type of Buddhism from that in the
+north had spread over most of the south, a meditative Buddhism that was
+very close ideologically to the original Taoism, and so fulfilled the
+same social functions as Taoism. Those who found the official life with
+its intrigues repulsive, occupied themselves with meditative Buddhism.
+The monks told of the sad fate of the wicked in the life to come, and
+industriously filled the gentry with apprehension, so that they tried to
+make up for their evil deeds by rich gifts to the monasteries. Many
+emperors in this period, especially Wu Ti of the Liang dynasty, inclined
+to Buddhism. Wu Ti turned to it especially in his old age, when he was
+shut out entirely from the tasks of a ruler and was no longer satisfied
+with the usual pleasures of the court. Several times he instituted
+Buddhist ceremonies of purification on a large scale in the hope of so
+securing forgiveness for the many murders he had committed.
+
+Genuine Taoism also came to the fore again, and with it the popular
+religion with its magic, now amplified with the many local deities that
+had been taken over from the indigenous population of the south. For a
+time it became the fashion at court to pass the time in learned
+discussions between Confucians, Buddhists, and Taoists, which were quite
+similar to the debates between learned men centuries earlier at the
+wealthy little Indian courts. For the court clique this was more a
+matter of pastime than of religious controversy. It seems thoroughly in
+harmony with the political events that here, for the first time in the
+history of Chinese philosophy, materialist currents made their
+appearance, running parallel with Machiavellian theories of power for
+the benefit of the wealthiest of the gentry.
+
+  Principal dynasties of North and South China
+
+  _North and South_
+
+  Western Chin dynasty (A.D. 265-317)
+
+  _North                                          South_
+
+   1. Earlier Chao (Hsiung-nu)   304-329  1. Eastern Chin (Chinese) 317-419
+   2. Later Chao (Hsiung-nu)     328-352
+   3. Earlier Ch'in (Tibetans)   351-394
+   4. Later Ch'in (Tibetans)     384-417
+   5. Western Ch'in (Hsiung-nu)  385-431
+   6. Earlier Yen (Hsien-pi)     352-370
+   7. Later Yen (Hsien-pi)       384-409
+   8. Western Yen (Hsien-pi)     384-395
+   9. Southern Yen (Hsien-pi)    398-410
+  10. Northern Yen (Hsien-pi)    409-436
+  11. Tai (Toba)                 338-376
+  12. Earlier Liang (Chinese)    313-376
+  13. Northern Liang (Hsiung-nu) 397-439
+  14. Western Liang (Chinese?)   400-421
+  15. Later Liang (Tibetans)     386-403
+  16. Southern Liang (Hsien-pi)  379-414
+  17. Hsia (Hsiung-nu)           407-431
+  18. Toba (Turks)               385-550
+                                          2. Liu-Sung               420-478
+                                          3. Southern Ch'i          479-501
+  19. Northern Ch'i (Chinese?)   550-576  4. Liang                  502-556
+  20. Northern Chou (Toba)       557-579  5. Ch'en                  557-588
+  21. Sui (Chinese)              580-618  6. Sui                    580-618
+
+
+
+
+Chapter Eight
+
+THE EMPIRES OF THE SUI AND THE T'ANG
+
+
+
+(A) The Sui dynasty (A.D. 580-618)
+
+
+1 _Internal situation in the newly unified empire_
+
+The last of the northern dynasties, the Northern Chou, had been brought
+to an end by Yang Chien: rapid campaigns had made an end of the
+remaining petty states, and thus the Sui dynasty had come into power.
+China, reunited after 360 years, was again under Chinese rule. This
+event brought about a new epoch in the history of the Far East. But the
+happenings of 360 years could not be wiped out by a change of dynasty.
+The short Sui period can only be described as a period of transition to
+unified forms.
+
+In the last resort the union of the various parts of China proceeded
+from the north. The north had always, beyond question, been militarily
+superior, because its ruling class had consisted of warlike peoples. Yet
+it was not a northerner who had united China but a Chinese though, owing
+to mixed marriages, he was certainly not entirely unrelated to the
+northern peoples. The rule, however, of the actual northern peoples was
+at an end. The start of the Sui dynasty, while the Chou still held the
+north, was evidence, just like the emergence in the north-east some
+thirty years earlier of the Northern Ch'i dynasty, that the Chinese
+gentry with their landowning basis had gained the upper hand over the
+warrior nomads.
+
+The Chinese gentry had not come unchanged out of that struggle.
+Culturally they had taken over many things from the foreigners,
+beginning with music and the style of their clothing, in which they had
+entirely adopted the northern pattern, and including other elements of
+daily life. Among the gentry were now many formerly alien families who
+had gradually become entirely Chinese. On the other hand, the
+foreigners' feudal outlook had influenced the gentry, so that a sense
+of distinctions of rank had developed among them. There were Chinese
+families who regarded themselves as superior to the rest, just as had
+been the case among the northern peoples, and who married only among
+themselves or with the ruling house and not with ordinary families of
+the gentry. They paid great attention to their genealogies, had the
+state keep records of them and insisted that the dynastic histories
+mentioned their families and their main family members. Lists of
+prominent gentry families were set up which mentioned the home of each
+clan, so that pretenders could easily be detected. The rules of giving
+personal names were changed so that it became possible to identify a
+person's genealogical position within the family. At the same time the
+contempt of the military underwent modification; the gentry were even
+ready to take over high military posts, and also to profit by them.
+
+The new Sui empire found itself faced with many difficulties. During the
+three and a half centuries of division, north and south had developed in
+different ways. They no longer spoke the same language in everyday life
+(we distinguish to this day between a Nanking and Peking "High Chinese",
+to say nothing of dialects). The social and economic structures were
+very different in the two parts of the country. How could unity be
+restored in these things?
+
+Then there was the problem of population. The north-eastern plain had
+always been thickly populated; it had early come under Toba rule and had
+been able to develop further. The region round the old northern capital
+Ch'ang-an, on the other hand, had suffered greatly from the struggles
+before the Toba period and had never entirely recovered. Meanwhile, in
+the south the population had greatly increased in the region north of
+Nanking, while the regions south of the Yangtze and the upper Yangtze
+valley were more thinly peopled. The real South, i.e. the modern
+provinces of Fukien, Kwangtung and Kwangsi, was still underdeveloped,
+mainly because of the malaria there. In the matter of population the
+north unquestionably remained prominent.
+
+The founder of the Sui dynasty, known by his reign name of Wen Ti
+(589-604), came from the west, close to Ch'ang-an. There he and his
+following had their extensive domains. Owing to the scanty population
+there and the resulting shortage of agricultural labourers, these
+properties were very much less productive than the small properties in
+the north-east. This state of things was well known in the south, and it
+was expected, with good reason, that the government would try to
+transfer parts of the population to the north-west, in order to settle a
+peasantry round the capital for the support of its greatly increasing
+staff of officials, and to satisfy the gentry of the region. This
+produced several revolts in the south.
+
+As an old soldier who had long been a subject of the Toba, Wen Ti had no
+great understanding of theory: he was a practical man. He was
+anti-intellectual and emotionally attached to Buddhism; he opposed
+Confucianism for emotional reasons and believed that it could give him
+no serviceable officials of the sort he wanted. He demanded from his
+officials the same obedience and sense of duty as from his soldiers; and
+he was above all thrifty, almost miserly, because he realized that the
+finances of his state could only be brought into order by the greatest
+exertions. The budget had to be drawn up for the vast territory of the
+empire without any possibility of saying in advance whether the revenues
+would come in and whether the transport of dues to the capital would
+function.
+
+This cautious calculation was entirely justified, but it aroused great
+opposition. Both east and south were used to a much better style of
+living; yet the gentry of both regions were now required to cut down
+their consumption. On top of this they were excluded from the conduct of
+political affairs. In the past, under the Northern Ch'i empire in the
+north-east and under the Ch'en empire in the south, there had been
+thousands of positions at court in which the whole of the gentry could
+find accommodation of some kind. Now the central government was far in
+the west, and other people were its administrators. In the past the
+gentry had had a profitable and easily accessible market for their
+produce in the neighbouring capital; now the capital was far away,
+entailing long-distance transport at heavy risk with little profit.
+
+The dissatisfied circles of the gentry in the north-east and in the
+south incited Prince Kuang to rebellion. The prince and his followers
+murdered the emperor and set aside the heir-apparent; and Kuang came to
+the throne, assuming the name of Yang Ti. His first act was to transfer
+the capital back to the east, to Loyang, close to the grain-producing
+regions. His second achievement was to order the construction of great
+canals, to facilitate the transport of grain to the capital and to
+provide a valuable new market for the producers in the north-east and
+the south. It was at this time that the first forerunner of the famous
+"Imperial Canal" was constructed, the canal that connects the Yangtze
+with the Yellow River. Small canals, connecting various streams, had
+long been in existence, so that it was possible to travel from north to
+south by water, but these canals were not deep enough or broad enough to
+take large freight barges. There are records of lighters of 500 and even
+800 tons capacity! These are dimensions unheard of in the West in those
+times. In addition to a serviceable canal to the south, Yang Ti made
+another that went north almost to the present Peking.
+
+Hand in hand with these successes of the north-eastern and southern
+gentry went strong support for Confucianism, and a reorganization of the
+Confucian examination system. As a rule, however, the examinations were
+circumvented as an unimportant formality; the various governors were
+ordered each to send annually to the capital three men with the required
+education, for whose quality they were held personally responsible;
+merchants and artisans were expressly excluded.
+
+
+2 _Relations with Turks and with Korea_
+
+In foreign affairs an extraordinarily fortunate situation for the Sui
+dynasty had come into existence. The T'u-chüeh, the Turks, much the
+strongest people of the north, had given support now to one and now to
+another of the northern kingdoms, and this, together with their many
+armed incursions, had made them the dominant political factor in the
+north. But in the first year of the Sui period (581) they split into two
+sections, so that the Sui had hopes of gaining influence over them. At
+first both sections of the Turks had entered into alliance with China,
+but this was not a sufficient safeguard for the Sui, for one of the
+Turkish khans was surrounded by Toba who had fled from the vanished
+state of the Northern Chou, and who now tried to induce the Turks to
+undertake a campaign for the reconquest of North China. The leader of
+this agitation was a princess of the Yü-wen family, the ruling family of
+the Northern Chou. The Chinese fought the Turks several times; but much
+more effective results were gained by their diplomatic missions, which
+incited the eastern against the western Turks and vice versa, and also
+incited the Turks against the Toba clique. In the end one of the
+sections of Turks accepted Chinese overlordship, and some tribes of the
+other section were brought over to the Chinese side; also, fresh
+disunion was sown among the Turks.
+
+Under the emperor Yang Ti, P'ei Chü carried this policy further. He
+induced the Tölös tribes to attack the T'u-yü-hun, and then himself
+attacked the latter, so destroying their power. The T'u-yü-hun were a
+people living in the extreme north of Tibet, under a ruling class
+apparently of Hsien-pi origin; the people were largely Tibetan. The
+purpose of the conquest of the T'u-yü-hun was to safeguard access to
+Central Asia. An effective Turkestan policy was, however, impossible so
+long as the Turks were still a formidable power. Accordingly, the
+intrigues that aimed at keeping the two sections of Turks apart were
+continued. In 615 came a decisive counter-attack from the Turks. Their
+khan, Shih-pi, made a surprise assault on the emperor himself, with all
+his following, in the Ordos region, and succeeded in surrounding them.
+They were in just the same desperate situation as when, eight centuries
+earlier, the Chinese emperor had been beleaguered by Mao Tun. But the
+Chinese again saved themselves by a trick. The young Chinese commander,
+Li Shih-min, succeeded in giving the Turks the impression that large
+reinforcements were on the way; a Chinese princess who was with the
+Turks spread the rumour that the Turks were to be attacked by another
+tribe--and Shih-pi raised the siege, although the Chinese had been
+entirely defeated.
+
+In the Sui period the Chinese were faced with a further problem. Korea
+or, rather, the most important of the three states in Korea, had
+generally been on friendly terms with the southern state during the
+period of China's division, and for this reason had been more or less
+protected from its North Chinese neighbours. After the unification of
+China, Korea had reason for seeking an alliance with the Turks, in order
+to secure a new counterweight against China.
+
+A Turco-Korean alliance would have meant for China a sort of
+encirclement that might have grave consequences. The alliance might be
+extended to Japan, who had certain interests in Korea. Accordingly the
+Chinese determined to attack Korea, though at the same time negotiations
+were set on foot. The fighting, which lasted throughout the Sui period,
+involved technical difficulties, as it called for combined land and sea
+attacks; in general it brought little success.
+
+
+3 _Reasons for collapse_
+
+The continual warfare entailed great expense, and so did the intrigues,
+because they depended for their success on bribery. Still more expensive
+were the great canal works. In addition to this, the emperor Yang Ti,
+unlike his father, was very extravagant. He built enormous palaces and
+undertook long journeys throughout the empire with an immense following.
+All this wrecked the prosperity which his father had built up and had
+tried to safeguard. The only productive expenditure was that on the
+canals, and they could not begin to pay in so short a period. The
+emperor's continual journeys were due, no doubt, in part simply to the
+pursuit of pleasure, though they were probably intended at the same time
+to hinder risings and to give the emperor direct control over every part
+of the country. But the empire was too large and too complex for its
+administration to be possible in the midst of journeying. The whole of
+the chancellery had to accompany the emperor, and all the transport
+necessary for the feeding of the emperor and his government had
+continually to be diverted to wherever he happened to be staying. All
+this produced disorder and unrest. The gentry, who at first had so
+strongly supported the emperor and had been able to obtain anything they
+wanted from him, now began to desert him and set up pretenders. From 615
+onward, after the defeat at the hands of the Turks, risings broke out
+everywhere. The emperor had to establish his government in the south,
+where he felt safer. There, however, in 618, he was assassinated by
+conspirators led by Toba of the Yü-wen family. Everywhere now
+independent governments sprang up, and for five years China was split up
+into countless petty states.
+
+[Illustration: Map 5: The T'ang realm _(about A.D. 750)_]
+
+
+
+(B) The T'ang dynasty (A.D. 618-906)
+
+
+1 _Reforms and decentralization_
+
+The hero of the Turkish siege, Li Shih-min, had allied himself with the
+Turks in 615-16. There were special reasons for his ability to do this.
+In his family it had been a regular custom to marry women belonging to
+Toba families, so that he naturally enjoyed the confidence of the Toba
+party among the Turks. There are various theories as to the origin of
+his family, the Li. The family itself claimed to be descended from the
+ruling family of the Western Liang. It is doubtful whether that family
+was purely Chinese, and in any case Li Shih-min's descent from it is a
+matter of doubt. It is possible that his family was a sinified Toba
+family, or at least came from a Toba region. However this may be, Li
+Shih-min continued the policy which had been pursued since the beginning
+of the Sui dynasty by the members of the deposed Toba ruling family of
+the Northern Chou--the policy of collaboration with the Turks in the
+effort to remove the Sui.
+
+The nominal leadership in the rising that now began lay in the hands of
+Li Shih-min's father, Li Yüan; in practice Li Shih-min saw to
+everything. At the end of 617 he was outside the first capital of the
+Sui, Ch'ang-an, with a Turkish army that had come to his aid on the
+strength of the treaty of alliance. After capturing Ch'ang-an he
+installed a puppet emperor there, a grandson of Yang Ti. In 618 the
+puppet was dethroned and Li Yüan, the father, was made emperor, in the
+T'ang dynasty. Internal fighting went on until 623, and only then was
+the whole empire brought under the rule of the T'ang.
+
+Great reforms then began. A new land law aimed at equalizing ownership,
+so that as far as possible all peasants should own the same amount of
+land and the formation of large estates be prevented. The law aimed also
+at protecting the peasants from the loss of their land. The law was,
+however, nothing but a modification of the Toba land law (_chün-t'ien_),
+and it was hoped that now it would provide a sound and solid economic
+foundation for the empire. From the first, however, members of the
+gentry who were connected with the imperial house were given a
+privileged position; then officials were excluded from the prohibition
+of leasing, so that there continued to be tenant farmers in addition to
+the independent peasants. Moreover, the temples enjoyed special
+treatment, and were also exempted from taxation. All these exceptions
+brought grist to the mills of the gentry, and so did the failure to
+carry into effect many of the provisions of the law. Before long a new
+gentry had been formed, consisting of the old gentry together with those
+who had directly aided the emperor's ascent to the throne. From the
+beginning of the eighth century there were repeated complaints that
+peasants were "disappearing". They were entering the service of the
+gentry as tenant farmers or farm workers, and owing to the privileged
+position of the gentry in regard to taxation, the revenue sank in
+proportion as the number of independent peasants decreased. One of the
+reasons for the flight of farmers may have been the corvée laws
+connected with the "equal land" system: small families were much less
+affected by the corvée obligation than larger families with many sons.
+It may be, therefore, that large families or at least sons of the sons
+in large families moved away in order to escape these obligations. In
+order to prevent irregularities, the T'ang renewed the old "_pao-chia_"
+system, as a part of a general reform of the administration in 624. In
+this system groups of five families were collectively responsible for
+the payment of taxes, the corvée, for crimes committed by individuals
+within one group, and for loans from state agencies. Such a system is
+attested for pre-Christian times already; it was re-activated in the
+eleventh century and again from time to time, down to the present.
+
+Yet the system of land equalization soon broke down and was abolished
+officially around A.D. 780. But the classification of citizens into
+different classes, first legalized under the Toba, was retained and even
+more refined.
+
+As early as in the Han period there had been a dual administration--the
+civil and, independent of it, the military administration. One and the
+same area would belong to a particular administrative prefecture
+(_chün_) and at the same time to a particular military prefecture
+(_chou_). This dual organization had persisted during the Toba period
+and, at first, remained unchanged in the beginning of the T'ang.
+
+The backbone of the military power in the seventh century was the
+militia, some six hundred units of an average of a thousand men,
+recruited from the general farming population for short-term service:
+one month in five in the areas close to the capital. These men formed a
+part of the emperor's guards and were under the command of members of
+the Shensi gentry. This system which had its direct parallels in the Han
+time and evolved out of a Toba system, broke down when short offensive
+wars were no longer fought. Other imperial guards were staffed with
+young sons of the gentry who were stationed in the most delicate parts
+of the palaces. The emperor T'ai-tsung had his personal bodyguard, a
+part of his own army of conquest, consisting of his former bondsmen
+(_pu-ch'ü_). The ranks of the Army of conquest were later filled by
+descendants of the original soldiers and by orphans.
+
+In the provinces, the armies of the military prefectures gradually lost
+their importance when wars became longer and militiamen proved
+insufficient. Many of the soldiers here were convicts and exiles. It is
+interesting to note that the title of the commander of these armies,
+_tu-tu_, in the fourth century meant a commander in the church-Taoist
+organization; it was used by the Toba and from the seventh century on
+became widely accepted as title among the Uigurs, Tibetans, Sogdians,
+Turks and Khotanese.
+
+When the prefectural armies and the militia forces weakened, special
+regional armies were created (from 678 on); this institution had existed
+among the Toba, but they had greatly reduced these armies after 500. The
+commanders of these new T'ang armies soon became more important than the
+civil administrators, because they commanded a number of districts
+making up a whole province. This assured a better functioning of the
+military machine, but put the governors-general in a position to pursue
+a policy of their own, even against the central government. In addition
+to this, the financial administration of their commands was put under
+them, whereas in the past it had been in the hands of the civil
+administration of the various provinces. The civil administration was
+also reorganized (see the table on pages 83-84).
+
+Towards the end of the T'ang period the state secretariat was set up in
+two parts: it was in possession of all information about the economic
+and political affairs of the empire, and it made the actual decisions.
+Moreover, a number of technical departments had been created--in all, a
+system that might compare favourably with European systems of the
+eighteenth century. At the end of the T'ang period there was added to
+this system a section for economic affairs, working quite independently
+of it and directly under the emperor; it was staffed entirely with
+economic or financial experts, while for the staffing of the other
+departments no special qualification was demanded besides the passing of
+the state examinations. In addition to these, at the end of the T'ang
+period a new department was in preparation, a sort of Privy Council, a
+mainly military organization, probably intended to control the generals
+(section 3 of the table on page 83), just as the state secretariat
+controlled the civil officials. The Privy Council became more and more
+important in the tenth century and especially in the Mongol epoch. Its
+absence in the early T'ang period gave the military governors much too
+great freedom, ultimately with baneful results.
+
+At first, however, the reforms of A.D. 624 worked well. The
+administration showed energy, and taxes flowed in. In the middle of the
+eighth century the annual budget of the state included the following
+items: over a million tons of grain for the consumption of the capital
+and the palace and for salaries of civil and military officials;
+twenty-seven million pieces of textiles, also for the consumption of
+capital and palace and army, and for supplementary purchases of grain;
+two million strings of money (a string nominally held a thousand copper
+coins) for salaries and for the army. This was much more than the state
+budget of the Han period. The population of the empire had also
+increased; it seems to have amounted to some fifty millions. In the
+capital a large staff of officials had been created to meet all
+administrative needs. The capital grew enormously, at times containing
+two million people. Great numbers of young members of the gentry
+streamed into the capital for the examinations held under the Confucian
+system.
+
+The crowding of people into the capital and the accumulation of
+resources there promoted a rich cultural life. We know of many poets of
+that period whose poems were real masterpieces; and artists whose works
+were admired centuries later. These poets and artists were the pioneers
+of the flourishing culture of the later T'ang period. Hand in hand with
+this went luxury and refinement of manners. For those who retired from
+the bustle of the capital to work on their estates and to enjoy the
+society of their friends, there was time to occupy themselves with
+Taoism and Buddhism, especially meditative Buddhism. Everyone, of
+course, was Confucian, as was fitting for a member of the gentry, but
+Confucianism was so taken for granted that it was not discussed. It was
+the basis of morality for the gentry, but held no problems. It no longer
+contained anything of interest.
+
+Conditions had been much the same once before, at the court of the Han
+emperors, but with one great difference: at that time everything of
+importance took place in the capital; now, in addition to the actual
+capital, Ch'ang-an, there was the second capital, Loyang, in no way
+inferior to the other in importance; and the great towns in the south
+also played their part as commercial and cultural centres that had
+developed in the 360 years of division between north and south. There
+the local gentry gathered to lead a cultivated life, though not quite in
+the grand style of the capital. If an official was transferred to the
+Yangtze, it no longer amounted to a punishment as in the past; he would
+not meet only uneducated people, but a society resembling that of the
+capital. The institution of governors-general further promoted this
+decentralization: the governor-general surrounded himself with a little
+court of his own, drawn from the local gentry and the local
+intelligentsia. This placed the whole edifice of the empire on a much
+broader foundation, with lasting results.
+
+
+2 _Turkish policy_
+
+The foreign policy of this first period of the T'ang, lasting until
+about 690, was mainly concerned with the Turks and Turkestan. There were
+still two Turkish realms in the Far East, both of considerable strength
+but in keen rivalry with each other. The T'ang had come into power with
+the aid of the eastern Turks, but they admitted the leader of the
+western Turks to their court; he had been at Ch'ang-an in the time of
+the Sui. He was murdered, however, by Chinese at the instigation of the
+eastern Turks. The next khan of the eastern Turks nevertheless turned
+against the T'ang, and gave his support to a still surviving pretender
+to the throne representing the Sui dynasty; the khan contended that the
+old alliance of the eastern Turks had been with the Sui and not with the
+T'ang. The T'ang therefore tried to come to terms once more with the
+western Turks, who had been affronted by the assassination; but the
+negotiations came to nothing in face of an approach made by the eastern
+Turks to the western, and of the distrust of the Chinese with which all
+the Turks were filled. About 624 there were strong Turkish invasions,
+carried right up to the capital. Suddenly, however, for reasons not
+disclosed by the Chinese sources, the Turks withdrew, and the T'ang were
+able to conclude a fairly honourable peace. This was the time of the
+maximum power of the eastern Turks. Shortly afterwards disturbances
+broke out (627), under the leadership of Turkish Uighurs and their
+allies. The Chinese took advantage of these disturbances, and in a great
+campaign in 629-30 succeeded in overthrowing the eastern Turks; the khan
+was taken to the imperial court in Ch'ang-an, and the Chinese emperor
+made himself "Heavenly Khan" of the Turks. In spite of the protest of
+many of the ministers, who pointed to the result of the settlement
+policy of the Later Han dynasty, the eastern Turks were settled in the
+bend of the upper Hwang-ho and placed more or less under the
+protectorate of two governors-general. Their leaders were admitted into
+the Chinese army, and the sons of their nobles lived at the imperial
+court. No doubt it was hoped in this way to turn the Turks into Chinese,
+as had been done with the Toba, though for entirely different reasons.
+More than a million Turks were settled in this way, and some of them
+actually became Chinese later and gained important posts.
+
+In general, however, this in no way broke the power of the Turks. The
+great Turkish empire, which extended as far as Byzantium, continued to
+exist. The Chinese success had done no more than safeguard the frontier
+from a direct menace and frustrate the efforts of the supporters of the
+Sui dynasty and the Toba dynasty, who had been living among the eastern
+Turks and had built on them. The power of the western Turks remained a
+lasting menace to China, especially if they should succeed in
+co-operating with the Tibetans. After the annihilation of the T'u-yü-hun
+by the Sui at the very beginning of the seventh century, a new political
+unit had formed in northern Tibet, the T'u-fan, who also seem to have
+had an upper class of Turks and Mongols and a Tibetan lower class. Just
+as in the Han period, Chinese policy was bound to be directed to
+preventing a union between Turks and Tibetans. This, together with
+commercial interests, seems to have been the political motive of the
+Chinese Turkestan policy under the T'ang.
+
+
+3 _Conquest of Turkestan and Korea. Summit of power_
+
+The Turkestan wars began in 639 with an attack on the city-state of
+Kao-ch'ang (Khocho). This state had been on more or less friendly terms
+with North China since the Toba period, and it had succeeded again and
+again in preserving a certain independence from the Turks. Now, however,
+Kao-ch'ang had to submit to the western Turks, whose power was
+constantly increasing. China made that submission a pretext for war. By
+640 the whole basin of Turkestan was brought under Chinese dominance.
+The whole campaign was really directed against the western Turks, to
+whom Turkestan had become subject. The western Turks had been crippled
+by two internal events, to the advantage of the Chinese: there had been
+a tribal rising, and then came the rebellion and the rise of the Uighurs
+(640-650). These events belong to Turkish history, and we shall confine
+ourselves here to their effects on Chinese history. The Chinese were
+able to rely on the Uighurs; above all, they were furnished by the Tölös
+Turks with a large army, with which they turned once more against
+Turkestan in 647-48, and now definitely established their rule there.
+
+The active spirit at the beginning of the T'ang rule had not been the
+emperor but his son Li Shih-min, who was not, however, named as heir to
+the throne because he was not the eldest son. The result of this was
+tension between Li Shih-min and his father and brothers, especially the
+heir to the throne. When the brothers learned that Li Shih-min was
+claiming the succession, they conspired against him, and in 626, at the
+very moment when the western Turks had made a rapid incursion and were
+once more threatening the Chinese capital, there came an armed collision
+between the brothers, in which Li Shih-min was the victor. The brothers
+and their families were exterminated, the father compelled to abdicate,
+and Li Shih-min became emperor, assuming the name T'ai Tsung (627-649).
+His reign marked the zenith of the power of China and of the T'ang
+dynasty. Their inner struggles and the Chinese penetration of Turkestan
+had weakened the position of the Turks; the reorganization of the
+administration and of the system of taxation, the improved transport
+resulting from the canals constructed under the Sui, and the useful
+results of the creation of great administrative areas under strong
+military control, had brought China inner stability and in consequence
+external power and prestige. The reputation which she then obtained as
+the most powerful state of the Far East endured when her inner stability
+had begun to deteriorate. Thus in 638 the Sassanid ruler Jedzgerd sent a
+mission to China asking for her help against the Arabs. Three further
+missions came at intervals of a good many years. The Chinese declined,
+however, to send a military expedition to such a distance; they merely
+conferred on the ruler the title of a Chinese governor; this was of
+little help against the Arabs, and in 675 the last ruler, Peruz, fled to
+the Chinese court.
+
+The last years of T'ai Tsung's reign were filled with a great war
+against Korea, which represented a continuation of the plans of the Sui
+emperor Yang Ti. This time Korea came firmly into Chinese possession. In
+661, under T'ai Tsung's son, the Korean fighting was resumed, this time
+against Japanese who were defending their interests in Korea. This was
+the period of great Japanese enthusiasm for China. The Chinese system of
+administration was copied, and Buddhism was adopted, together with every
+possible element of Chinese culture. This meant increased trade with
+Japan, bringing in large profits to China, and so the Korean middleman
+was to be eliminated.
+
+T'ai Tsung's son, Kao Tsung (650-683), merely carried to a conclusion
+what had been begun. Externally China's prestige continued at its
+zenith. The caravans streamed into China from western and central Asia,
+bringing great quantities of luxury goods. At this time, however, the
+foreign colonies were not confined to the capital but were installed in
+all the important trading ports and inland trade centres. The whole
+country was covered by a commercial network; foreign merchants who had
+come overland to China met others who had come by sea. The foreigners
+set up their own counting-houses and warehouses; whole quarters of the
+capital were inhabited entirely by foreigners who lived as if they were
+in their own country. They brought with them their own religions:
+Manichaeism, Mazdaism, and Nestorian Christianity. The first Jews came
+into China, apparently as dealers in fabrics, and the first Arabian
+Mohammedans made their appearance. In China the the foreigners bought
+silkstuffs and collected everything of value that they could find,
+especially precious metals. Culturally this influx of foreigners
+enriched China; economically, as in earlier periods, it did not; its
+disadvantages were only compensated for a time by the very beneficial
+results of the trade with Japan, and this benefit did not last long.
+
+
+4 _The reign of the empress Wu: Buddhism and capitalism_
+
+The pressure of the western Turks had been greatly weakened in this
+period, especially as their attention had been diverted to the west,
+where the advance of Islam and of the Arabs was a new menace for them.
+On the other hand, from 650 onward the Tibetans gained immensely in
+power, and pushed from the south into the Tarim basin. In 678 they
+inflicted a heavy defeat on the Chinese, and it cost the T'ang decades
+of diplomatic effort before they attained, in 699, their aim of breaking
+up the Tibetans' realm and destroying their power. In the last year of
+Kao Tsung's reign, 683, came the first of the wars of liberation of the
+northern Turks, known until then as the western Turks, against the
+Chinese. And with the end of Kao Tsung's reign began the decline of the
+T'ang regime. Most of the historians attribute it to a woman, the later
+empress Wu. She had been a concubine of T'ai Tsung, and after his death
+had become a Buddhist nun--a frequent custom of the time--until Kao
+Tsung fell in love with her and made her a concubine of his own. In the
+end he actually divorced the empress and made the concubine empress
+(655). She gained more and more influence, being placed on a par with
+the emperor and soon entirely eliminating him in practice; in 680 she
+removed the rightful heir to the throne and put her own son in his
+place; after Kao Tsung's death in 683 she became regent for her son.
+Soon afterward she dethroned him in favour of his twenty-two-year-old
+brother; in 690 she deposed him too and made herself empress in the
+"Chou dynasty" (690-701). This officially ended the T'ang dynasty.
+
+Matters, however, were not so simple as this might suggest. For
+otherwise on the empress's deposition there would not have been a mass
+of supporters moving heaven and earth to treat the new empress Wei
+(705-712) in the same fashion. There is every reason to suppose that
+behind the empress Wu there was a group opposing the ruling clique. In
+spite of everything, the T'ang government clique was very pro-Turkish,
+and many Turks and members of Toba families had government posts and,
+above all, important military commands. No campaign of that period was
+undertaken without Turkish auxiliaries. The fear seems to have been felt
+in some quarters that this T'ang group might pursue a military policy
+hostile to the gentry. The T'ang group had its roots mainly in western
+China; thus the eastern Chinese gentry were inclined to be hostile to
+it. The first act of the empress Wu had been to transfer the capital to
+Loyang in the east. Thus, she tried to rely upon the co-operation of the
+eastern gentry which since the Northern Chou and Sui dynasties had been
+out of power. While the western gentry brought their children into
+government positions by claiming family privileges (a son of a high
+official had the right to a certain position without having passed the
+regular examinations), the sons of the eastern gentry had to pass
+through the examinations. Thus, there were differences in education and
+outlook between both groups which continued long after the death of the
+empress. In addition, the eastern gentry, who supported the empress Wu
+and later the empress Wei, were closely associated with the foreign
+merchants of western Asia and the Buddhist Church to which they adhered.
+In gratitude for help from the Buddhists, the empress Wu endowed them
+with enormous sums of money, and tried to make Buddhism a sort of state
+religion. A similar development had taken place in the Toba and also in
+the Sui period. Like these earlier rulers, the empress Wu seems to have
+aimed at combining spiritual leadership with her position as ruler of
+the empire.
+
+In this epoch Buddhism helped to create the first beginnings of
+large-scale capitalism. In connection with the growing foreign trade,
+the monasteries grew in importance as repositories of capital; the
+temples bought more and more land, became more and more wealthy, and so
+gained increasing influence over economic affairs. They accumulated
+large quantities of metal, which they stored in the form of bronze
+figures of Buddha, and with these stocks they exercised controlling
+influence over the money market. There is a constant succession of
+records of the total weight of the bronze figures, as an indication of
+the money value they represented. It is interesting to observe that
+temples and monasteries acquired also shops and had rental income from
+them. They further operated many mills, as did the owners of private
+estates (now called "_chuang_") and thus controlled the price of flour,
+and polished rice.
+
+The cultural influence of Buddhism found expression in new and improved
+translations of countless texts, and in the passage of pilgrims along
+the caravan routes, helped by the merchants, as far as western Asia and
+India, like the famous Hsüan-tsang. Translations were made not only from
+Indian or other languages into Chinese, but also, for instance, from
+Chinese into the Uighur and other Turkish tongues, and into Tibetan,
+Korean, and Japanese.
+
+The attitude of the Turks can only be understood when we realize that
+the background of events during the time of empress Wu was formed by the
+activities of groups of the eastern Chinese gentry. The northern Turks,
+who since 630 had been under Chinese overlordship, had fought many wars
+of liberation against the Chinese; and through the conquest of
+neighbouring Turks they had gradually become once more, in the
+decade-and-a-half after the death of Kao Tsung, a great Turkish realm.
+In 698 the Turkish khan, at the height of his power, demanded a Chinese
+prince for his daughter--not, as had been usual in the past, a princess
+for his son. His intention, no doubt, was to conquer China with the
+prince's aid, to remove the empress Wu, and to restore the T'ang
+dynasty--but under Turkish overlordship! Thus, when the empress Wu sent
+a member of her own family, the khan rejected him and demanded the
+restoration of the deposed T'ang emperor. To enforce this demand, he
+embarked on a great campaign against China. In this the Turks must have
+been able to rely on the support of a strong group inside China, for
+before the Turkish attack became dangerous the empress Wu recalled the
+deposed emperor, at first as "heir to the throne"; thus she yielded to
+the khan's principal demand.
+
+In spite of this, the Turkish attacks did not cease. After a series of
+imbroglios within the country in which a group under the leadership of
+the powerful Ts'ui gentry family had liquidated the supporters of the
+empress Wu shortly before her death, a T'ang prince finally succeeded in
+killing empress Wei and her clique. At first, his father ascended the
+throne, but was soon persuaded to abdicate in favour of his son, now
+called emperor Hsüang Tsung (713-755), just as the first ruler of the
+T'ang dynasty had done. The practice of abdicating--in contradiction
+with the Chinese concept of the ruler as son of Heaven and the duties of
+a son towards his father--seems to have impressed Japan where similar
+steps later became quite common. With Hsüan Tsung there began now a
+period of forty-five years, which the Chinese describe as the second
+blossoming of T'ang culture, a period that became famous especially for
+its painting and literature.
+
+
+5 _Second blossoming of T'ang culture_
+
+The T'ang literature shows the co-operation of many favourable factors.
+The ancient Chinese classical style of official reports and decrees
+which the Toba had already revived, now led to the clear prose style of
+the essayists, of whom Han Yü (768-825) and Liu Tsung-yüan (747-796)
+call for special mention. But entirely new forms of sentences make their
+appearance in prose writing, with new pictures and similes brought from
+India through the medium of the Buddhist translations. Poetry was also
+enriched by the simple songs that spread in the north under Turkish
+influence, and by southern influences. The great poets of the T'ang
+period adopted the rules of form laid down by the poetic art of the
+south in the fifth century; but while at that time the writing of poetry
+was a learned pastime, precious and formalistic, the T'ang poets brought
+to it genuine feeling. Widespread fame came to Li T'ai-po (701-762) and
+Tu Fu (712-770); in China two poets almost equal to these two in
+popularity were Po Chü-i (772-846) and Yüan Chen (779-831), who in their
+works kept as close as possible to the vernacular.
+
+New forms of poetry rarely made their appearance in the T'ang period,
+but the existing forms were brought to the highest perfection. Not until
+the very end of the T'ang period did there appear the form of a "free"
+versification, with lines of no fixed length. This form came from the
+indigenous folk-songs of south-western China, and was spread through the
+agency of the _filles de joie_ in the tea-houses. Before long it became
+the custom to string such songs together in a continuous series--the
+first step towards opera. For these song sequences were sung by way of
+accompaniment to the theatrical productions. The Chinese theatre had
+developed from two sources--from religious games, bullfights and
+wrestling, among Turkish and Mongol peoples, which developed into
+dancing displays; and from sacrificial games of South Chinese origin.
+Thus the Chinese theatre, with its union with music, should rather be
+called opera, although it offers a sort of pantomimic show. What
+amounted to a court conservatoire trained actors and musicians as early
+as in the T'ang period for this court opera. These actors and musicians
+were selected from the best-looking "commoners", but they soon tended to
+become a special caste with a legal status just below that of
+"burghers".
+
+In plastic art there are fine sculptures in stone and bronze, and we
+have also technically excellent fabrics, the finest of lacquer, and
+remains of artistic buildings; but the principal achievement of the
+T'ang period lies undoubtedly in the field of painting. As in poetry, in
+painting there are strong traces of alien influences; even before the
+T'ang period, the painter Hsieh Ho laid down the six fundamental laws of
+painting, in all probability drawn from Indian practice. Foreigners were
+continually brought into China as decorators of Buddhist temples, since
+the Chinese could not know at first how the new gods had to be
+presented. The Chinese regarded these painters as craftsmen, but admired
+their skill and their technique and learned from them.
+
+The most famous Chinese painter of the T'ang period is Wu Tao-tzŭ, who
+was also the painter most strongly influenced by Central Asian works. As
+a pious Buddhist he painted pictures for temples among others. Among the
+landscape painters, Wang Wei (721-759) ranks first; he was also a famous
+poet and aimed at uniting poem and painting into an integral whole. With
+him begins the great tradition of Chinese landscape painting, which
+attained its zenith later, in the Sung epoch.
+
+Porcelain had been invented in China long ago. There was as yet none of
+the white porcelain that is preferred today; the inside was a
+brownish-yellow; but on the whole it was already technically and
+artistically of a very high quality. Since porcelain was at first
+produced only for the requirements of the court and of high
+dignitaries--mostly in state factories--a few centuries later the T'ang
+porcelain had become a great rarity. But in the centuries that followed,
+porcelain became an important new article of Chinese export. The Chinese
+prisoners taken by the Arabs in the great battle of Samarkand (751), the
+first clash between the world of Islam and China, brought to the West
+the knowledge of Chinese culture, of several Chinese crafts, of the art
+of papermaking, and also of porcelain.
+
+The emperor Hsüan Tsung gave active encouragement to all things
+artistic. Poets and painters contributed to the elegance of his
+magnificent court ceremonial. As time went on he showed less and less
+interest in public affairs, and grew increasingly inclined to Taoism and
+mysticism in general--an outcome of the fact that the conduct of matters
+of state was gradually taken out of his hands. On the whole, however,
+Buddhism was pushed into the background in favour of Confucianism, as a
+reaction from the unusual privileges that had been accorded to the
+Buddhists in the past fifteen years under the empress Wu.
+
+
+6 _Revolt of a military governor_
+
+At the beginning of Hsüan Tsung's reign the capital had been in the east
+at Loyang; then it was transferred once more to Ch'ang-an in the west
+due to pressure of the western gentry. The emperor soon came under the
+influence of the unscrupulous but capable and energetic Li Lin-fu, a
+distant relative of the ruler. Li was a virtual dictator at the court
+from 736 to 752, who had first advanced in power by helping the
+concubine Wu, a relative of the famous empress Wu, and by continually
+playing the eastern against the western gentry. After the death of the
+concubine Wu, he procured for the emperor a new concubine named Yang, of
+a western family. This woman, usually called "Concubine Yang" (Yang
+Kui-fei), became the heroine of countless stage-plays and stories and
+even films; all the misfortunes that marked the end of Hsüan Tsung's
+reign were attributed solely to her. This is incorrect, as she was but a
+link in the chain of influences that played upon the emperor. Naturally
+she found important official posts for her brothers and all her
+relatives; but more important than these was a military governor named
+An Lu-shan (703-757). His mother was a Turkish shamaness, his father, a
+foreigner probably of Sogdian origin. An Lu-shan succeeded in gaining
+favour with the Li clique, which hoped to make use of him for its own
+ends. Chinese sources describe him as a prodigy of evil, and it will be
+very difficult today to gain a true picture of his personality. In any
+case, he was certainly a very capable officer. His rise started from a
+victory over the Kitan in 744. He spent some time establishing relations
+with the court and then went back to resume operations against the
+Kitan. He made so much of the Kitan peril that he was permitted a larger
+army than usual, and he had command of 150,000 troops in the
+neighbourhood of Peking. Meanwhile Li Lin-fu died. He had sponsored An
+as a counterbalance against the western gentry. When now, within the
+clique of Li Lin-fu, the Yang family tried to seize power, they turned
+against An Lu-shan. But he marched against the capital, Ch'ang-an, with
+200,000 men; on his way he conquered Loyang and made himself emperor
+(756: Yen dynasty). T'ang troops were sent against him under the
+leadership of the Chinese Kuo Tzŭ-i, a Kitan commander, and a Turk,
+Ko-shu Han.
+
+The first two generals had considerable success, but Ko-shu Han, whose
+task was to prevent access to the western capital, was quickly defeated
+and taken prisoner. The emperor fled betimes, and An Lu-shan captured
+Ch'ang-an. The emperor now abdicated; his son, emperor Su Tsung
+(756-762), also fled, though not with him into Szechwan, but into
+north-western Shensi. There he defended himself against An Lu-shan and
+his capable general Shih Ssŭ-ming (himself a Turk), and sought aid in
+Central Asia. A small Arab troop came from the caliph Abu-Jafar, and
+also small bands from Turkestan; of more importance was the arrival of
+Uighur cavalry in substantial strength. At the end of 757 there was a
+great battle in the neighbourhood of the capital, in which An Lu-shan
+was defeated by the Uighurs; shortly afterwards he was murdered by one
+of his eunuchs. His followers fled; Loyang was captured and looted by
+the Uighurs. The victors further received in payment from the T'ang
+government 10,000 rolls of silk with a promise of 20,000 rolls a year;
+the Uighur khan was given a daughter of the emperor as his wife. An
+Lu-shan's general, the Turk Shih Ssŭ-ming, entered into An Lu-shan's
+heritage, and dominated so large a part of eastern China that the
+Chinese once more made use of the Uighurs to bring him down. The
+commanders in the fighting against Shih Ssŭ-ming this time were once
+more Kuo Tzŭ-i and the Kitan general, together with P'u-ku Huai-en, a
+member of a Tölös family that had long been living in China. At first
+Shih Ssŭ-ming was victorious, and he won back Loyang, but then he was
+murdered by his own son, and only by taking advantage of the
+disturbances that now arose were the government troops able to quell the
+dangerous rising.
+
+In all this, two things seem interesting and important. To begin with,
+An Lu-shan had been a military governor. His rising showed that while
+this new office, with its great command of power, was of value in
+attacking external enemies, it became dangerous, especially if the
+central power was weak, the moment there were no external enemies of any
+importance. An Lu-shan's rising was the first of many similar ones in
+the later T'ang period. The gentry of eastern China had shown themselves
+entirely ready to support An Lu-shan against the government, because
+they had hoped to gain advantage as in the past from a realm with its
+centre once more in the east. In the second place, the important part
+played by aliens in events within China calls for notice: not only were
+the rebels An Lu-shan and Shih Ssŭ-ming non-Chinese, but so also were
+most of the generals opposed to them. But they regarded themselves as
+Chinese, not as members of another national group. The Turkish Uighurs
+brought in to help against them were fighting actually against Turks,
+though they regarded those Turks as Chinese. We must not bring to the
+circumstances of those times the present-day notions with regard to
+national feeling.
+
+
+7 _The role of the Uighurs. Confiscation of the capital of the
+monasteries_
+
+This rising and its sequels broke the power of the dynasty, and also of
+the empire. The extremely sanguinary wars had brought fearful suffering
+upon the population. During the years of the rising, no taxes came in
+from the greater part of the empire, but great sums had to be paid to
+the peoples who had lent aid to the empire. And the looting by
+government troops and by the auxiliaries injured the population as much
+as the war itself did.
+
+When the emperor Su Tsung died, in 762, Tengri, the khan of the Uighurs,
+decided to make himself ruler over China. The events of the preceding
+years had shown him that China alone was entirely defenceless. Part of
+the court clique supported him, and only by the intervention of P'u-ku
+Huai-en, who was related to Tengri by marriage, was his plan frustrated.
+Naturally there were countless intrigues against P'u-ku Huai-en. He
+entered into alliance with the Tibetan T'u-fan, and in this way the
+union of Turks and Tibetans, always feared by the Chinese, had come into
+existence. In 763 the Tibetans captured and burned down the western
+capital, while P'u-ku Huai-en with the Uighurs advanced from the north.
+Undoubtedly this campaign would have been successful, giving an entirely
+different turn to China's destiny, if P'u-ku Huai-en had not died in 765
+and the Chinese under Kuo Tzŭ-i had not succeeded in breaking up the
+alliance. The Uighurs now came over into an alliance with the Chinese,
+and the two allies fell upon the Tibetans and robbed them of their
+booty. China was saved once more.
+
+Friendship with the Uighurs had to be paid for this time even more
+dearly. They crowded into the capital and compelled the Chinese to buy
+horses, in payment for which they demanded enormous quantities of
+silkstuffs. They behaved in the capital like lords, and expected to be
+maintained at the expense of the government. The system of military
+governors was adhered to in spite of the country's experience of them,
+while the difficult situation throughout the empire, and especially
+along the western and northern frontiers, facing the Tibetans and the
+more and more powerful Kitan, made it necessary to keep considerable
+numbers of soldiers permanently with the colours. This made the military
+governors stronger and stronger; ultimately they no longer remitted any
+taxes to the central government, but spent them mainly on their armies.
+Thus from 750 onward the empire consisted of an impotent central
+government and powerful military governors, who handed on their
+positions to their sons as a further proof of their independence. When
+in 781 the government proposed to interfere with the inheriting of the
+posts, there was a great new rising, which in 783 again extended as far
+as the capital; in 784 the T'ang government at last succeeded in
+overcoming it. A compromise was arrived at between the government and
+the governors, but it in no way improved the situation. Life became more
+and more difficult for the central government. In 780, the "equal land"
+system was finally officially given up and with it a tax system which
+was based upon the idea that every citizen had the same amount of land
+and, therefore, paid the same amount of taxes. The new system tried to
+equalize the tax burden and the corvée obligation, but not the land.
+This change may indicate a step towards greater freedom for private
+enterprise. Yet it did not benefit the government, as most of the tax
+income was retained by the governors and was used for their armies and
+their own court.
+
+In the capital, eunuchs ruled in the interests of various cliques.
+Several emperors fell victim to them or to the drinking of "elixirs of
+long life".
+
+Abroad, the Chinese lost their dominion over Turkestan, for which
+Uighurs and Tibetans competed. There is nothing to gain from any full
+description of events at court. The struggle between cliques soon became
+a struggle between eunuchs and literati, in much the same way as at the
+end of the second Han dynasty. Trade steadily diminished, and the state
+became impoverished because no taxes were coming in and great armies had
+to be maintained, though they did not even obey the government.
+
+Events that exerted on the internal situation an influence not to be
+belittled were the break-up of the Uighurs (from 832 onward) the
+appearance of the Turkish Sha-t'o, and almost at the same time, the
+dissolution of the Tibetan empire (from 842). Many other foreigners had
+placed themselves under the Uighurs living in China, in order to be able
+to do business under the political protection of the Uighur embassy, but
+the Uighurs no longer counted, and the T'ang government decided to seize
+the capital sums which these foreigners had accumulated. It was hoped in
+this way especially to remedy the financial troubles of the moment,
+which were partly due to a shortage of metal for minting. As the trading
+capital was still placed with the temples as banks, the government
+attacked the religion of the Uighurs, Manichaeism, and also the
+religions of the other foreigners, Mazdaism, Nestorianism, and
+apparently also Islam. In 843 alien religions were prohibited; aliens
+were also ordered to dress like Chinese. This gave them the status of
+Chinese citizens and no longer of foreigners, so that Chinese justice
+had a hold over them. That this law abolishing foreign religions was
+aimed solely at the foreigners' capital is shown by the proceedings at
+the same time against Buddhism which had long become a completely
+Chinese Church. Four thousand, six hundred Buddhist temples, 40,000
+shrines and monasteries were secularized, and all statues were required
+to be melted down and delivered to the government, even those in private
+possession. Two hundred and sixty thousand, five hundred monks were to
+become ordinary citizens once more. Until then monks had been free of
+taxation, as had millions of acres of land belonging to the temples and
+leased to tenants or some 150,000 temple slaves.
+
+Thus the edict of 843 must not be described as concerned with religion:
+it was a measure of compulsion aimed at filling the government coffers.
+All the property of foreigners and a large part of the property of the
+Buddhist Church came into the hands of the government. The law was not
+applied to Taoism, because the ruling gentry of the time were, as so
+often before, Confucianist and at the same time Taoist. As early as 846
+there came a reaction: with the new emperor, Confucians came into power
+who were at the same time Buddhists and who now evicted some of the
+Taoists. From this time one may observe closer co-operation between
+Confucianism and Buddhism; not only with meditative Buddhism (Dhyana) as
+at the beginning of the T'ang epoch and earlier, but with the main
+branch of Buddhism, monastery Buddhism (Vinaya). From now onward the
+Buddhist doctrines of transmigration and retribution, which had been
+really directed against the gentry and in favour of the common people,
+were turned into an instrument serving the gentry: everyone who was
+unfortunate in this life must show such amenability to the government
+and the gentry that he would have a chance of a better existence at
+least in the next life. Thus the revolutionary Buddhist doctrine of
+retribution became a reactionary doctrine that was of great service to
+the gentry. One of the Buddhist Confucians in whose works this revised
+version makes its appearance most clearly was Niu Seng-yu, who was at
+once summoned back to court in 846 by the new emperor. Three new large
+Buddhist sects came into existence in the T'ang period. One of them, the
+school of the Pure Land (_Ching-t'u tsung_, since 641) required of its
+mainly lower class adherents only the permanent invocation of the Buddha
+Amithabha who would secure them a place in the "Western Paradise"--a
+place without social classes and economic troubles. The cult of
+Maitreya, which was always more revolutionary, receded for a while.
+
+
+8 _First successful peasant revolt. Collapse of the empire_
+
+The chief sufferers from the continual warfare of the military
+governors, the sanguinary struggles between the cliques, and the
+universal impoverishment which all this fighting produced, were, of
+course, the common people. The Chinese annals are filled with records of
+popular risings, but not one of these had attained any wide extent, for
+want of organization. In 860 began the first great popular rising, a
+revolt caused by famine in the province of Chekiang. Government troops
+suppressed it with bloodshed. Further popular risings followed. In 874
+began a great rising in the south of the present province of Hopei, the
+chief agrarian region.
+
+The rising was led by a peasant, Wang Hsien-chih, together with Huang
+Ch'ao, a salt merchant, who had fallen into poverty and had joined the
+hungry peasants, forming a fighting group of his own. It is important to
+note that Huang was well educated. It is said that he failed in the
+state examination. Huang is not the first merchant who became rebel. An
+Lu-shan, too, had been a businessman for a while. It was pointed out
+that trade had greatly developed in the T'ang period; of the lower
+Yangtze region people it was said that "they were so much interested in
+business that they paid no attention to agriculture". Yet merchants were
+subject to many humiliating conditions. They could not enter the
+examinations, except by illegal means. In various periods, from the Han
+time on, they had to wear special dress. Thus, a law from _c_. A.D. 300
+required them to wear a white turban on which name and type of business
+was written, and to wear one white and one black shoe. They were subject
+to various taxes, but were either not allowed to own land, or were
+allotted less land than ordinary citizens. Thus they could not easily
+invest in land, the safest investment at that time. Finally, the
+government occasionally resorted to the method which was often used in
+the Near East: when in 782 the emperor ran out of money, he requested
+the merchants of the capital to "loan" him a large sum--a request which
+in fact was a special tax.
+
+Wang and Huang both proved good organizers of the peasant masses, and in
+a short time they had captured the whole of eastern China, without the
+military governors being able to do anything against them, for the
+provincial troops were more inclined to show sympathy to the peasant
+armies than to fight them. The terrified government issued an order to
+arm the people of the other parts of the country against the rebels;
+naturally this helped the rebels more than the government, since the
+peasants thus armed went over to the rebels. Finally Wang was offered a
+high office. But Huang urged him not to betray his own people, and Wang
+declined the offer. In the end the government, with the aid of the
+troops of the Turkish Sha-t'o, defeated Wang and beheaded him (878).
+Huang Ch'ao now moved into the south-east and the south, where in 879 he
+captured and burned down Canton; according to an Arab source, over
+120,000 foreign merchants lost their lives in addition to the Chinese.
+From Canton Huang Ch'ao returned to the north, laden with loot from that
+wealthy commercial city. His advance was held up again by the Sha-t'o
+troops; he turned away to the lower Yangtze, and from there marched
+north again. At the end of 880 he captured the eastern capital. The
+emperor fled from the western capital, Ch'ang-an, into Szechwan, and
+Huang Ch'ao now captured with ease the western capital as well, and
+removed every member of the ruling family on whom he could lay hands. He
+then made himself emperor, in a Ch'i dynasty. It was the first time that
+a peasant rising had succeeded against the gentry.
+
+There was still, however, the greatest disorder in the empire. There
+were other peasant armies on the move, armies that had deserted their
+governors and were fighting for themselves; finally, there were still a
+few supporters of the imperial house and, above all, the Turkish
+Sha-t'o, who had a competent commander with the sinified name of Li
+K'o-yung. The Sha-t'o, who had remained loyal to the government,
+revolted the moment the government had been overthrown. They ran the
+risk, however, of defeat at the hands of an alien army of the Chinese
+government's, commanded by an Uighur, and they therefore fled to the
+Tatars. In spite of this, the Chinese entered again into relations with
+the Sha-t'o, as without them there could be no possibility of getting
+rid of Huang Ch'ao. At the end of 881 Li K'o-yung fell upon the capital;
+there was a fearful battle. Huang Ch'ao was able to hold out, but a
+further attack was made in 883 and he was defeated and forced to flee;
+in 884 he was killed by the Sha-t'o.
+
+This popular rising, which had only been overcome with the aid of
+foreign troops, brought the end of the T'ang dynasty. In 885 the T'ang
+emperor was able to return to the capital, but the only question now was
+whether China should be ruled by the Sha-t'o under Li K'o-yung or by
+some other military commander. In a short time Chu Ch'üan-chung, a
+former follower of Huang Ch'ao, proved to be the strongest of the
+commanders. In 890 open war began between the two leaders. Li K'o-yung
+was based on Shansi; Chu Ch'üan-chung had control of the plains in the
+east. Meanwhile the governors of Szechwan in the west and Chekiang in
+the south-east made themselves independent. Both declared themselves
+kings or emperors and set up dynasties of their own (from 895).
+
+Within the capital, the emperor was threatened several times by revolts,
+so that he had to flee and place himself in the hands of Li K'o-yung as
+the only leader on whose loyalty he could count. Soon after this,
+however, the emperor fell into the hands of Chu Ch'üan-chung, who killed
+the whole entourage of the emperor, particularly the eunuchs; after a
+time he had the emperor himself killed, set a puppet--as had become
+customary--on the throne, and at the beginning of 907 took over the rule
+from him, becoming emperor in the "Later Liang dynasty".
+
+That was the end of the T'ang dynasty, at the beginning of which China
+had risen to unprecedented power. Its downfall had been brought about by
+the military governors, who had built up their power and had become
+independent hereditary satraps, exploiting the people for their own
+purposes, and by their continual mutual struggles undermining the
+economic structure of the empire. In addition to this, the empire had
+been weakened first by its foreign trade and then by the dependence on
+foreigners, especially Turks, into which it had fallen owing to internal
+conditions. A large part of the national income had gone abroad. Such is
+the explanation of the great popular risings which ultimately brought
+the dynasty to its end.
+
+
+
+
+MODERN TIMES
+
+
+
+
+Chapter Nine
+
+THE EPOCH OF THE SECOND DIVISION OF CHINA
+
+
+
+(A) The period of transition: the Five Dynasties (A.D. 906-960)
+
+1 _Beginning of a new epoch_
+
+The rebellion of Huang Ch'ao in fact meant the end of the T'ang dynasty
+and the division of China into a number of independent states. Only for
+reasons of convenience we keep the traditional division into dynasties
+and have our new period begin with the official end of the T'ang dynasty
+in 906. We decided to call the new thousand years of Chinese history
+"Modern Times" in order to indicate that from _c_. 860 on changes in
+China's social structure came about which set this epoch off from the
+earlier thousand years which we called "The Middle Ages". Any division
+into periods is arbitrary as changes do not happen from one year to the
+next. The first beginnings of the changes which lead to the "Modern
+Times" actually can be seen from the end of An Lu-shan's rebellion on,
+from _c_. A.D. 780 on, and the transformation was more or less completed
+only in the middle of the eleventh century.
+
+If we want to characterize the "Modern Times" by one concept, we would
+have to call this epoch the time of the emergence of a middle class, and
+it will be remembered that the growth of the middle class in Europe was
+also the decisive change between the Middle Ages and Modern Times in
+Europe. The parallelism should, however, not be overdone. The gentry
+continued to play a role in China during the Modern Times, much more
+than the aristocracy did in Europe. The middle class did not ever really
+get into power during the whole period.
+
+While we will discuss the individual developments later in some detail,
+a few words about the changes in general might be given already here.
+The wars which followed Huang Ch'ao's rebellion greatly affected the
+ruling gentry. A number of families were so strongly affected that they
+lost their importance and disappeared. Commoners from the followers of
+Huang Ch'ao or other armies succeeded to get into power, to acquire
+property and to enter the ranks of the gentry. At about A.D. 1000 almost
+half of the gentry families were new families of low origin. The state,
+often ruled by men who had just moved up, was no more interested in the
+aristocratic manners of the old gentry families, especially no more
+interested in their genealogies. When conditions began to improve after
+A.D. 1000, and when the new families felt themselves as real gentry
+families, they tried to set up a mechanism to protect the status of
+their families. In the eleventh century private genealogies began to be
+kept, so that any claim against the clan could be checked. Clans set up
+rules of behaviour and procedure to regulate all affairs of the clan
+without the necessity of asking the state to interfere in case of
+conflict. Many such "clan rules" exist in China and also in Japan which
+took over this innovation. Clans set apart special pieces of land as
+clan land; the income of this land was to be used to secure a minimum of
+support for every clan member and his own family, so that no member ever
+could fall into utter poverty. Clan schools which were run by income
+from special pieces of clan land were established to guarantee an
+education for the members of the clan, again in order to make sure that
+the clan would remain a part of the _élite_. Many clans set up special
+marriage rules for clan members, and after some time cross-cousin
+marriages between two or three families were legally allowed; such
+marriages tended to fasten bonds between clans and to prevent the loss
+of property by marriage. While on the one hand, a new "clan
+consciousness" grew up among the gentry families in order to secure
+their power, tax and corvée legislation especially in the eleventh
+century induced many families to split up into small families.
+
+It can be shown that over the next centuries, the power of the family
+head increased. He was now regarded as owner of the property, not only
+mere administrator of family property. He got power over life and death
+of his children. This increase of power went together with a change of
+the position of the ruler. The period transition (until _c_. A.D. 1000)
+was followed by a period of "moderate absolutism" (until 1278) in which
+emperors as persons played a greater role than before, and some
+emperors, such as Shen Tsung (in 1071), even declared that they regarded
+the welfare of the masses as more important than the profit of the
+gentry. After 1278, however, the personal influence of the emperors grew
+further towards absolutism and in times became pure despotism.
+
+Individuals, especially family heads, gained more freedom in "Modern
+Times". Not only the period of transition, but also the following period
+was a time of much greater social mobility than existed in the Middle
+Ages. By various legal and/or illegal means people could move up into
+positions of power and wealth: we know of many merchants who succeeded
+in being allowed to enter the state examina and thus got access to jobs
+in the administration. Large, influential gentry families in the capital
+protected sons from less important families and thus gave them a chance
+to move into the gentry. Thus, these families built up a clientele of
+lesser gentry families which assisted them and upon the loyalty of which
+they could count. The gentry can from now on be divided into two parts.
+First, there was a "big gentry" which consisted of much fewer families
+than in earlier times and which directed the policy in the capital; and
+secondly, there was a "small gentry" which was operating mainly in the
+provincial cities, directing local affairs and bound by ties of loyalty
+to big gentry families. Gentry cliques now extended into the provinces
+and it often became possible to identify a clique with a geographical
+area, which, however, usually did not indicate particularistic
+tendencies.
+
+Individual freedom did not show itself only in greater social mobility.
+The restrictions which, for instance, had made the craftsmen and
+artisans almost into serfs, were gradually lifted. From the early
+sixteenth century on, craftsmen were free and no more subject to forced
+labour services for the state. Most craftsmen in this epoch still had
+their shops in one lane or street and lived above their shops, as they
+had done in the earlier period. But from now on, they began to organize
+in guilds of an essentially religious character, as similar guilds in
+other parts of Asia at the same time also did. They provided welfare
+services for their members, made some attempts towards standardization
+of products and prices, imposed taxes upon their members, kept their
+streets clean and tried to regulate salaries. Apprentices were initiated
+in a kind of semi-religious ceremony, and often meetings took place in
+temples. No guild, however, connected people of the same craft living in
+different cities. Thus, they did not achieve political power.
+Furthermore, each trade had its own guild; in Peking in the nineteenth
+century there existed over 420 different guilds. Thus, guilds failed to
+achieve political influence even within individual cities.
+
+Probably at the same time, regional associations, the so-called
+"_hui-kuan_" originated. Such associations united people from one city
+or one area who lived in another city. People of different trades, but
+mainly businessmen, came together under elected chiefs and councillors.
+Sometimes, such regional associations could function as pressure groups,
+especially as they were usually financially stronger than the guilds.
+They often owned city property or farm land. Not all merchants, however,
+were so organized. Although merchants remained under humiliating
+restrictions as to the colour and material of their dress and the
+prohibition to ride a horse, they could more often circumvent such
+restrictions and in general had much more freedom in this epoch.
+
+Trade, including overseas trade, developed greatly from now on. Soon we
+find in the coastal ports a special office which handled custom and
+registration affairs, supplied interpreters for foreigners, received
+them officially and gave good-bye dinners when they left. Down to the
+thirteenth century, most of this overseas trade was still in the hands
+of foreigners, mainly Indians. Entrepreneurs hired ships, if they were
+not ship-owners, hired trained merchants who in turn hired sailors
+mainly from the South-East Asian countries, and sold their own
+merchandise as well as took goods on commission. Wealthy Chinese gentry
+families invested money in such foreign enterprises and in some cases
+even gave their daughters in marriage to foreigners in order to profit
+from this business.
+
+We also see an emergence of industry from the eleventh century on. We
+find men who were running almost monopolistic enterprises, such as
+preparing charcoal for iron production and producing iron and steel at
+the same time; some of these men had several factories, operating under
+hired and qualified managers with more than 500 labourers. We find
+beginnings of a labour legislation and the first strikes (A.D. 782 the
+first strike of merchants in the capital; 1601 first strike of textile
+workers).
+
+Some of these labourers were so-called "vagrants", farmers who had
+secretly left their land or their landlord's land for various reasons,
+and had shifted to other regions where they did not register and thus
+did not pay taxes. Entrepreneurs liked to hire them for industries
+outside the towns where supervision by the government was not so strong;
+naturally, these "vagrants" were completely at the mercy of their
+employers.
+
+Since _c._ 780 the economy can again be called a money economy; more and
+more taxes were imposed in form of money instead of in kind. This
+pressure forced farmers out of the land and into the cities in order to
+earn there the cash they needed for their tax payments. These men
+provided the labour force for industries, and this in turn led to the
+strong growth of the cities, especially in Central China where trade and
+industries developed most.
+
+Wealthy people not only invested in industrial enterprises, but also
+began to make heavy investments in agriculture in the vicinity of
+cities in order to increase production and thus income. We find men who
+drained lakes in order to create fields below the water level for easy
+irrigation; others made floating fields on lakes and avoided land tax
+payments; still others combined pig and fish breeding in one operation.
+
+The introduction of money economy and money taxes led to a need for more
+coinage. As metal was scarce and minting very expensive, iron coins were
+introduced, silver became more and more common as means of exchange, and
+paper money was issued. As the relative value of these moneys changed
+with supply and demand, speculation became a flourishing business which
+led to further enrichment of people in business. Even the government
+became more money-minded: costs of operations and even of wars were
+carefully calculated in order to achieve savings; financial specialists
+were appointed by the government, just as clans appointed such men for
+the efficient administration of their clan properties.
+
+Yet no real capitalism or industrialism developed until towards the end
+of this epoch, although at the end of the twelfth century almost all
+conditions for such a development seemed to be given.
+
+
+2 _Political situation in the tenth century_
+
+The Chinese call the period from 906 to 960 the "period of the Five
+Dynasties" (_Wu Tai_). This is not quite accurate. It is true that there
+were five dynasties in rapid succession in North China; but at the same
+time there were ten other dynasties in South China. The ten southern
+dynasties, however, are regarded as not legitimate. The south was much
+better off with its illegitimate dynasties than the north with the
+legitimate ones. The dynasties in the south (we may dispense with giving
+their names) were the realms of some of the military governors so often
+mentioned above. These governors had already become independent at the
+end of the T'ang epoch; they declared themselves kings or emperors and
+ruled particular provinces in the south, the chief of which covered the
+territory of the present provinces of Szechwan, Kwangtung and Chekiang.
+In these territories there was comparative peace and economic
+prosperity, since they were able to control their own affairs and were
+no longer dependent on a corrupt central government. They also made
+great cultural progress, and they did not lose their importance later
+when they were annexed in the period of the Sung dynasty.
+
+As an example of these states one may mention the small state of Ch'u in
+the present province of Hunan. Here, Ma Yin, a former carpenter (died
+931), had made himself a king. He controlled some of the main trade
+routes, set up a clean administration, bought up all merchandise which
+the merchants brought, but allowed them to export only local products,
+mainly tea, iron and lead. This regulation gave him a personal income of
+several millions every year, and in addition fostered the exploitation
+of the natural resources of this hitherto retarded area.
+
+
+3 _Monopolistic trade in South China. Printing and paper money in the
+north_
+
+The prosperity of the small states of South China was largely due to the
+growth of trade, especially the tea trade. The habit of drinking tea
+seems to have been an ancient Tibetan custom, which spread to
+south-eastern China in the third century A.D. Since then there had been
+two main centres of production, Szechwan and south-eastern China. Until
+the eleventh century Szechwan had remained the leading producer, and tea
+had been drunk in the Tibetan fashion, mixed with flour, salt, and
+ginger. It then began to be drunk without admixture. In the T'ang epoch
+tea drinking spread all over China, and there sprang up a class of
+wholesalers who bought the tea from the peasants, accumulated stocks,
+and distributed them. From 783 date the first attempts of the state to
+monopolize the tea trade and to make it a source of revenue; but it
+failed in an attempt to make the cultivation a state monopoly. A tea
+commissariat was accordingly set up to buy the tea from the producers
+and supply it to traders in possession of a state licence. There
+naturally developed then a pernicious collaboration between state
+officials and the wholesalers. The latter soon eliminated the small
+traders, so that they themselves secured all the profit; official
+support was secured by bribery. The state and the wholesalers alike were
+keenly interested in the prevention of tea smuggling, which was strictly
+prohibited.
+
+The position was much the same with regard to salt. We have here for the
+first time the association of officials with wholesalers or even with a
+monopoly trade. This was of the utmost importance in all later times.
+Monopoly progressed most rapidly in Szechwan, where there had always
+been a numerous commercial community. In the period of political
+fragmentation Szechwan, as the principal tea-producing region and at the
+same time an important producer of salt, was much better off than any
+other part of China. Salt in Szechwan was largely produced by,
+technically, very interesting salt wells which existed there since _c._
+the first century B.C. The importance of salt will be understood if we
+remember that a grown-up person in China uses an average of twelve
+pounds of salt per year. The salt tax was the top budget item around
+A.D. 900.
+
+South-eastern China was also the chief centre of porcelain production,
+although china clay is found also in North China. The use of porcelain
+spread more and more widely. The first translucent porcelain made its
+appearance, and porcelain became an important article of commerce both
+within the country and for export. Already the Muslim rulers of Baghdad
+around 800 used imported Chinese porcelain, and by the end of the
+fourteenth century porcelain was known in Eastern Africa. Exports to
+South-East Asia and Indonesia, and also to Japan gained more and more
+importance in later centuries. Manufacture of high quality porcelain
+calls for considerable amounts of capital investment and working
+capital; small manufacturers produce too many second-rate pieces; thus
+we have here the first beginnings of an industry that developed
+industrial towns such as Ching-tê, in which the majority of the
+population were workers and merchants, with some 10,000 families alone
+producing porcelain. Yet, for many centuries to come, the state
+controlled the production and even the design of porcelain and
+appropriated most of the production for use at court or as gifts.
+
+The third important new development to be mentioned was that of
+printing, which since _c_. 770 was known in the form of wood-block
+printing. The first reference to a printed book dated from 835, and the
+most important event in this field was the first printing of the
+Classics by the orders of Feng Tao (882-954) around 940. The first
+attempts to use movable type in China occurred around 1045, although
+this invention did not get general acceptance in China. It was more
+commonly used in Korea from the thirteenth century on and revolutionized
+Europe from 1538 on. It seems to me that from the middle of the
+twentieth century on, the West, too, shows a tendency to come back to
+the printing of whole pages, but replacing the wood blocks by
+photographic plates or other means. In the Far East, just as in Europe,
+the invention of printing had far-reaching consequences. Books, which
+until then had been very dear, because they had had to be produced by
+copyists, could now be produced cheaply and in quantity. It became
+possible for a scholar to accumulate a library of his own and to work in
+a wide field, where earlier he had been confined to a few books or even
+a single text. The results were the spread of education, beginning with
+reading and writing, among wider groups, and the broadening of
+education: a large number of texts were read and compared, and no longer
+only a few. Private libraries came into existence, so that the imperial
+libraries were no longer the only ones. Publishing soon grew in extent,
+and in private enterprise works were printed that were not so serious
+and politically important as the classic books of the past. Thus a new
+type of literature, the literature of entertainment, could come into
+existence. Not all these consequences showed themselves at once; some
+made their first appearance later, in the Sung period.
+
+A fourth important innovation, this time in North China, was the
+introduction of prototypes of paper money. The Chinese copper "cash" was
+difficult or expensive to transport, simply because of its weight. It
+thus presented great obstacles to trade. Occasionally a region with an
+adverse balance of trade would lose all its copper money, with the
+result of a local deflation. From time to time, iron money was
+introduced in such deficit areas; it had for the first time been used in
+Szechwan in the first century B.C., and was there extensively used in
+the tenth century when after the conquest of the local state all copper
+was taken to the east by the conquerors. So long as there was an orderly
+administration, the government could send it money, though at
+considerable cost; but if the administration was not functioning well,
+the deflation continued. For this reason some provinces prohibited the
+export of copper money from their territory at the end of the eighth
+century. As the provinces were in the hands of military governors, the
+central government could do next to nothing to prevent this. On the
+other hand, the prohibition automatically made an end of all external
+trade. The merchants accordingly began to prepare deposit certificates,
+and in this way to set up a sort of transfer system. Soon these deposit
+certificates entered into circulation as a sort of medium of payment at
+first again in Szechwan, and gradually this led to a banking system and
+the linking of wholesale trade with it. This made possible a much
+greater volume of trade. Towards the end of the T'ang period the
+government began to issue deposit certificates of its own: the merchant
+deposited his copper money with a government agency, receiving in
+exchange a certificate which he could put into circulation like money.
+Meanwhile the government could put out the deposited money at interest,
+or throw it into general circulation. The government's deposit
+certificates were now printed. They were the predecessors of the paper
+money used from the time of the Sung.
+
+
+4 _Political history of the Five Dynasties_
+
+The southern states were a factor not to be ignored in the calculations
+of the northern dynasties. Although the southern kingdoms were involved
+in a confusion of mutual hostilities, any one of them might come to the
+fore as the ally of Turks or other northern powers. The capital of the
+first of the five northern dynasties (once more a Liang dynasty, but not
+to be confused with the Liang dynasty of the south in the sixth century)
+was, moreover, quite close to the territories of the southern dynasties,
+close to the site of the present K'aifeng, in the fertile plain of
+eastern China with its good means of transport. Militarily the town
+could not be held, for its one and only defence was the Yellow River.
+The founder of this Later Liang dynasty, Chu Ch'üan-chung (906), was
+himself an eastern Chinese and, as will be remembered, a past supporter
+of the revolutionary Huang Ch'ao, but he had then gone over to the T'ang
+and had gained high military rank.
+
+His northern frontier remained still more insecure than the southern,
+for Chu Ch'üan-chung did not succeed in destroying the Turkish general
+Li K'o-yung; on the contrary, the latter continually widened the range
+of his power. Fortunately he, too, had an enemy at his back--the Kitan
+(or Khitan), whose ruler had made himself emperor in 916, and so staked
+a claim to reign over all China. The first Kitan emperor held a middle
+course between Chu and Li, and so was able to establish and expand his
+empire in peace. The striking power of his empire, which from 937 onward
+was officially called the Liao empire, grew steadily, because the old
+tribal league of the Kitan was transformed into a centrally commanded
+military organization.
+
+To these dangers from abroad threatening the Later Liang state internal
+troubles were added. Chu Ch'üan-chung's dynasty was one of the three
+Chinese dynasties that have ever come to power through a popular rising.
+He himself was of peasant origin, and so were a large part of his
+subordinates and helpers. Many of them had originally been independent
+peasant leaders; others had been under Huang Ch'ao. All of them were
+opposed to the gentry, and the great slaughter of the gentry of the
+capital, shortly before the beginning of Chu's rule, had been welcomed
+by Chu and his followers. The gentry therefore would not co-operate with
+Chu and preferred to join the Turk Li K'o-yung. But Chu could not
+confidently rely on his old comrades. They were jealous of his success
+in gaining the place they all coveted, and were ready to join in any
+independent enterprise as opportunity offered. All of them, moreover, as
+soon as they were given any administrative post, busied themselves with
+the acquisition of money and wealth as quickly as possible. These abuses
+not only ate into the revenues of the state but actually produced a
+common front between the peasantry and the remnants of the gentry
+against the upstarts.
+
+In 917, after Li K'o-yung's death, the Sha-t'o Turks beat off an attack
+from the Kitan, and so were safe for a time from the northern menace.
+They then marched against the Liang state, where a crisis had been
+produced in 912 after the murder of Chu Ch'üan-chung by one of his sons.
+The Liang generals saw no reason why they should fight for the dynasty,
+and all of them went over to the enemy. Thus the "Later T'ang dynasty"
+(923-936) came into power in North China, under the son of Li K'o-yung.
+
+The dominant element at this time was quite clearly the Chinese gentry,
+especially in western and central China. The Sha-t'o themselves must
+have been extraordinarily few in number, probably little more than
+100,000 men. Most of them, moreover, were politically passive, being
+simple soldiers. Only the ruling family and its following played any
+active part, together with a few families related to it by marriage. The
+whole state was regarded by the Sha-t'o rulers as a sort of family
+enterprise, members of the family being placed in the most important
+positions. As there were not enough of them, they adopted into the
+family large numbers of aliens of all nationalities. Military posts were
+given to faithful members of Li K'o-yung's or his successor's bodyguard,
+and also to domestic servants and other clients of the family. Thus,
+while in the Later Liang state elements from the peasantry had risen in
+the world, some of these neo-gentry reaching the top of the social
+pyramid in the centuries that followed, in the Sha-t'o state some of its
+warriors, drawn from the most various peoples, entered the gentry class
+through their personal relations with the ruler. But in spite of all
+this the bulk of the officials came once more from the Chinese. These
+educated Chinese not only succeeded in winning over the rulers
+themselves to the Chinese cultural ideal, but persuaded them to adopt
+laws that substantially restricted the privileges of the Sha-t'o and
+brought advantages only to the Chinese gentry. Consequently all the
+Chinese historians are enthusiastic about the "Later T'ang", and
+especially about the emperor Ming Ti, who reigned from 927 onward, after
+the assassination of his predecessor. They also abused the Liang because
+they were against the gentry.
+
+In 936 the Later T'ang dynasty gave place to the Later Chin dynasty
+(936-946), but this involved no change in the structure of the empire.
+The change of dynasty meant no more than that instead of the son
+following the father the son-in-law had ascended the throne. It was of
+more importance that the son-in-law, the Sha-t'o Turk Shih Ching-t'ang,
+succeeded in doing this by allying himself with the Kitan and ceding to
+them some of the northern provinces. The youthful successor, however, of
+the first ruler of this dynasty was soon made to realize that the Kitan
+regarded the founding of his dynasty as no more than a transition stage
+on the way to their annexation of the whole of North China. The old
+Sha-t'o nobles, who had not been sinified in the slightest, suggested a
+preventive war; the actual court group, strongly sinified, hesitated,
+but ultimately were unable to avoid war. The war was very quickly
+decided by several governors in eastern China going over to the Kitan,
+who had promised them the imperial title. In the course of 946-7 the
+Kitan occupied the capital and almost the whole of the country. In 947
+the Kitan ruler proclaimed himself emperor of the Kitan and the Chinese.
+
+[Illustration: Map 6: The State of the later Tang dynasty]
+
+The Chinese gentry seem to have accepted this situation because a Kitan
+emperor was just as acceptable to them as a Sha-t'o emperor; but the
+Sha-t'o were not prepared to submit to the Kitan régime, because under
+it they would have lost their position of privilege. At the head of this
+opposition group stood the Sha-t'o general Liu Chih-yüan, who founded
+the "Later Han dynasty" (947-950). He was able to hold out against the
+Kitan only because in 947 the Kitan emperor died and his son had to
+leave China and retreat to the north; fighting had broken out between
+the empress dowager, who had some Chinese support, and the young heir to
+the throne. The new Turkish dynasty, however, was unable to withstand
+the internal Chinese resistance. Its founder died in 948, and his son,
+owing to his youth, was entirely in the hands of a court clique. In his
+effort to free himself from the tutelage of this group he made a
+miscalculation, for the men on whom he thought he could depend were
+largely supporters of the clique. So he lost his throne and his life,
+and a Chinese general, Kuo Wei, took his place, founding the "Later Chou
+dynasty" (951-959).
+
+A feature of importance was that in the years of the short-lived "Later
+Han dynasty" a tendency showed itself among the Chinese military leaders
+to work with the states in the south. The increase in the political
+influence of the south was due to its economic advance while the north
+was reduced to economic chaos by the continual heavy fighting, and by
+the complete irresponsibility of the Sha-t'o ruler in financial matters:
+several times in this period the whole of the money in the state
+treasury was handed out to soldiers to prevent them from going over to
+some enemy or other. On the other hand, there was a tendency in the
+south for the many neighbouring states to amalgamate, and as this
+process took place close to the frontier of North China the northern
+states could not passively look on. During the "Later Han" period there
+were wars and risings, which continued in the time of the "Later Chou".
+
+On the whole, the few years of the rule of the second emperor of the
+"Later Chou" (954-958) form a bright spot in those dismal fifty-five
+years. Sociologically regarded, that dynasty formed merely a transition
+stage on the way to the Sung dynasty that now followed: the Chinese
+gentry ruled under the leadership of an upstart who had risen from the
+ranks, and they ruled in accordance with the old principles of gentry
+rule. The Sha-t'o, who had formed the three preceding dynasties, had
+been so reduced that they were now a tiny minority and no longer
+counted. This minority had only been able to maintain its position
+through the special social conditions created by the "Later Liang"
+dynasty: the Liang, who had come from the lower classes of the
+population, had driven the gentry into the arms of the Sha-t'o Turks. As
+soon as the upstarts, in so far as they had not fallen again or been
+exterminated, had more or less assimilated themselves to the old gentry,
+and on the other hand the leaders of the Sha-t'o had become numerically
+too weak, there was a possibility of resuming the old form of rule.
+
+There had been certain changes in this period. The north-west of China,
+the region of the old capital Ch'ang-an, had been so ruined by the
+fighting that had gone on mainly there and farther north, that it was
+eliminated as a centre of power for a hundred years to come; it had been
+largely depopulated. The north was under the rule of the Kitan: its
+trade, which in the past had been with the Huang-ho basin, was now
+perforce diverted to Peking, which soon became the main centre of the
+power of the Kitan. The south, particularly the lower Yangtze region and
+the province of Szechwan, had made economic progress, at least in
+comparison with the north; consequently it had gained in political
+importance.
+
+One other event of this time has to be mentioned: the great persecution
+of Buddhism in 955, but not only because 30,336 temples and monasteries
+were secularized and only some 2,700 with 61,200 monks were left.
+Although the immediate reason for this action seems to have been that
+too many men entered the monasteries in order to avoid being taken as
+soldiers, the effect of the law of 955 was that from now on the
+Buddhists were put under regulations which clarified once and for ever
+their position within the framework of a society which had as its aim to
+define clearly the status of each individual within each social class.
+Private persons were no more allowed to erect temples and monasteries.
+The number of temples per district was legally fixed. A person could
+become monk only if the head of the family gave its permission. He had
+to be over fifteen years of age and had to know by heart at least one
+hundred pages of texts. The state took over the control of the
+ordinations which could be performed only after a successful
+examination. Each year a list of all monks had to be submitted to the
+government in two copies. Monks had to carry six identification cards
+with them, one of which was the ordination diploma for which a fee had
+to be paid to the government (already since 755). The diploma was, in
+the eleventh century, issued by the Bureau of Sacrifices, but the money
+was collected by the Ministry of Agriculture. It can be regarded as a
+payment _in lieu_ of land tax. The price was in the eleventh century 130
+strings, which represented the value of a small farm or the value of
+some 17,000 litres of grain. The price of the diploma went up to 220
+strings in 1101, and the then government sold 30,000 diplomas per year
+in order to get still more cash. But as diplomas could be traded, a
+black market developed, on which they were sold for as little as twenty
+strings.
+
+
+
+(B) Period of Moderate Absolutism
+
+
+(1) The Northern Sung dynasty
+
+1 _Southward expansion_
+
+The founder of the Sung dynasty, Chao K'uang-yin, came of a Chinese
+military family living to the south of Peking. He advanced from general
+to emperor, and so differed in no way from the emperors who had preceded
+him. But his dynasty did not disappear as quickly as the others; for
+this there were several reasons. To begin with, there was the simple
+fact that he remained alive longer than the other founders of dynasties,
+and so was able to place his rule on a firmer foundation. But in
+addition to this he followed a new course, which in certain ways
+smoothed matters for him and for his successors, in foreign policy.
+
+This Sung dynasty, as Chao K'uang-yin named it, no longer turned against
+the northern peoples, particularly the Kitan, but against the south.
+This was not exactly an heroic policy: the north of China remained in
+the hands of the Kitan. There were frequent clashes, but no real effort
+was made to destroy the Kitan, whose dynasty was now called "Liao". The
+second emperor of the Sung was actually heavily defeated several times
+by the Kitan. But they, for their part, made no attempt to conquer the
+whole of China, especially since the task would have become more and
+more burdensome the farther south the Sung expanded. And very soon there
+were other reasons why the Kitan should refrain from turning their whole
+strength against the Chinese.
+
+[Illustration: 10 Ladies of the Court: clay models which accompanied the
+dead person to the grave. T'ang period. _In the collection of the Museum
+für Völkerkunde, Berlin_.]
+
+[Illustration: 11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan. _Museum für Völkerkunde, Berlin, No. 1B_ 4524,
+_illustration B_ 408.]
+
+As we said, the Sung turned at once against the states in the south.
+Some of the many small southern states had made substantial economic and
+cultural advance, but militarily they were not strong. Chao
+K'uang-yin (named as emperor T'ai Tsu) attacked them in succession. Most
+of them fell very quickly and without any heavy fighting, especially
+since the Sung dealt mildly with the defeated rulers and their
+following. The gentry and the merchants in these small states could not
+but realize the advantages of a widened and well-ordered economic field,
+and they were therefore entirely in favour of the annexation of their
+country so soon as it proved to be tolerable. And the Sung empire could
+only endure and gain strength if it had control of the regions along the
+Yangtze and around Canton, with their great economic resources. The
+process of absorbing the small states in the south continued until 980.
+Before it was ended, the Sung tried to extend their influence in the
+south beyond the Chinese border, and secured a sort of protectorate over
+parts of Annam (973). This sphere of influence was politically
+insignificant and not directly of any economic importance; but it
+fulfilled for the Sung the same functions which colonial territories
+fulfilled for Europeans, serving as a field of operation for the
+commercial class, who imported raw materials from it--mainly, it is
+true, luxury articles such as special sorts of wood, perfumes, ivory,
+and so on--and exported Chinese manufactures. As the power of the empire
+grew, this zone of influence extended as far as Indonesia: the process
+had begun in the T'ang period. The trade with the south had not the
+deleterious effects of the trade with Central Asia. There was no sale of
+refined metals, and none of fabrics, as the natives produced their own
+textiles which sufficed for their needs. And the export of porcelain
+brought no economic injury to China, but the reverse.
+
+This Sung policy was entirely in the interest of the gentry and of the
+trading community which was now closely connected with them. Undoubtedly
+it strengthened China. The policy of nonintervention in the north was
+endurable even when peace with the Kitan had to be bought by the payment
+of an annual tribute. From 1004 onwards, 100,000 ounces of silver and
+200,000 bales of silk were paid annually to the Kitan, amounting in
+value to about 270,000 strings of cash, each of 1,000 coins. The state
+budget amounted to some 20,000,000 strings of cash. In 1038 the payments
+amounted to 500,000 strings, but the budget was by then much larger. One
+is liable to get a false impression when reading of these big payments
+if one does not take into account what percentage they formed of the
+total revenues of the state. The tribute to the Kitan amounted to less
+than 2 per cent of the revenue, while the expenditure on the army
+accounted for 25 per cent of the budget. It cost much less to pay
+tribute than to maintain large armies and go to war. Financial
+considerations played a great part during the Sung epoch. The taxation
+revenue of the empire rose rapidly after the pacification of the south;
+soon after the beginning of the dynasty the state budget was double that
+of the T'ang. If the state expenditure in the eleventh century had not
+continually grown through the increase in military expenditure--in spite
+of everything!--there would have come a period of great prosperity in
+the empire.
+
+
+2 _Administration and army. Inflation_
+
+The Sung emperor, like the rulers of the transition period, had gained
+the throne by his personal abilities as military leader; in fact, he had
+been made emperor by his soldiers as had happened to so many emperors in
+later Imperial Rome. For the next 300 years we observe a change in the
+position of the emperor. On the one hand, if he was active and
+intelligent enough, he exercised much more personal influence than the
+rulers of the Middle Ages. On the other hand, at the same time, the
+emperors were much closer to their ministers as before. We hear of
+ministers who patted the ruler on the shoulders when they retired from
+an audience; another one fell asleep on the emperor's knee and was not
+punished for this familiarity. The emperor was called "_kuan-chia_"
+(Administrator) and even called himself so. And in the early twelfth
+century an emperor stated "I do not regard the empire as my personal
+property; my job is to guide the people". Financially-minded as the Sung
+dynasty was, the cost of the operation of the palace was calculated, so
+that the emperor had a budget: in 1068 the salaries of all officials in
+the capital amounted to 40,000 strings of money per month, the armies
+100,000, and the emperor's ordinary monthly budget was 70,000 strings.
+For festivals, imperial birthdays, weddings and burials extra allowances
+were made. Thus, the Sung rulers may be called "moderate absolutists"
+and not despots.
+
+One of the first acts of the new Sung emperor, in 963, was a fundamental
+reorganization of the administration of the country. The old system of a
+civil administration and a military administration independent of it was
+brought to an end and the whole administration of the country placed in
+the hands of civil officials. The gentry welcomed this measure and gave
+it full support, because it enabled the influence of the gentry to grow
+and removed the fear of competition from the military, some of whom did
+not belong by birth to the gentry. The generals by whose aid the empire
+had been created were put on pension, or transferred to civil
+employment, as quickly as possible. The army was demobilized, and this
+measure was bound up with the settlement of peasants in the regions
+which war had depopulated, or on new land. Soon after this the revenue
+noticeably increased. Above all, the army was placed directly under the
+central administration, and the system of military governors was thus
+brought to an end. The soldiers became mercenaries of the state, whereas
+in the past there had been conscription. In 975 the army had numbered
+only 378,000, and its cost had not been insupportable. Although the
+numbers increased greatly, reaching 912,000 in 1017 and 1,259,000 in
+1045, this implied no increase in military strength; for men who had
+once been soldiers remained with the army even when they were too old
+for service. Moreover, the soldiers grew more and more exacting; when
+detachments were transferred to another region, for instance, the
+soldiers would not carry their baggage; an army of porters had to be
+assembled. The soldiers also refused to go to regions remote from their
+homes until they were given extra pay. Such allowances gradually became
+customary, and so the military expenditure grew by leaps and bounds
+without any corresponding increase in the striking power of the army.
+
+The government was unable to meet the whole cost of the army out of
+taxation revenue. The attempt was made to cover the expenditure by
+coining fresh money. In connection with the increase in commercial
+capital described above, and the consequent beginning of an industry,
+China's metal production had greatly increased. In 1050 thirteen times
+as much silver, eight times as much copper, and fourteen times as much
+iron was produced as in 800. Thus the circulation of the copper currency
+was increased. The cost of minting, however, amounted in China to about
+75 per cent and often over 100 per cent of the value of the money
+coined. In addition to this, the metal was produced in the south, while
+the capital was in the north. The coin had therefore to be carried a
+long distance to reach the capital and to be sent on to the soldiers in
+the north.
+
+To meet the increasing expenditure, an unexampled quantity of new money
+was put into circulation. The state budget increased from 22,200,000 in
+A.D. 1000 to 150,800,000 in 1021. The Kitan state coined a great deal of
+silver, and some of the tribute was paid to it in silver. The greatly
+increased production of silver led to its being put into circulation in
+China itself. And this provided a new field of speculation, through the
+variations in the rates for silver and for copper. Speculation was also
+possible with the deposit certificates, which were issued in quantities
+by the state from the beginning of the eleventh century, and to which
+the first true paper money was soon added. The paper money and the
+certificates were redeemable at a definite date, but at a reduction of
+at least 3 per cent of their value; this, too, yielded a certain revenue
+to the state.
+
+The inflation that resulted from all these measures brought profit to
+the big merchants in spite of the fact that they had to supply directly
+or indirectly all non-agricultural taxes (in 1160 some 40,000,000
+strings annually), especially the salt tax (50 per cent), wine tax (36
+per cent), tea tax (7 per cent) and customs (7 per cent). Although the
+official economic thinking remained Confucian, i.e. anti-business and
+pro-agrarian, we find in this time insight in price laws, for instance,
+that peace times and/or decrease of population induce deflation. The
+government had always attempted to manipulate the prices by
+interference. Already in much earlier times, again and again, attempts
+had been made to lower the prices by the so-called "ever-normal
+granaries" of the government which threw grain on the market when prices
+were too high and bought grain when prices were low. But now, in
+addition to such measures, we also find others which exhibit a deeper
+insight: in a period of starvation, the scholar and official Fan
+Chung-yen instead of officially reducing grain prices, raised the prices
+in his district considerably. Although the population got angry,
+merchants started to import large amounts of grain; as soon as this
+happened, Fan (himself a big landowner) reduced the price again. Similar
+results were achieved by others by just stimulating merchants to import
+grain into deficit areas.
+
+With the social structure of medieval Europe, similar financial and
+fiscal developments which gave new chances to merchants, eventually led
+to industrial capitalism and industrial society. In China, however, the
+gentry in their capacity of officials hindered the growth of independent
+trade, and permitted its existence only in association with themselves.
+As they also represented landed property, it was in land that the
+newly-formed capital was invested. Thus we see in the Sung period, and
+especially in the eleventh century, the greatest accumulation of estates
+that there had ever been up to then in China.
+
+Many of these estates came into origin as gifts of the emperor to
+individuals or to temples, others were created on hillsides on land
+which belonged to the villages. From this time on, the rest of the
+village commons in China proper disappeared. Villagers could no longer
+use the top-soil of the hills as fertilizer, or the trees as firewood
+and building material. In addition, the hillside estates diverted the
+water of springs and creeks, thus damaging severely the irrigation works
+of the villagers in the plains. The estates _(chuang)_ were controlled
+by appointed managers who often became hereditary managers. The tenants
+on the estates were quite often non-registered migrants, of whom we
+spoke previously as "vagrants", and as such they depended upon the
+managers who could always denounce them to the authorities which would
+lead to punishment because nobody was allowed to leave his home without
+officially changing his registration. Many estates operated mills and
+even textile factories with non-registered weavers. Others seem to have
+specialized in sheep breeding. Present-day village names ending with
+_-chuang_ indicate such former estates. A new development in this period
+were the "clan estates" _(i-chuang)_, created by Fan Chung-yen
+(989-1052) in 1048. The income of these clan estates were used for the
+benefit of the whole clan, were controlled by clan-appointed managers
+and had tax-free status, guaranteed by the government which regarded
+them as welfare institutions. Technically, they might better be called
+corporations because they were similar in structure to some of our
+industrial corporations. Under the Chinese economic system, large-scale
+landowning always proved socially and politically injurious. Up to very
+recent times the peasant who rented his land paid 40-50 per cent of the
+produce to the landowner, who was responsible for payment of the normal
+land tax. The landlord, however, had always found means of evading
+payment. As each district had to yield a definite amount of taxation,
+the more the big landowners succeeded in evading payment the more had to
+be paid by the independent small farmers. These independent peasants
+could then either "give" their land to the big landowner and pay rent to
+him, thus escaping from the attentions of the tax-officer, or simply
+leave the district and secretly enter another one where they were not
+registered. In either case the government lost taxes.
+
+Large-scale landowning proved especially injurious in the Sung period,
+for two reasons. To begin with, the official salaries, which had always
+been small in China, were now totally inadequate, and so the officials
+were given a fixed quantity of land, the yield of which was regarded as
+an addition to salary. This land was free from part of the taxes. Before
+long the officials had secured the liberation of the whole of their land
+from the chief taxes. In the second place, the taxation system was
+simplified by making the amount of tax proportional to the amount of
+land owned. The lowest bracket, however, in this new system of taxation
+comprised more land than a poor peasant would actually own, and this was
+a heavy blow to the small peasant-owners, who in the past had paid a
+proportion of their produce. Most of them had so little land that they
+could barely live on its yield. Their liability to taxation was at all
+times a very heavy burden to them while the big landowners got off
+lightly. Thus this measure, though administratively a saving of
+expense, proved unsocial.
+
+All this made itself felt especially in the south with its great estates
+of tax-evading landowners. Here the remaining small peasant-owners had
+to pay the new taxes or to become tenants of the landowners and lose
+their property. The north was still suffering from the war-devastation
+of the tenth century. As the landlords were always the first sufferers
+from popular uprisings as well as from war, they had disappeared,
+leaving their former tenants as free peasants. From this period on, we
+have enough data to observe a social "law": as the capital was the
+largest consumer, especially of high-priced products such as vegetables
+which could not be transported over long distances, the gentry always
+tried to control the land around the capital. Here, we find the highest
+concentration of landlords and tenants. Production in this circle
+shifted from rice and wheat to mulberry trees for silk, and vegetables
+grown under the trees. These urban demands resulted in the growth of an
+"industrial" quarter on the outskirts of the capital, in which
+especially silk for the upper classes was produced. The next circle also
+contained many landlords, but production was more in staple foods such
+as wheat and rice which could be transported. Exploitation in this
+second circle was not much less than in the first circle, because of
+less close supervision by the authorities. In the third circle we find
+independent subsistence farmers. Some provincial capitals, especially in
+Szechwan, exhibited a similar pattern of circles. With the shift of the
+capital, a complete reorganization appeared: landlords and officials
+gave up their properties, cultivation changed, and a new system of
+circles began to form around the new capital. We find, therefore, the
+grotesque result that the thinly populated province of Shensi in the
+north-west yielded about a quarter of the total revenues of the state:
+it had no large landowners, no wealthy gentry, with their evasion of
+taxation, only a mass of newly-settled small peasants' holdings. For
+this reason the government was particularly interested in that province,
+and closely watched the political changes in its neighbourhood. In 990 a
+man belonging to a sinified Toba family, living on the border of Shensi,
+had made himself king with the support of remnants of Toba tribes. In
+1034 came severe fighting, and in 1038 the king proclaimed himself
+emperor, in the Hsia dynasty, and threatened the whole of north-western
+China. Tribute was now also paid to this state (250,000 strings), but
+the fight against it continued, to save that important province.
+
+These were the main events in internal and external affairs during the
+Sung period until 1068. It will be seen that foreign affairs were of
+much less importance than developments in the country.
+
+
+3 _Reforms and Welfare schemes_
+
+The situation just described was bound to produce a reaction. In spite
+of the inflationary measures the revenue fell, partly in consequence of
+the tax evasions of the great landowners. It fell from 150,000,000 in
+1021 to 116,000,000 in 1065. Expenditure did not fall, and there was a
+constant succession of budget deficits. The young emperor Shen Tsung
+(1068-1085) became convinced that the policy followed by the ruling
+clique of officials and gentry was bad, and he gave his adhesion to a
+small group led by Wang An-shih (1021-1086). The ruling gentry clique
+represented especially the interests of the large tea producers and
+merchants in Szechwan and Kiangsi. It advocated a policy
+of _laisser-faire_ in trade: it held that everything would adjust itself.
+Wang An-shih himself came from Kiangsi and was therefore supported at
+first by the government clique, within which the Kiangsi group was
+trying to gain predominance over the Szechwan group. But Wang An-shih
+came from a poor family, as did his supporters, for whom he quickly
+secured posts. They represented the interests of the small landholders
+and the small dealers. This group succeeded in gaining power, and in
+carrying out a number of reforms, all directed against the monopolist
+merchants. Credits for small peasants were introduced, and officials
+were given bigger salaries, in order to make them independent and to
+recruit officials who were not big landowners. The army was greatly
+reduced, and in addition to the paid soldiery a national militia was
+created. Special attention was paid to the province of Shensi, whose
+conditions were taken more or less as a model.
+
+It seems that one consequence of Wang's reforms was a strong fall in the
+prices, i.e. a deflation; therefore, as soon as the first decrees were
+issued, the large plantation owners and the merchants who were allied to
+them, offered furious opposition. A group of officials and landlords who
+still had large properties in the vicinity of Loyang--at that time a
+quiet cultural centre--also joined them. Even some of Wang An-shih's
+former adherents came out against him. After a few years the emperor was
+no longer able to retain Wang An-shih and had to abandon the new policy.
+How really economic interests were here at issue may be seen from the
+fact that for many of the new decrees which were not directly concerned
+with economic affairs, such, for instance, as the reform of the
+examination system, Wang An-shih was strongly attacked though his
+opponents had themselves advocated them in the past and had no practical
+objection to offer to them. The contest, however, between the two groups
+was not over. The monopolistic landowners and their merchants had the
+upper hand from 1086 to 1102, but then the advocates of the policy
+represented by Wang again came into power for a short time. They had but
+little success to show, as they did not remain in power long enough and,
+owing to the strong opposition, they were never able to make their
+control really effective.
+
+Basically, both groups were against allowing the developing middle class
+and especially the merchants to gain too much freedom, and whatever
+freedom they in fact gained, came through extra-legal or illegal
+practices. A proverb of the time said "People hate their ruler as
+animals hate the net (of the hunter)". The basic laws of medieval times
+which had attempted to create stable social classes remained: down to
+the nineteenth century there were slaves, different classes of serfs or
+"commoners", and free burghers. Craftsmen remained under work
+obligation. Merchants were second-class people. Each class had to wear
+dresses of special colour and material, so that the social status of a
+person, even if he was not an official and thus recognizable by his
+insignia, was immediately clear when one saw him. The houses of
+different classes differed from one another by the type of tiles, the
+decorations of the doors and gates; the size of the main reception room
+of the house was prescribed and was kept small for all non-officials;
+and even size and form of the tombs was prescribed in detail for each
+class. Once a person had a certain privilege, he and his descendants
+even if they had lost their position in the bureaucracy, retained these
+privileges over generations. All burghers were admitted to the
+examinations and, thus, there was a certain social mobility allowed
+within the leading class of the society, and a new "small gentry"
+developed by this system.
+
+Yet, the wars of the transition period had created a feeling of
+insecurity within the gentry. The eleventh and twelfth centuries were
+periods of extensive social legislation in order to give the lower
+classes some degree of security and thus prevent them from attempting to
+upset the status quo. In addition to the "ever-normal granaries" of the
+state, "social granaries" were revived, into which all farmers of a
+village had to deliver grain for periods of need. In 1098 a bureau for
+housing and care was created which created homes for the old and
+destitute; 1102 a bureau for medical care sent state doctors to homes
+and hospitals as well as to private homes to care for poor patients;
+from 1104 a bureau of burials took charge of the costs of burials of
+poor persons. Doctors as craftsmen were under corvée obligation and
+could easily be ordered by the state. Often, however, Buddhist priests
+took charge of medical care, burial costs and hospitalization. The state
+gave them premiums if they did good work. The Ministry of Civil Affairs
+made the surveys of cases and costs, while the Ministry of Finances paid
+the costs. We hear of state orphanages in 1247, a free pharmacy in 1248,
+state hospitals were reorganized in 1143. In 1167 the government gave
+low-interest loans to poor persons and (from 1159 on) sold cheap grain
+from state granaries. Fire protection services in large cities were
+organized. Finally, from 1141 on, the government opened up to
+twenty-three geisha houses for the entertainment of soldiers who were
+far from home in the capital and had no possibility for other
+amusements. Public baths had existed already some centuries ago; now
+Buddhist temples opened public baths as social service.
+
+Social services for the officials were also extended. Already from the
+eighth century on, offices were closed every tenth day and during
+holidays, a total of almost eighty days per year. Even criminals got
+some leave and exilees had the right of a home leave once every three
+years. The pensions for retired officials after the age of seventy which
+amounted to 50 per cent of the salary from the eighth century on, were
+again raised, though widows did not receive benefits.
+
+
+4 _Cultural situation (philosophy, religion, literature, painting)_
+
+Culturally the eleventh century was the most active period China had so
+far experienced, apart from the fourth century B.C. As a consequence of
+the immensely increased number of educated people resulting from the
+invention of printing, circles of scholars and private schools set up by
+scholars were scattered all over the country. The various philosophical
+schools differed in their political attitude and in the choice of
+literary models with which they were politically in sympathy. Thus Wang
+An-shih and his followers preferred the rigid classic style of Han Yü
+(768-825) who lived in the T'ang period and had also been an opponent of
+the monopolistic tendencies of pre-capitalism. For the Wang An-shih
+group formed itself into a school with a philosophy of its own and with
+its own commentaries on the classics. As the representative of the small
+merchants and the small landholders, this school advocated policies of
+state control and specialized in the study and annotation of classical
+books which seemed to favour their ideas.
+
+But the Wang An-shih school was unable to hold its own against the
+school that stood for monopolist trade capitalism, the new philosophy
+described as Neo-Confucianism or the Sung school. Here Confucianism and
+Buddhism were for the first time united. In the last centuries,
+Buddhistic ideas had penetrated all of Chinese culture: the slaughtering
+of animals and the executions of criminals were allowed only on certain
+days, in accordance with Buddhist rules. Formerly, monks and nuns had to
+greet the emperor as all citizens had to do; now they were exempt from
+this rule. On the other hand, the first Sung emperor was willing to
+throw himself to the earth in front of the Buddha statues, but he was
+told he did not have to do it because he was the "Buddha of the present
+time" and thus equal to the God. Buddhist priests participated in the
+celebrations on the emperor's birthday, and emperors from time to time
+gave free meals to large crowds of monks. Buddhist thought entered the
+field of justice: in Sung time we hear complaints that judges did not
+apply the laws and showed laxity, because they hoped to gain religious
+merit by sparing the lives of criminals. We had seen how the main
+current of Buddhism had changed from a revolutionary to a reactionary
+doctrine. The new greater gentry of the eleventh century adopted a
+number of elements of this reactionary Buddhism and incorporated them in
+the Confucianist system. This brought into Confucianism a metaphysic
+which it had lacked in the past, greatly extending its influence on the
+people and at the same time taking the wind out of the sails of
+Buddhism. The greater gentry never again placed themselves on the side
+of the Buddhist Church as they had done in the T'ang period. When they
+got tired of Confucianism, they interested themselves in Taoism of the
+politically innocent, escapist, meditative Buddhism.
+
+Men like Chou Tun-i (1017-1073) and Chang Tsai (1020-1077) developed a
+cosmological theory which could measure up with Buddhistic cosmology and
+metaphysics. But perhaps more important was the attempt of the
+Neo-Confucianists to explain the problem of evil. Confucius and his
+followers had believed that every person could perfect himself by
+overcoming the evil in him. As the good persons should be the _élite_
+and rule the others, theoretically everybody who was a member of human
+society, could move up and become a leader. It was commonly assumed that
+human nature is good or indifferent, and that human feelings are evil
+and have to be tamed and educated. When in Han time with the
+establishment of the gentry society and its social classes, the idea
+that any person could move up to become a leader if he only perfected
+himself, appeared to be too unrealistic, the theory of different grades
+of men was formed which found its clearest formulation by Han Yü: some
+people have a good, others a neutral, and still others a bad nature;
+therefore, not everybody can become a leader. The Neo-Confucianists,
+especially Ch'eng Hao (1032-1085) and Ch'eng I (1033-1107), tried to
+find the reasons for this inequality. According to them, nature is
+neutral; but physical form originates with the combination of nature
+with Material Force (_ch'i_). This combination produces individuals in
+which there is a lack of balance or harmony. Man should try to transform
+physical form and recover original nature. The creative force by which
+such a transformation is possible is _jen_, love, the creative,
+life-giving quality of nature itself.
+
+It should be remarked that Neo-Confucianism accepts an inequality of
+men, as early Confucianism did; and that _jen_, love, in its practical
+application has to be channelled by _li_, the system of rules of
+behaviour. The _li_, however, always started from the idea of a
+stratified class society. Chu Hsi (1130-1200), the famous scholar and
+systematizer of Neo-Confucian thoughts, brought out rules of behaviour
+for those burghers who did not belong to the gentry and could not,
+therefore, be expected to perform all _li_; his "simplified _li_"
+exercized a great influence not only upon contemporary China, but also
+upon Korea and Annam and there strengthened a hitherto looser
+patriarchal, patrilinear family system.
+
+The Neo-Confucianists also compiled great analytical works of history
+and encyclopaedias whose authority continued for many centuries. They
+interpreted in these works all history in accordance with their outlook;
+they issued new commentaries on all the classics in order to spread
+interpretations that served their purposes. In the field of commentary
+this school of thought was given perfect expression by Chu Hsi, who also
+wrote one of the chief historical works. Chu Hsi's commentaries became
+standard works for centuries, until the beginning of the twentieth
+century. Yet, although Chu became the symbol of conservativism, he was
+quite interested in science, and in this field he had an open eye for
+changes.
+
+The Sung period is so important, because it is also the time of the
+greatest development of Chinese science and technology. Many new
+theories, but also many practical, new inventions were made. Medicine
+made substantial progress. About 1145 the first autopsy was made, on the
+body of a South Chinese captive. In the field of agriculture, new
+varieties of rice were developed, new techniques applied, new plants
+introduced.
+
+The Wang An-shih school of political philosophy had opponents also in
+the field of literary style, the so-called Shu Group (Shu means the
+present province of Szechwan), whose leaders were the famous Three Sus.
+The greatest of the three was Su Tung-p'o (1036-1101); the others were
+his father, Su Shih, and his brother, Su Che. It is characteristic of
+these Shu poets, and also of the Kiangsi school associated with them,
+that they made as much use as they could of the vernacular. It had not
+been usual to introduce the phrases of everyday life into poetry, but Su
+Tung-p'o made use of the most everyday expressions, without diminishing
+his artistic effectiveness by so doing; on the contrary, the result was
+to give his poems much more genuine feeling than those of other poets.
+These poets were in harmony with the writings of the T'ang period poet
+Po Chü-i (772-846) and were supported, like Neo-Confucianism, by
+representatives of trade capitalism. Politically, in their conservatism
+they were sharply opposed to the Wang An-shih group. Midway between the
+two stood the so-called Loyang-School, whose greatest leaders were the
+historian and poet Ssŭ-ma Kuang (1019-1086) and the philosopher-poet
+Shao Yung (1011-1077).
+
+In addition to its poems, the Sung literature was famous for the
+so-called _pi-chi_ or miscellaneous notes. These consist of short notes
+of the most various sort, notes on literature, art, politics,
+archaeology, all mixed together. The _pi-chi_ are a treasure-house for
+the history of the culture of the time; they contain many details, often
+of importance, about China's neighbouring peoples. They were intended to
+serve as suggestions for learned conversation when scholars came
+together; they aimed at showing how wide was a scholar's knowledge. To
+this group we must add the accounts of travel, of which some of great
+value dating from the Sung period are still extant; they contain
+information of the greatest importance about the early Mongols and also
+about Turkestan and South China.
+
+While the Sung period was one of perfection in all fields of art,
+painting undoubtedly gained its highest development in this time. We
+find now two main streams in painting: some painters preferred the
+decorative, pompous, but realistic approach, with great attention to the
+detail. Later theoreticians brought this school in connection with one
+school of meditative Buddhism, the so-called northern school. Men who
+belonged to this school of painting often were active court officials or
+painted for the court and for other representative purposes. One of the
+most famous among them, Li Lung-mien (ca. 1040-1106), for instance
+painted the different breeds of horses in the imperial stables. He was
+also famous for his Buddhistic figures. Another school, later called the
+southern school, regarded painting as an intimate, personal expression.
+They tried to paint inner realities and not outer forms. They, too, were
+educated, but they did not paint for anybody. They painted in their
+country houses when they felt in the mood for expression. Their
+paintings did not stress details, but tried to give the spirit of a
+landscape, for in this field they excelled most. Best known of them is
+Mi Fei (ca. 1051-1107), a painter as well as a calligrapher, art
+collector, and art critic. Typically, his paintings were not much liked
+by the emperor Hui Tsung (ruled 1101-1125) who was one of the greatest
+art collectors and whose catalogue of his collection became very famous.
+He created the Painting Academy, an institution which mainly gave
+official recognition to painters in form of titles which gave the
+painter access to and status at court. Ma Yüan (_c_. 1190-1224), member
+of a whole painter's family, and Hsia Kui (_c_. 1180-1230) continued the
+more "impressionistic" tradition. Already in Sung time, however, many
+painters could and did paint in different styles, "copying", i.e.
+painting in the way of T'ang painters, in order to express their
+changing emotions by changed styles, a fact which often makes the dating
+of Chinese paintings very difficult.
+
+Finally, art craft has left us famous porcelains of the Sung period. The
+most characteristic production of that time is the green porcelain known
+as "Celadon". It consists usually of a rather solid paste, less like
+porcelain than stoneware, covered with a green glaze; decoration is
+incised, not painted, under the glaze. In the Sung period, however, came
+the first pure white porcelain with incised ornamentation under the
+glaze, and also with painting on the glaze. Not until near the end of
+the Sung period did the blue and white porcelain begin (blue painting on
+a white ground). The cobalt needed for this came from Asia Minor. In
+exchange for the cobalt, Chinese porcelain went to Asia Minor. This
+trade did not, however, grow greatly until the Mongol epoch; later
+really substantial orders were placed in China, the Chinese executing
+the patterns wanted in the West.
+
+
+5 _Military collapse_
+
+In foreign affairs the whole eleventh century was a period of diplomatic
+manœuvring, with every possible effort to avoid war. There was
+long-continued fighting with the Kitan, and at times also with the
+Turco-Tibetan Hsia, but diplomacy carried the day: tribute was paid to
+both enemies, and the effort was made to stir up the Kitan against the
+Hsia and vice versa; the other parties also intrigued in like fashion.
+In 1110 the situation seemed to improve for the Sung in this game, as a
+new enemy appeared in the rear of the Liao (Kitan), the Tungusic Juchên
+(Jurchen), who in the past had been more or less subject to the Kitan.
+In 1114 the Juchên made themselves independent and became a political
+factor. The Kitan were crippled, and it became an easy matter to attack
+them. But this pleasant situation did not last long. The Juchên
+conquered Peking, and in 1125 the Kitan empire was destroyed; but in the
+same year the Juchên marched against the Sung. In 1126 they captured
+the Sung capital; the emperor and his art-loving father, who had retired
+a little earlier, were taken prisoner, and the Northern Sung dynasty was
+at an end.
+
+The collapse came so quickly because the whole edifice of security
+between the Kitan and the Sung was based on a policy of balance and of
+diplomacy. Neither state was armed in any way, and so both collapsed at
+the first assault from a military power.
+
+
+(2) The Liao (Kitan) dynasty in the north (937-1125)
+
+1 _Social structure. Claim to the Chinese imperial throne_
+
+The Kitan, a league of tribes under the leadership of an apparently
+Mongol tribe, had grown steadily stronger in north-eastern Mongolia
+during the T'ang epoch. They had gained the allegiance of many tribes in
+the west and also in Korea and Manchuria, and in the end, about A.D.
+900, had become the dominant power in the north. The process of growth
+of this nomad power was the same as that of other nomad states, such as
+the Toba state, and therefore need not be described again in any detail
+here. When the T'ang dynasty was deposed, the Kitan were among the
+claimants to the Chinese throne, feeling fully justified in their claim
+as the strongest power in the Far East. Owing to the strength of the
+Sha-t'o Turks, who themselves claimed leadership in China, the expansion
+of the Kitan empire slowed down. In the many battles the Kitan suffered
+several setbacks. They also had enemies in the rear, a state named
+Po-hai, ruled by Tunguses, in northern Korea, and the new Korean state
+of Kao-li, which liberated itself from Chinese overlordship in 919.
+
+In 927 the Kitan finally destroyed Po-hai. This brought many Tungus
+tribes, including the Jurchen (Juchên), under Kitan dominance. Then, in
+936, the Kitan gained the allegiance of the Turkish general Shih
+Ching-t'ang, and he was set on the Chinese throne as a feudatory of the
+Kitan. It was hoped now to secure dominance over China, and accordingly
+the Mongol name of the dynasty was altered to "Liao dynasty" in 937,
+indicating the claim to the Chinese throne. Considerable regions of
+North China came at once under the direct rule of the Liao. As a whole,
+however, the plan failed: the feudatory Shih Ching-t'ang tried to make
+himself independent; Chinese fought the Liao; and the Chinese sceptre
+soon came back into the hands of a Sha-t'o dynasty (947). This ended the
+plans of the Liao to conquer the whole of China.
+
+For this there were several reasons. A nomad people was again ruling
+the agrarian regions of North China. This time the representatives of
+the ruling class remained military commanders, and at the same time
+retained their herds of horses. As early as 1100 they had well over
+10,000 herds, each of more than a thousand animals. The army commanders
+had been awarded large regions which they themselves had conquered. They
+collected the taxes in these regions, and passed on to the state only
+the yield of the wine tax. On the other hand, in order to feed the
+armies, in which there were now many Chinese soldiers, the frontier
+regions were settled, the soldiers working as peasants in times of
+peace, and peasants being required to contribute to the support of the
+army. Both processes increased the interest of the Kitan ruling class in
+the maintenance of peace. That class was growing rich, and preferred
+living on the income from its properties or settlements to going to war,
+which had become a more and more serious matter after the founding of
+the great Sung empire, and was bound to be less remunerative. The herds
+of horses were a further excellent source of income, for they could be
+sold to the Sung, who had no horses. Then, from 1004 onward, came the
+tribute payments from China, strengthening the interest in the
+maintenance of peace. Thus great wealth accumulated in Peking, the
+capital of the Liao; in this wealth the whole Kitan ruling class
+participated, but the tribes in the north, owing to their remoteness,
+had no share in it. In 988 the Chinese began negotiations, as a move in
+their diplomacy, with the ruler of the later realm of the Hsia; in 990
+the Kitan also negotiated with him, and they soon became a third partner
+in the diplomatic game. Delegations were continually going from one to
+another of the three realms, and they were joined by trade missions.
+Agreement was soon reached on frontier questions, on armament, on
+questions of demobilization, on the demilitarization of particular
+regions, and so on, for the last thing anyone wanted was to fight.
+
+Then came the rising of the tribes of the north. They had remained
+military tribes; of all the wealth nothing reached them, and they were
+given no military employment, so that they had no hope of improving
+their position. The leadership was assumed by the tribe of the Juchên
+(1114). In a campaign of unprecedented rapidity they captured Peking,
+and the Liao dynasty was ended (1125), a year earlier, as we know, than
+the end of the Sung.
+
+
+2 _The State of the Kara-Kitai_
+
+A small troop of Liao, under the command of a member of the ruling
+family, fled into the west. They were pursued without cessation, but
+they succeeded in fighting their way through. After a few years of
+nomad life in the mountains of northern Turkestan, they were able to
+gain the collaboration of a few more tribes, and with them they then
+invaded western Turkestan. There they founded the "Western Liao" state,
+or, as the western sources call it, the "Kara-Kitai" state, with its
+capital at Balasagun. This state must not be regarded as a purely Kitan
+state. The Kitan formed only a very thin stratum, and the real power was
+in the hands of autochthonous Turkish tribes, to whom the Kitan soon
+became entirely assimilated in culture. Thus the history of this state
+belongs to that of western Asia, especially as the relations of the
+Kara-Kitai with the Far East were entirely broken off. In 1211 the state
+was finally destroyed.
+
+
+(3) The Hsi-Hsia State in the north (1038-1227)
+
+1 _Continuation of Turkish traditions_
+
+After the end of the Toba state in North China in 550, some tribes of
+the Toba, including members of the ruling tribe with the tribal name
+Toba, withdrew to the borderland between Tibet and China, where they
+ruled over Tibetan and Tangut tribes. At the beginning of the T'ang
+dynasty this tribe of Toba joined the T'ang. The tribal leader received
+in return, as a distinction, the family name of the T'ang dynasty, Li.
+His dependence on China was, however, only nominal and soon came
+entirely to an end. In the tenth century the tribe gained in strength.
+It is typical of the long continuance of old tribal traditions that a
+leader of the tribe in the tenth century married a woman belonging to
+the family to which the khans of the Hsiung-nu and all Turkish ruling
+houses had belonged since 200 B.C. With the rise of the Kitan in the
+north and of the Tibetan state in the south, the tribe decided to seek
+the friendship of China. Its first mission, in 982, was well received.
+Presents were sent to the chieftain of the tribe, he was helped against
+his enemies, and he was given the status of a feudatory of the Sung; in
+988 the family name of the Sung, Chao, was conferred on him. Then the
+Kitan took a hand. They over-trumped the Sung by proclaiming the tribal
+chieftain king of Hsia (990). Now the small state became interesting. It
+was pampered by Liao and Sung in the effort to win it over or to keep
+its friendship. The state grew; in 1031 its ruler resumed the old family
+name of the Toba, thus proclaiming his intention to continue the Toba
+empire; in 1034 he definitely parted from the Sung, and in 1038 he
+proclaimed himself emperor in the Hsia dynasty, or, as the Chinese
+generally called it, the "HsiHsia", which means the Western Hsia. This
+name, too, had associations with the old Hun tradition; it recalled
+the state of Ho-lien P'o-p'o in the early fifth century. The state soon
+covered the present province of Kansu, small parts of the adjoining
+Tibetan territory, and parts of the Ordos region. It attacked the
+province of Shensi, but the Chinese and the Liao attached the greatest
+importance to that territory. Thus that was the scene of most of the
+fighting.
+
+[Illustration: 12 Ancient tiled pagoda at Chengting (Hopei). _Photo H.
+Hammer-Morrisson._]
+
+[Illustration: 13 Horse-training. Painting by Li Lung-mien. Late Sung
+period. _Manchu Royal House Collection_.]
+
+The Hsia state had a ruling group of Toba, but these Toba had become
+entirely tibetanized. The language of the country was Tibetan; the
+customs were those of the Tanguts. A script was devised, in imitation of
+the Chinese script. Only in recent years has it begun to be studied.
+
+In 1125, when the Tungusic Juchên destroyed the Liao, the Hsia also lost
+large territories in the east of their country, especially the province
+of Shensi, which they had conquered; but they were still able to hold
+their own. Their political importance to China, however, vanished, since
+they were now divided from southern China and as partners were no longer
+of the same value to it. Not until the Mongols became a power did the
+Hsia recover some of their importance; but they were among the first
+victims of the Mongols: in 1209 they had to submit to them, and in 1227,
+the year of the death of Genghiz Khan, they were annihilated.
+
+
+(4) The empire of the Southern Sung dynasty (1127-1279)
+
+1 _Foundation_
+
+In the disaster of 1126, when the Juchên captured the Sung capital and
+destroyed the Sung empire, a brother of the captive emperor escaped. He
+made himself emperor in Nanking and founded the "Southern Sung" dynasty,
+whose capital was soon shifted to the present Hangchow. The foundation
+of the new dynasty was a relatively easy matter, and the new state was
+much more solid than the southern kingdoms of 800 years earlier, for the
+south had already been economically supreme, and the great families that
+had ruled the state were virtually all from the south. The loss of the
+north, i.e. the area north of the Yellow River and of parts of Kiangsu,
+was of no importance to this governing group and meant no loss of
+estates to it. Thus the transition from the Northern to the Southern
+Sung was not of fundamental importance. Consequently the Juchên had no
+chance of success when they arranged for Liu Yü, who came of a northern
+Chinese family of small peasants and had become an official, to be
+proclaimed emperor in the "Ch'i" dynasty in 1130. They hoped that this
+puppet might attract the southern Chinese, but seven years later they
+dropped him.
+
+
+2 _Internal situation_
+
+As the social structure of the Southern Sung empire had not been
+changed, the country was not affected by the dynastic development. Only
+the policy of diplomacy could not be pursued at once, as the Juchên were
+bellicose at first and would not negotiate. There were therefore several
+battles at the outset (in 1131 and 1134), in which the Chinese were
+actually the more successful, but not decisively. The Sung military
+group was faced as early as in 1131 with furious opposition from the
+greater gentry, led by Ch'in K'ui, one of the largest landowners of all.
+His estates were around Nanking, and so in the deployment region and the
+region from which most of the soldiers had to be drawn for the defensive
+struggle. Ch'in K'ui secured the assassination of the leader of the
+military party, General Yo Fei, in 1141, and was able to conclude peace
+with the Juchên. The Sung had to accept the status of vassals and to pay
+annual tribute to the Juchên. This was the situation that best pleased
+the greater gentry. They paid hardly any taxes (in many districts the
+greater gentry directly owned more than 30 per cent of the land, in
+addition to which they had indirect interests in the soil), and they
+were now free from the war peril that ate into their revenues. The
+tribute amounted only to 500,000 strings of cash. Popular literature,
+however, to this day represents Ch'in K'ui as a traitor and Yo Fei as a
+national hero.
+
+In 1165 it was agreed between the Sung and the Juchên to regard each
+other as states with equal rights. It is interesting to note here that
+in the treaties during the Han time with the Hsiung-nu, the two
+countries called one another brothers--with the Chinese ruler as the
+older and thus privileged brother; but the treaties since the T'ang time
+with northern powers and with Tibetans used the terms father-in-law and
+son-in-law. The foreign power was the "father-in-law", i.e. the older
+and, therefore, in a certain way the more privileged; the Chinese were
+the "son-in-law", the representative of the paternal lineage and,
+therefore, in another respect also the more privileged! In spite of such
+agreements with the Juchên, fighting continued, but it was mainly of the
+character of frontier engagements. Not until 1204 did the military
+party, led by Han T'o-wei, regain power; it resolved upon an active
+policy against the north. In preparation for this a military reform was
+carried out. The campaign proved a disastrous failure, as a result of
+which large territories in the north were lost. The Sung sued for
+peace; Han T'o-wei's head was cut off and sent to the Juchên. In this
+way peace was restored in 1208. The old treaty relationship was now
+resumed, but the relations between the two states remained tense.
+Meanwhile the Sung observed with malicious pleasure how the Mongols were
+growing steadily stronger, first destroying the Hsia state and then
+aiming the first heavy blows against the Juchên. In the end the Sung
+entered into alliance with the Mongols (1233) and joined them in
+attacking the Juchên, thus hastening the end of the Juchên state.
+
+The Sung now faced the Mongols, and were defenceless against them. All
+the buffer states had gone. The Sung were quite without adequate
+military defence. They hoped to stave off the Mongols in the same way as
+they had met the Kitan and the Juchên. This time, however, they
+misjudged the situation. In the great operations begun by the Mongols in
+1273 the Sung were defeated over and over again. In 1276 their capital
+was taken by the Mongols and the emperor was made prisoner. For three
+years longer there was a Sung emperor, in flight from the Mongols, until
+the last emperor perished near Macao in South China.
+
+
+3 _Cultural situation; reasons for the collapse_
+
+The Southern Sung period was again one of flourishing culture. The
+imperial court was entirely in the power of the greater gentry; several
+times the emperors, who personally do not deserve individual mention,
+were compelled to abdicate. They then lived on with a court of their
+own, devoting themselves to pleasure in much the same way as the
+"reigning" emperor. Round them was a countless swarm of poets and
+artists. Never was there a time so rich in poets, though hardly one of
+them was in any way outstanding. The poets, unlike those of earlier
+times, belonged to the lesser gentry who were suffering from the
+prevailing inflation. Salaries bore no relation to prices. Food was not
+dear, but the things which a man of the upper class ought to have were
+far out of reach: a big house cost 2,000 strings of cash, a concubine
+800 strings. Thus the lesser gentry and the intelligentsia all lived on
+their patrons among the greater gentry--with the result that they were
+entirely shut out of politics. This explains why the literature of the
+time is so unpolitical, and also why scarcely any philosophical works
+appeared. The writers took refuge more and more in romanticism and
+flight from realities.
+
+The greater gentry, on the other hand, led a very elegant life, building
+themselves magnificent palaces in the capital. They also speculated in
+every direction. They speculated in land, in money, and above all in
+the paper money that was coming more and more into use. In 1166 the
+paper circulation exceeded the value of 10,000,000 strings!
+
+It seems that after 1127 a good number of farmers had left Honan and the
+Yellow River plains when the Juchên conquered these places and showed
+little interest in fostering agriculture; more left the border areas of
+Southern Sung because of permanent war threat. Many of these lived
+miserably as tenants on the farms of the gentry between Nanking and
+Hangchow. Others migrated farther to the south, across Kiangsi into
+southern Fukien. These migrants seem to have been the ancestors of the
+Hakka which in the following centuries continued their migration towards
+the south and who from the nineteenth century on were most strongly
+concentrated in Kwangtung and Kwangsi provinces as free farmers on hill
+slopes or as tenants of local landowners in the plains.
+
+The influx of migrants and the increase of tenants and their poverty
+seriously threatened the state and cut down its defensive strength more
+and more.
+
+At this stage, Chia Ssu-tao drafted a reform law. Chia had come to the
+court through his sister becoming the emperor's concubine, but he
+himself belonged to the lesser gentry. His proposal was that state funds
+should be applied to the purchase of land in the possession of the
+greater gentry over and above a fixed maximum. Peasants were to be
+settled on this land, and its yield was to belong to the state, which
+would be able to use it to meet military expenditure. In this way the
+country's military strength was to be restored. Chia's influence lasted
+just ten years, until 1275. He began putting the law into effect in the
+region south of Nanking, where the principal estates of the greater
+gentry were then situated. He brought upon himself, of course, the
+mortal hatred of the greater gentry, and paid for his action with his
+life. The emperor, in entering upon this policy, no doubt had hoped to
+recover some of his power, but the greater gentry brought him down. The
+gentry now openly played into the hands of the approaching Mongols, so
+hastening the final collapse of the Sung. The peasants and the lesser
+gentry would have fought the Mongols if it had been possible; but the
+greater gentry enthusiastically went over to the Mongols, hoping to save
+their property and so their influence by quickly joining the enemy. On a
+long view they had not judged badly. The Mongols removed the members of
+the gentry from all political posts, but left them their estates; and
+before long the greater gentry reappeared in political life. And when,
+later, the Mongol empire in China was brought down by a popular rising,
+the greater gentry showed themselves to be the most faithful allies of
+the Mongols!
+
+
+(5) The empire of the Juchên in the north (1115-1234)
+
+1 _Rapid expansion from northern Korea to the Yangtze_
+
+The Juchên in the past had been only a small league of Tungus tribes,
+whose name is preserved in that of the present Tungus tribe of the
+Jurchen, which came under the domination of the Kitan after the collapse
+of the state of Po-hai in northern Korea. We have already briefly
+mentioned the reasons for their rise. After their first successes
+against the Kitan (1114), their chieftain at once proclaimed himself
+emperor (1115), giving his dynasty the name "Chin" (The Golden). The
+Chin quickly continued their victorious progress. In 1125 the Kitan
+empire was destroyed. It will be remembered that the Sung were at once
+attacked, although they had recently been allied with the Chin against
+the Kitan. In 1126 the Sung capital was taken. The Chin invasions were
+pushed farther south, and in 1130 the Yangtze was crossed. But the Chin
+did not hold the whole of these conquests. Their empire was not yet
+consolidated. Their partial withdrawal closed the first phase of the
+Chin empire.
+
+
+2 _United front of all Chinese_
+
+But a few years after this maximum expansion, a withdrawal began which
+went on much more quickly than usual in such cases. The reasons were to
+be found both in external and in internal politics. The Juchên had
+gained great agrarian regions in a rapid march of conquest. Once more
+great cities with a huge urban population and immense wealth had fallen
+to alien conquerors. Now the Juchên wanted to enjoy this wealth as the
+Kitan had done before them. All the Juchên people counted as citizens of
+the highest class; they were free from taxation and only liable to
+military service. They were entitled to take possession of as much
+cultivable land as they wanted; this they did, and they took not only
+the "state domains" actually granted to them but also peasant
+properties, so that Chinese free peasants had nothing left but the worst
+fields, unless they became tenants on Juchên estates. A united front was
+therefore formed between all Chinese, both peasants and landowning
+gentry, against the Chin, such as it had not been possible to form
+against the Kitan. This made an important contribution later to the
+rapid collapse of the Chin empire.
+
+The Chin who had thus come into possession of the cultivable land and at
+the same time of the wealth of the towns, began a sort of competition
+with each other for the best winnings, especially after the government
+had returned to the old Sung capital, Pien-liang (now K'aifeng, in
+eastern Honan). Serious crises developed in their own ranks. In 1149 the
+ruler was assassinated by his chancellor (a member of the imperial
+family), who in turn was murdered in 1161. The Chin thus failed to
+attain what had been secured by all earlier conquerors, a reconciliation
+of the various elements of the population and the collaboration of at
+least one group of the defeated Chinese.
+
+
+3 _Start of the Mongol empire_
+
+The cessation of fighting against the Sung brought no real advantage in
+external affairs, though the tribute payments appealed to the greed of
+the rulers and were therefore welcomed. There could be no question of
+further campaigns against the south, for the Hsia empire in the west had
+not been destroyed, though some of its territory had been annexed; and a
+new peril soon made its appearance in the rear of the Chin. When in the
+tenth century the Sha-t'o Turks had had to withdraw from their
+dominating position in China, because of their great loss of numbers and
+consequently of strength, they went back into Mongolia and there united
+with the Ta-tan (Tatars), among whom a new small league of tribes had
+formed towards the end of the eleventh century, consisting mainly of
+Mongols and Turks. In 1139 one of the chieftains of the Juchên rebelled
+and entered into negotiations with the South Chinese. He was killed, but
+his sons and his whole tribe then rebelled and went into Mongolia, where
+they made common cause with the Mongols. The Chin pursued them, and
+fought against them and against the Mongols, but without success.
+Accordingly negotiations were begun, and a promise was given to deliver
+meat and grain every year and to cede twenty-seven military strongholds.
+A high title was conferred on the tribal leader of the Mongols, in the
+hope of gaining his favour. He declined it, however, and in 1147 assumed
+the title of emperor of the "greater Mongol empire". This was the
+beginning of the power of the Mongols, who remained thereafter a
+dangerous enemy of the Chin in the north, until in 1189 Genghiz Khan
+became their leader and made the Mongols the greatest power of central
+Asia. In any case, the Chin had reason to fear the Mongols from 1147
+onward, and therefore were the more inclined to leave the Sung in peace.
+
+In 1210 the Mongols began the first great assault against the Chin, the
+moment they had conquered the Hsia. In the years 1215-17 the Mongols
+took the military key-positions from the Chin. After that there could be
+no serious defence of the Chin empire. There came a respite only because
+the Mongols had turned against the West. But in 1234 the empire finally
+fell to the Mongols.
+
+Many of the Chin entered the service of the Mongols, and with their
+permission returned to Manchuria; there they fell back to the cultural
+level of a warlike nomad people. Not until the sixteenth century did
+these Tunguses recover, reorganize, and appear again in history this
+time under the name of Manchus.
+
+The North Chinese under Chin rule did not regard the Mongols as enemies
+of their country, but were ready at once to collaborate with them. The
+Mongols were even more friendly to them than to the South Chinese, and
+treated them rather better.
+
+
+
+
+Chapter Ten
+
+THE PERIOD OF ABSOLUTISM
+
+
+
+(A) The Mongol Epoch (1280-1368)
+
+
+1 _Beginning of new foreign rules_
+
+During more than half of the third period of "Modern Times" which now
+began, China was under alien rule. Of the 631 years from 1280 to 1911,
+China was under national rulers for 276 years and under alien rule for
+355. The alien rulers were first the Mongols, and later the Tungus
+Manchus. It is interesting to note that the alien rulers in the earlier
+period came mainly from the north-west, and only in modern times did
+peoples from the north-east rule over China. This was due in part to the
+fact that only peoples who had attained a certain level of civilization
+were capable of dominance. In antiquity and the Middle Ages, eastern
+Mongolia and Manchuria were at a relatively low level of civilization,
+from which they emerged only gradually through permanent contact with
+other nomad peoples, especially Turks. We are dealing here, of course,
+only with the Mongol epoch in China and not with the great Mongol
+empire, so that we need not enter further into these questions.
+
+Yet another point is characteristic: the Mongols were the first alien
+people to rule the whole of China; the Manchus, who appeared in the
+seventeenth century, were the second and last. All alien peoples before
+these two ruled only parts of China. Why was it that the Mongols were
+able to be so much more successful than their predecessors? In the first
+place the Mongol political league was numerically stronger than those of
+the earlier alien peoples; secondly, the military organization and
+technical equipment of the Mongols were exceptionally advanced for their
+day. It must be borne in mind, for instance, that during their many
+years of war against the Sung dynasty in South China the Mongols already
+made use of small cannon in laying siege to towns. We have no exact
+knowledge of the number of Mongols who invaded and occupied China, but
+it is estimated that there were more than a million Mongols living in
+China. Not all of them, of course, were really Mongols! The name covered
+Turks, Tunguses, and others; among the auxiliaries of the Mongols were
+Uighurs, men from Central Asia and the Middle East, and even Europeans.
+When the Mongols attacked China they had the advantage of all the arts
+and crafts and all the new technical advances of western and central
+Asia and of Europe. Thus they had attained a high degree of technical
+progress, and at the same time their number was very great.
+
+
+2 "_Nationality legislation_"
+
+It was only after the Hsia empire in North China, and then the empire of
+the Juchên, had been destroyed by the Mongols, and only after long and
+remarkably modern tactical preparation, that the Mongols conquered South
+China, the empire of the Sung dynasty. They were now faced with the
+problem of ruling their great new empire. The conqueror of that empire,
+Kublai, himself recognized that China could not be treated in quite the
+same way as the Mongols' previous conquests; he therefore separated the
+empire in China from the rest of the Mongol empire. Mongol China became
+an independent realm within the Mongol empire, a sort of Dominion. The
+Mongol rulers were well aware that in spite of their numerical strength
+they were still only a minority in China, and this implied certain
+dangers. They therefore elaborated a "nationality legislation", the
+first of its kind in the Far East. The purpose of this legislation was,
+of course, to be the protection of the Mongols. The population of
+conquered China was divided into four groups--(1) Mongols, themselves
+falling into four sub-groups (the oldest Mongol tribes, the White
+Tatars, the Black Tatars, the Wild Tatars); (2) Central Asian
+auxiliaries (Naimans, Uighurs, and various other Turkish people,
+Tanguts, and so on); (3) North Chinese; (4) South Chinese. The Mongols
+formed the privileged ruling class. They remained militarily organized,
+and were distributed in garrisons over all the big towns of China as
+soldiers, maintained by the state. All the higher government posts were
+reserved for them, so that they also formed the heads of the official
+staffs. The auxiliary peoples were also admitted into the government
+service; they, too, had privileges, but were not all soldiers but in
+many cases merchants, who used their privileged position to promote
+business. Not a few of these merchants were Uighurs and Mohammedans;
+many Uighurs were also employed as clerks, as the Mongols were very
+often unable to read and write Chinese, and the government offices were
+bilingual, working in Mongolian and Chinese. The clever Uighurs quickly
+learned enough of both languages for official purposes, and made
+themselves indispensable assistants to the Mongols. Persian, the main
+language of administration in the western parts of the Mongol empire
+besides Uighuric, also was a _lingua franca_ among the new rulers of
+China.
+
+In the Mongol legislation the South Chinese had the lowest status, and
+virtually no rights. Intermarriage with them was prohibited. The Chinese
+were not allowed to carry arms. For a time they were forbidden even to
+learn the Mongol or other foreign languages. In this way they were to be
+prevented from gaining official positions and playing any political
+part. Their ignorance of the languages of northern, central, and western
+Asia also prevented them from engaging in commerce like the foreign
+merchants, and every possible difficulty was put in the way of their
+travelling for commercial purposes. On the other hand, foreigners were,
+of course, able to learn Chinese, and so to gain a footing in Chinese
+internal trade.
+
+Through legislation of this type the Mongols tried to build up and to
+safeguard their domination over China. Yet their success did not last a
+hundred years.
+
+
+3 _Military position_
+
+In foreign affairs the Mongol epoch was for China something of a
+breathing space, for the great wars of the Mongols took place at a
+remote distance from China and without any Chinese participation. Only a
+few concluding wars were fought under Kublai in the Far East. The first
+was his war against Japan (1281): it ended in complete failure, the
+fleet being destroyed by a storm. In this campaign the Chinese furnished
+ships and also soldiers. The subjection of Japan would have been in the
+interest of the Chinese, as it would have opened a market which had been
+almost closed against them in the Sung period. Mongol wars followed in
+the south. In 1282 began the war against Burma; in 1284 Annam and
+Cambodia were conquered; in 1292 a campaign was started against Java. It
+proved impossible to hold Java, but almost the whole of Indo-China came
+under Mongol rule, to the satisfaction of the Chinese, for Indo-China
+had already been one of the principal export markets in the Sung period.
+After that, however, there was virtually no more warfare, apart from
+small campaigns against rebellious tribes. The Mongol soldiers now lived
+on their pay in their garrisons, with nothing to do. The old campaigners
+died and were followed by their sons, brought up also as soldiers; but
+these young Mongols were born in China, had seen nothing of war, and
+learned of the soldiers' trade either nothing or very little; so that
+after about 1320 serious things happened. An army nominally 1,000 strong
+was sent against a group of barely fifty bandits and failed to defeat
+them. Most of the 1,000 soldiers no longer knew how to use their
+weapons, and many did not even join the force. Such incidents occurred
+again and again.
+
+
+4 _Social situation_
+
+The results, however, of conditions within the country were of much more
+importance than events abroad. The Mongols made Peking their capital as
+was entirely natural, for Peking was near their homeland Mongolia. The
+emperor and his entourage could return to Mongolia in the summer, when
+China became too hot or too humid for them; and from Peking they were
+able to maintain contact with the rest of the Mongol empire. But as the
+city had become the capital of a vast empire, an enormous staff of
+officials had to be housed there, consisting of persons of many
+different nationalities. The emperor naturally wanted to have a
+magnificent capital, a city really worthy of so vast an empire. As the
+many wars had brought in vast booty, there was money for the building of
+great palaces, of a size and magnificence never before seen in China.
+They were built by Chinese forced labour, and to this end men had to be
+brought from all over the empire--poor peasants, whose fields went out
+of cultivation while they were held in bondage far away. If they ever
+returned home, they were destitute and had lost their land. The rich
+gentry, on the other hand, were able to buy immunity from forced labour.
+The immense increase in the population of Peking (the huge court with
+its enormous expenditure, the mass of officials, the great merchant
+community, largely foreigners, and the many servile labourers),
+necessitated vast supplies of food. Now, as mentioned in earlier
+chapters, since the time of the Later T'ang the region round Nanking had
+become the main centre of production in China, and the Chinese
+population had gone over more and more to the consumption of rice
+instead of pulse or wheat. As rice could not be grown in the north,
+practically the whole of the food supplies for the capital had to be
+brought from the south. The transport system taken over by the Mongols
+had not been created for long-distance traffic of this sort. The capital
+of the Sung had lain in the main centre of production. Consequently, a
+great fleet had suddenly to be built, canals and rivers had to be
+regulated, and some new canals excavated. This again called for a vast
+quantity of forced labour, often brought from afar to the points at
+which it was needed. The Chinese peasants had suffered in the Sung
+period. They had been exploited by the large landowners. The Mongols had
+not removed these landowners, as the Chinese gentry had gone over to
+their side. The Mongols had deprived them of their political power, but
+had left them their estates, the basis of their power. In past changes
+of dynasty the gentry had either maintained their position or been
+replaced by a new gentry: the total number of their class had remained
+virtually unchanged. Now, however, in addition to the original gentry
+there were about a million Mongols, for whose maintenance the peasants
+had also to provide, and their standard of maintenance was high. This
+was an enormous increase in the burdens of the peasantry.
+
+Two other elements further pressed on the peasants in the Mongol
+epoch--organized religion and the traders. The upper classes among the
+Chinese had in general little interest in religion, but the Mongols,
+owing to their historical development, were very religious. Some of them
+and some of their allies were Buddhists, some were still shamanists. The
+Chinese Buddhists and the representatives of popular Taoism approached
+the Mongols and the foreign Buddhist monks trying to enlist the interest
+of the Mongols and their allies. The old shamanism was unable to compete
+with the higher religions, and the Mongols in China became Buddhist or
+interested themselves in popular Taoism. They showed their interest
+especially by the endowment of temples and monasteries. The temples were
+given great estates, and the peasants on those estates became temple
+servants. The land belonging to the temples was free from taxation.
+
+We have as yet no exact statistics of the Mongol epoch, only
+approximations. These set the total area under cultivation at some six
+million _ch'ing_ (a _ch'ing_ is the ideal size of the farm worked by a
+peasant family, but it was rarely held in practice); the population
+amounted to fourteen or fifteen million families. Of this total tillage
+some 170,000 _ch'ing_ were allotted to the temples; that is to say, the
+farms for some 400,000 peasant families were taken from the peasants and
+no longer paid taxes to the state. The peasants, however, had to make
+payments to the temples. Some 200,000 _ch'ing_ with some 450,000 peasant
+families were turned into military settlements; that is to say, these
+peasants had to work for the needs of the army. Their taxes went not to
+the state but to the army. Moreover, in the event of war they had to
+render service to the army. In addition to this, all higher officials
+received official properties, the yield of which represented part
+payment of their salaries. Then, Mongol nobles and dignitaries received
+considerable grants of land, which was taken away from the free
+peasants; the peasants had then to work their farms as tenants and to
+pay dues to their landlords, no longer to the state. Finally, especially
+in North China, many peasants were entirely dispossessed, and their land
+was turned into pasturage for the Mongols' horses; the peasants
+themselves were put to forced labour. On top of this came the
+exploitation of the peasants by the great landowners of the past. All
+this meant an enormous diminution in the number of free peasants and
+thus of taxpayers. As the state was involved in more expenditure than in
+the past owing to the large number of Mongols who were its virtual
+pensioners, the taxes had to be continually increased. Meanwhile the
+many peasants working as tenants of the great landlords, the temples,
+and the Mongol nobles were entirely at their mercy. In this period, a
+second migration of farmers into the southern provinces, mainly Fukien
+and Kwangtung, took place; it had its main source in the lower Yangtze
+valley. A few gentry families whose relatives had accompanied the Sung
+emperor on their flight to the south, also settled with their followers
+in the Canton basin.
+
+The many merchants from abroad, especially those belonging to the
+peoples allied to the Mongols, also had in every respect a privileged
+position in China. They were free of taxation, free to travel all over
+the country, and received privileged treatment in the use of means of
+transport. They were thus able to accumulate great wealth, most of which
+went out of China to their own country. This produced a general
+impoverishment of China. Chinese merchants fell more and more into
+dependence on the foreign merchants; the only field of action really
+remaining to them was the local trade within China and the trade with
+Indo-China, where the Chinese had the advantage of knowing the language.
+
+The impoverishment of China began with the flow abroad of her metallic
+currency. To make up for this loss, the government was compelled to
+issue great quantities of paper money, which very quickly depreciated,
+because after a few years the government would no longer accept the
+money at its face value, so that the population could place no faith in
+it. The depreciation further impoverished the people.
+
+Thus we have in the Mongol epoch in China the imposing picture of a
+commerce made possible with every country from Europe to the Pacific;
+this, however, led to the impoverishment of China. We also see the
+rising of mighty temples and monumental buildings, but this again only
+contributed to the denudation of the country. The Mongol epoch was thus
+one of continual and rapid impoverishment in China, simultaneously with
+a great display of magnificence. The enthusiastic descriptions of the
+Mongol empire in China offered by travellers from the Near East or from
+Europe, such as Marco Polo, give an entirely false picture: as
+foreigners they had a privileged position, living in the cities and
+seeing nothing of the situation of the general population.
+
+
+5 _Popular risings: National rising_
+
+It took time for the effects of all these factors to become evident. The
+first popular rising came in 1325. Statistics of 1329 show that there
+were then some 7,600,000 persons in the empire who were starving; as
+this was only the figure of the officially admitted sufferers, the
+figure may have been higher. In any case, seven-and-a-half millions were
+a substantial percentage of the total population, estimated at
+45,000,000. The risings that now came incessantly were led by men of the
+lower orders--a cloth-seller, a fisherman, a peasant, a salt smuggler,
+the son of a soldier serving a sentence, an office messenger, and so on.
+They never attacked the Mongols as aliens, but always the rich in
+general, whether Chinese or foreign. Wherever they came, they killed all
+the rich and distributed their money and possessions.
+
+As already mentioned, the Mongol garrisons were unable to cope with
+these risings. But how was it that the Mongol rule did not collapse
+until some forty years later? The Mongols parried the risings by raising
+loans from the rich and using the money to recruit volunteers to fight
+the rebels. The state revenues would not have sufficed for these
+payments, and the item was not one that could be included in the
+military budget. What was of much more importance was that the gentry
+themselves recruited volunteers and fought the rebels on their own
+account, without the authority or the support of the government. Thus it
+was the Chinese gentry, in their fear of being killed by the insurgents,
+who fought them and so bolstered up the Mongol rule.
+
+In 1351 the dykes along the Yellow River burst. The dykes had to be
+reconstructed and further measures of conservancy undertaken. To this
+end the government impressed 170,000 men. Following this action, great
+new revolts broke out. Everywhere in Honan, Kiangsu, and Shantung, the
+regions from which the labourers were summoned, revolutionary groups
+were formed, some of them amounting to 100,000 men. Some groups had a
+religious tinge; others declared their intention to restore the emperors
+of the Sung dynasty. Before long great parts of central China were
+wrested from the hands of the government. The government recognized the
+menace to its existence, but resorted to contradictory measures. In 1352
+southern Chinese were permitted to take over certain official positions.
+In this way it was hoped to gain the full support of the gentry, who had
+a certain interest in combating the rebel movements. On the other hand,
+the government tightened up its nationality laws. All the old
+segregation laws were brought back into force, with the result that in a
+few years the aim of the rebels became no longer merely the expulsion of
+the rich but also the expulsion of the Mongols: a social movement thus
+became a national one. A second element contributed to the change in the
+character of the popular rising. The rebels captured many towns. Some of
+these towns refused to fight and negotiated terms of submission. In
+these cases the rebels did not murder the whole of the gentry, but took
+some of them into their service. The gentry did not agree to this out of
+sympathy with the rebels, but simply in order to save their own lives.
+Once they had taken the step, however, they could not go back; they had
+no alternative but to remain on the side of the rebels.
+
+In 1352 Kuo Tzŭ-hsing rose in southern Honan. Kuo was the son of a
+wandering soothsayer and a blind beggar-woman. He had success; his group
+gained control of a considerable region round his home. There was no
+longer any serious resistance from the Mongols, for at this time the
+whole of eastern China was in full revolt. In 1353 Kuo was joined by a
+man named Chu Yüan-chang, the son of a small peasant, probably a tenant
+farmer. Chu's parents and all his relatives had died from a plague,
+leaving him destitute. He had first entered a monastery and become a
+monk. This was a favourite resource--and has been almost to the present
+day--for poor sons of peasants who were threatened with starvation. As a
+monk he had gone about begging, until in 1353 he returned to his home
+and collected a group, mostly men from his own village, sons of peasants
+and young fellows who had already been peasant leaders. Monks were often
+peasant leaders. They were trusted because they promised divine aid, and
+because they were usually rather better educated than the rest of the
+peasants. Chu at first also had contacts with a secret society, a branch
+of the White Lotos Society which several times in the course of Chinese
+history has been the nucleus of rebellious movements. Chu took his small
+group which identified itself by a red turban and a red banner to Kuo,
+who received him gladly, entered into alliance with him, and in sign of
+friendship gave him his daughter in marriage. In 1355 Kuo died, and Chu
+took over his army, now many thousands strong. In his campaigns against
+towns in eastern China, Chu succeeded in winning over some capable
+members of the gentry. One was the chairman of a committee that yielded
+a town to Chu; another was a scholar whose family had always been
+opposed to the Mongols, and who had himself suffered injustice several
+times in his official career, so that he was glad to join Chu out of
+hatred of the Mongols.
+
+These men gained great influence over Chu, and persuaded him to give up
+attacking rich individuals, and instead to establish an assured control
+over large parts of the country. He would then, they pointed out, be
+permanently enriched, while otherwise he would only be in funds at the
+moment of the plundering of a town. They set before him strategic plans
+with that aim. Through their counsel Chu changed from the leader of a
+popular rising into a fighter against the dynasty. Of all the peasant
+leaders he was now the only one pursuing a definite aim. He marched
+first against Nanking, the great city of central China, and captured it
+with ease. He then crossed the Yangtze, and conquered the rich provinces
+of the south-east. He was a rebel who no longer slaughtered the rich or
+plundered the towns, and the whole of the gentry with all their
+followers came over to him _en masse_. The armies of volunteers went
+over to Chu, and the whole edifice of the dynasty collapsed.
+
+The years 1355-1368 were full of small battles. After his conquest of
+the whole of the south, Chu went north. In 1368 his generals captured
+Peking almost without a blow. The Mongol ruler fled on horseback with
+his immediate entourage into the north of China, and soon after into
+Mongolia. The Mongol dynasty had been brought down, almost without
+resistance. The Mongols in the isolated garrisons marched northward
+wherever they could. A few surrendered to the Chinese and were used in
+southern China as professional soldiers, though they were always
+regarded with suspicion. The only serious resistance offered came from
+the regions in which other Chinese popular leaders had established
+themselves, especially the remote provinces in the west and south-west,
+which had a different social structure and had been relatively little
+affected by the Mongol régime.
+
+Thus the collapse of the Mongols came for the following reasons: (1)
+They had not succeeded in maintaining their armed strength or that of
+their allies during the period of peace that followed Kublai's conquest.
+The Mongol soldiers had become effeminate through their life of idleness
+in the towns. (2) The attempt to rule the empire through Mongols or
+other aliens, and to exclude the Chinese gentry entirely from the
+administration, failed through insufficient knowledge of the sources of
+revenue and through the abuses due to the favoured treatment of aliens.
+The whole country, and especially the peasantry, was completely
+impoverished and so driven into revolt. (3) There was also a
+psychological reason. In the middle of the fourteenth century it was
+obvious to the Mongols that their hold over China was growing more and
+more precarious, and that there was little to be got out of the
+impoverished country: they seem in consequence to have lost interest in
+the troublesome task of maintaining their rule, preferring, in so far as
+they had not already entirely degenerated, to return to their old home
+in the north. It is important to bear in mind these reasons for the
+collapse of the Mongols, so that we may compare them later with the
+reasons for the collapse of the Manchus.
+
+No mention need be made here of the names of the Mongol rulers in China
+after Kublai. After his death in 1294, grandsons and great-grandsons of
+his followed each other in rapid succession on the throne; not one of
+them was of any personal significance. They had no influence on the
+government of China. Their life was spent in intriguing against one
+another. There were seven Mongol emperors after Kublai.
+
+
+6 _Cultural_
+
+During the Mongol epoch a large number of the Chinese scholars withdrew
+from official life. They lived in retirement among their friends, and
+devoted themselves mainly to the pursuit of the art of poetry, which had
+been elaborated in the Later Sung epoch, without themselves arriving at
+any important innovations in form. Their poems were built up
+meticulously on the rules laid down by the various schools; they were
+routine productions rather than the outcome of any true poetic
+inspiration. In the realm of prose the best achievements were the
+"miscellaneous notes" already mentioned, collections of learned essays.
+The foreigners who wrote in Chinese during this epoch are credited with
+no better achievements by the Chinese historians of literature. Chief of
+them were a statesman named Yeh-lü Ch'u-ts'ai, a Kitan in the service of
+the Mongols; and a Mongol named T'o-t'o (Tokto). The former accompanied
+Genghiz Khan in his great campaign against Turkestan, and left a very
+interesting account of his journeys, together with many poems about
+Samarkand and Turkestan. His other works were mainly letters and poems
+addressed to friends. They differ in no way in style from the Chinese
+literary works of the time, and are neither better nor worse than those
+works. He shows strong traces of Taoist influence, as do other
+contemporary writers. We know that Genghiz Khan was more or less
+inclined to Taoism, and admitted a Taoist monk to his camp (1221-1224).
+This man's account of his travels has also been preserved, and with the
+numerous European accounts of Central Asia written at this time it forms
+an important source. The Mongol Tokto was the head of an historical
+commission that issued the annals of the Sung dynasty, the Kitan, and
+the Juchên dynasty. The annals of the Sung dynasty became the largest of
+all the historical works, but they were fiercely attacked from the first
+by Chinese critics on account of their style and their hasty
+composition, and, together with the annals of the Mongol dynasty, they
+are regarded as the worst of the annals preserved. Tokto himself is less
+to blame for this than the circumstance that he was compelled to work in
+great haste, and had not time to put into order the overwhelming mass of
+his material.
+
+The greatest literary achievements, however, of the Mongol period belong
+beyond question to the theatre (or, rather, opera). The emperors were
+great theatre-goers, and the wealthy private families were also
+enthusiasts, so that gradually people of education devoted themselves to
+writing librettos for the operas, where in the past this work had been
+left to others. Most of the authors of these librettos remained unknown:
+they used pseudonyms, partly because playwriting was not an occupation
+that befitted a scholar, and partly because in these works they
+criticized the conditions of their day. These works are divided in
+regard to style into two groups, those of the "southern" and the
+"northern" drama; these are distinguished from each other in musical
+construction and in their intellectual attitude: in general the northern
+works are more heroic and the southern more sentimental, though there
+are exceptions. The most famous northern works of the Mongol epoch are
+_P'i-p'a-chi_ ("The Story of a Lute"), written about 1356, probably by
+Kao Ming, and _Chao-shih ku-erh-chi_ ("The Story of the Orphan of
+Chao"), a work that enthralled Voltaire, who made a paraphrase of it;
+its author was the otherwise unknown Chi Chün-hsiang. One of the most
+famous of the southern dramas is _Hsi-hsiang-chi_ ("The Romance of the
+Western Chamber"), by Wang Shih-fu and Kuan Han-ch'ing. Kuan lived under
+the Juchên dynasty as a physician, and then among the Mongol. He is said
+to have written fifty-eight dramas, many of which became famous.
+
+In the fine arts, foreign influence made itself felt during the Mongol
+epoch much more than in literature. This was due in part to the Mongol
+rulers' predilection for the Lamaism that was widespread in their
+homeland. Lamaism is a special form of Buddhism which developed in
+Tibet, where remnants of the old national Tibetan cult (_Bon_) were
+fused with Buddhism into a distinctive religion. During the rise of the
+Mongols this religion, which closely resembled the shamanism of the
+ancient Mongols, spread in Mongolia, and through the Mongols it made
+great progress in China, where it had been insignificant until their
+time. Religious sculpture especially came entirely under Tibetan
+influence (particularly that of the sculptor Aniko, who came from Nepal,
+where he was born in 1244). This influence was noticeable in the Chinese
+sculptor Liu Yüan; after him it became stronger and stronger, lasting
+until the Manchu epoch.
+
+In architecture, too, Indian and Tibetan influence was felt in this
+period. The Tibetan pagodas came into special prominence alongside the
+previously known form of pagoda, which has many storeys, growing smaller
+as they go upward; these towers originally contained relics of Buddha
+and his disciples. The Tibetan pagoda has not this division into
+storeys, and its lower part is much larger in circumference, and often
+round. To this day Peking is rich in pagodas in the Tibetan style.
+
+The Mongols also developed in China the art of carpet-knotting, which to
+this day is found only in North China in the zone of northern influence.
+There were carpets before these, but they were mainly of felt. The
+knotted carpets were produced in imperial workshops--only, of course,
+for the Mongols, who were used to carpets. A further development
+probably also due to West Asian influence was that of cloisonné
+technique in China in this period.
+
+Painting, on the other hand, remained free from alien influence, with
+the exception of the craft painting for the temples. The most famous
+painters of the Mongol epoch were Chao Mêng-fu (also called Chao
+Chung-mu, 1254-1322), a relative of the deposed imperial family of the
+Sung dynasty, and Ni Tsan (1301-1374).
+
+
+
+(B) The Ming Epoch (1368-1644)
+
+
+1 _Start. National feeling_
+
+It was necessary to give special attention to the reasons for the
+downfall of Mongol rule in China, in order to make clear the cause and
+the character of the Ming epoch that followed it. It is possible that
+the erroneous impression might be gained that the Mongol epoch in China
+was entirely without merits, and that the Mongol rule over China
+differed entirely from the Mongol rule over other countries of Asia.
+Chinese historians have no good word to say of the Mongol epoch and
+avoid the subject as far as they can. It is true that the union of the
+national Mongol culture with Chinese culture, as envisaged by the Mongol
+rulers, was not a sound conception, and consequently did not endure for
+long. Nevertheless, the Mongol epoch in China left indelible traces, and
+without it China's further development would certainly have taken a
+different course.
+
+The many popular risings during the latter half of the period of Mongol
+rule in China were all of a purely economic and social character, and at
+first they were not directed at all against the Mongols as
+representatives of an alien people. The rising under Chu Yüan-chang,
+which steadily gained impetus, was at first a purely social movement;
+indeed, it may fairly be called revolutionary. Chu was of the humblest
+origin; he became a monk and a peasant leader at one and the same time.
+Only three times in Chinese history has a man of the peasantry become
+emperor and founder of a dynasty. The first of these three men founded
+the Han dynasty; the second founded the first of the so-called "Five
+Dynasties" in the tenth century; Chu was the third.
+
+Not until the Mongols had answered Chu's rising with a tightening of the
+nationality laws did the revolutionary movement become a national
+movement, directed against the foreigners as such. And only when Chu
+came under the influence of the first people of the gentry who joined
+him, whether voluntarily or perforce, did what had been a revolutionary
+movement become a struggle for the substitution of one dynasty for
+another without interfering with the existing social system. Both these
+points were of the utmost importance to the whole development of the
+Ming epoch.
+
+The Mongols were driven out fairly quickly and without great difficulty.
+The Chinese drew from the ease of their success a sense of superiority
+and a clear feeling of nationalism. This feeling should not be
+confounded with the very old feeling of Chinese as a culturally superior
+group according to which, at least in theory though rarely in practice,
+every person who assimilated Chinese cultural values and traits was a
+"Chinese". The roots of nationalism seem to lie in the Southern Sung
+period, growing up in the course of contacts with the Juchên and
+Mongols; but the discriminatory laws of the Mongols greatly fostered
+this feeling. From now on, it was regarded a shame to serve a foreigner
+as official, even if he was a ruler of China.
+
+
+2 _Wars against Mongols and Japanese_
+
+It had been easy to drive the Mongols out of China, but they were never
+really beaten in their own country. On the contrary, they seem to have
+regained strength after their withdrawal from China: they reorganized
+themselves and were soon capable of counter-thrusts, while Chinese
+offensives had as a rule very little success, and at all events no
+decisive success. In the course of time, however, the Chinese gained a
+certain influence over Turkestan, but it was never absolute, always
+challenged. After the Mongol empire had fallen to pieces, small states
+came into existence in Turkestan, for a long time with varying fortunes;
+the most important one during the Ming epoch was that of Hami, until in
+1473 it was occupied by the city-state of Turfan. At this time China
+actively intervened in the policy of Turkestan in a number of combats
+with the Mongols. As the situation changed from time to time, these
+city-states united more or less closely with China or fell away from her
+altogether. In this period, however, Turkestan was of no military or
+economic importance to China.
+
+In the time of the Ming there also began in the east and south the
+plague of Japanese piracy. Japanese contacts with the coastal provinces
+of China (Kiangsu, Chêkiang and Fukien) had a very long history:
+pilgrims from Japan often went to these places in order to study
+Buddhism in the famous monasteries of Central China; businessmen sold at
+high prices Japanese swords and other Japanese products here and bought
+Chinese products; they also tried to get Chinese copper coins which had
+a higher value in Japan. Chinese merchants co-operated with Japanese
+merchants and also with pirates in the guise of merchants. Some Chinese
+who were or felt persecuted by the government, became pirates
+themselves. This trade-piracy had started already at the end of the Sung
+dynasty, when Japanese navigation had become superior to Korean shipping
+which had in earlier times dominated the eastern seaboard. These
+conditions may even have been one of the reasons why the Mongols tried
+to subdue Japan. As early as 1387 the Chinese had to begin the building
+of fortifications along the eastern and southern coasts of the country.
+The Japanese attacks now often took the character of organized raids: a
+small, fast-sailing flotilla would land in a bay, as far as possible
+without attracting notice; the soldiers would march against the nearest
+town, generally overcoming it, looting, and withdrawing. The defensive
+measures adopted from time to time during the Ming epoch were of little
+avail, as it was impossible effectively to garrison the whole coast.
+Some of the coastal settlements were transferred inland, to prevent the
+Chinese from co-operating with the Japanese, and to give the Japanese so
+long a march inland as to allow time for defensive measures. The
+Japanese pirates prevented the creation of a Chinese navy in this period
+by their continual threats to the coastal cities in which the shipyards
+lay. Not until much later, at a time of unrest in Japan in 1467, was
+there any peace from the Japanese pirates.
+
+The Japanese attacks were especially embarrassing for the Chinese
+government for one other reason. Large armies had to be kept all along
+China's northern border, from Manchuria to Central Asia. Food supplies
+could not be collected in north China which did not have enough
+surplusses. Canal transportation from Central China was not reliable, as
+the canals did not always have enough water and were often clogged by
+hundreds of ships. And even if canals were used, grain still had to be
+transported by land from the end of the canals to the frontier. The Ming
+government therefore, had organized an overseas flotilla of grain ships
+which brought grain from Central China directly to the front in
+Liao-tung and Manchuria. And these ships, vitally important, were so
+often attacked by the pirates, that this plan later had to be given up
+again.
+
+These activities along the coast led the Chinese to the belief that
+basically all foreigners who came by ships were "barbarians"; when
+towards the end of the Ming epoch the Japanese were replaced by
+Europeans who did not behave much differently and were also
+pirate-merchants, the nations of Western Europe, too, were regarded as
+"barbarians" and were looked upon with great suspicion. On the other
+side, continental powers, even if they were enemies, had long been
+regarded as "states", sometimes even as equals. Therefore, when at a
+much later time the Chinese came into contact with Russians, their
+attitude towards them was similar to that which they had taken towards
+other Asian continental powers.
+
+
+3 _Social legislation within the existing order_
+
+At the time when Chu Yüan-chang conquered Peking, in 1368, becoming the
+recognized emperor of China (Ming dynasty), it seemed as though he would
+remain a revolutionary in spite of everything. His first laws were
+directed against the rich. Many of the rich were compelled to migrate to
+the capital, Nanking, thus losing their land and the power based on it.
+Land was redistributed among poor peasants; new land registers were also
+compiled, in order to prevent the rich from evading taxation. The number
+of monks living in idleness was cut down and precisely determined; the
+possessions of the temples were reduced, land exempted from taxation
+being thus made taxable--all this, incidentally, although Chu had
+himself been a monk! These laws might have paved the way to social
+harmony and removed the worst of the poverty of the Mongol epoch. But
+all this was frustrated in the very first years of Chu's reign. The laws
+were only half carried into effect or not at all, especially in the
+hinterland of the present Shanghai. That region had been conquered by
+Chu at the very beginning of the Ming epoch; in it lived the wealthy
+landowners who had already been paying the bulk of the taxes under the
+Mongols. The emperor depended on this wealthy class for the financing of
+his great armies, and so could not be too hard on it.
+
+Chu Yüan-chang and his entourage were also unable to free themselves
+from some of the ideas of the Mongol epoch. Neither Chu, nor anybody
+else before and long after him discussed the possibility of a form of
+government other than that of a monarchy. The first ever to discuss this
+question, although very timidly, was Huang Tsung-hsi (1610-1695), at the
+end of the Ming dynasty. Chu's conception of an emperor was that of an
+absolute monarch, master over life and death of his subjects; it was
+formed by the Mongol emperors with their magnificence and the huge
+expenditure of their life in Peking; Chu was oblivious of the fact that
+Peking had been the capital of a vast empire embracing almost the whole
+of Asia, and expenses could well be higher than for a capital only of
+China. It did not occur to Chu and his supporters that they could have
+done without imperial state and splendour; on the contrary, they felt
+compelled to display it. At first Chu personally showed no excessive
+signs of this tendency, though they emerged later; but he conferred
+great land grants on all his relatives, friends, and supporters; he
+would give to a single person land sufficient for 20,000 peasant
+families; he ordered the payment of state pensions to members of the
+imperial family, just as the Mongols had done, and the total of these
+pension payments was often higher than the revenue of the region
+involved. For the capital alone over eight million _shih_ of grain had
+to be provided in payment of pensions--that is to say, more than 160,000
+tons! These pension payments were in themselves a heavy burden on the
+state; not only that, but they formed a difficult transport problem! We
+have no close figure of the total population at the beginning of the
+Ming epoch; about 1500 it is estimated to have been 53,280,000, and this
+population had to provide some 266,000,000 _shih_ in taxes. At the
+beginning of the Ming epoch the population and revenue must, however,
+have been smaller.
+
+The laws against the merchants and the restrictions under which the
+craftsmen worked, remained essentially as they had been under the Sung,
+but now the remaining foreign merchants of Mongol time also fell under
+these laws, and their influence quickly diminished. All craftsmen, a
+total of some 300,000 men with families, were still registered and had
+to serve the government in the capital for three months once every three
+years; others had to serve ten days per month, if they lived close by.
+They were a hereditary caste as were the professional soldiers, and not
+allowed to change their occupation except by special imperial
+permission. When a craftsman or soldier died, another family member had
+to replace him; therefore, families of craftsmen were not allowed to
+separate into small nuclear families, in which there might not always be
+a suitable male. Yet, in an empire as large as that of the Ming, this
+system did not work too well: craftsmen lost too much time in travelling
+and often succeeded in running away while travelling. Therefore, from
+1505 on, they had to pay a tax instead of working for the government,
+and from then on the craftsmen became relatively free.
+
+
+4 _Colonization and agricultural developments_
+
+As already mentioned, the Ming had to keep a large army along the
+northern frontiers. But they also had to keep armies in south China,
+especially in Yünnan. Here, the Mongol invasions of Burma and Thailand
+had brought unrest among the tribes, especially the Shan. The Ming did
+not hold Burma but kept it in a loose dependency as "tributary nation".
+In order to supply armies so far away from all agricultural surplus
+centres, the Ming resorted to the old system of "military colonies"
+which seems to have been invented in the second century B.C. and is
+still used even today (in Sinkiang). Soldiers were settled in camps
+called _ying_, and therefore there are so many place names ending with
+_ying_ in the outlying areas of China. They worked as state farmers and
+accumulated surplusses which were used in case of war in which these
+same farmers turned soldiers again. Many criminals were sent to these
+state farms, too. This system, especially in south China, transformed
+territories formerly inhabited by native tribes or uninhabited, into
+solidly Chinese areas. In addition to these military colonies, a steady
+stream of settlers from Central China and the coast continued to move
+into Kwangtung and Hunan provinces. They felt protected by the army
+against attacks by natives. Yet Ming texts are full of reports on major
+and minor clashes with the natives, from Kiangsi and Fukien to Kwangtung
+and Kwanghsi.
+
+But the production of military colonies was still not enough to feed the
+armies, and the government in Chu's time resorted to a new design. It
+promised to give merchants who transported grain from Central China to
+the borders, government salt certificates. Upon the receipt, the
+merchants could acquire a certain amount of salt and sell it with high
+profits. Soon, these merchants began to invest some of their capital in
+local land which was naturally cheap. They then attracted farmers from
+their home countries as tenants. The rent of the tenants, paid in form
+of grain, was then sold to the army, and the merchant's gains
+increased. Tenants could easily be found: the density of population in
+the Yangtze plains had further increased since the Sung time. This
+system of merchant colonization did not last long, because soon, in
+order to curb the profits of the merchants, money was given instead of
+salt certificates, and the merchants lost interest in grain transports.
+Thus, grain prices along the frontiers rose and the effectiveness of the
+armies was diminished.
+
+Although the history of Chinese agriculture is as yet only partially
+known, a number of changes in this field, which began to show up from
+Sung time on, seem to have produced an "agricultural revolution" in Ming
+time. We have already mentioned the Sung attempts to increase production
+near the big cities by deep-lying fields, cultivation on and in lakes.
+At the same time, there was an increase in cultivation of mountain
+slopes by terracing and by distributing water over the terraces in
+balanced systems. New irrigation machines, especially the so-called
+Persian wheel, were introduced in the Ming time. Perhaps the most
+important innovation, however, was the introduction of rice from
+Indo-China's kingdom Champa in 1012 into Fukien from where it soon
+spread. This rice had three advantages over ordinary Chinese rice: it
+was drought-resistant and could, therefore, be planted in areas with
+poor or even no irrigation. It had a great productivity, and it could be
+sown very early in the year. At first it had the disadvantage that it
+had a vegetation period of a hundred days. But soon, the Chinese
+developed a quick-growing Champa rice, and the speediest varieties took
+only sixty days from transplantation into the fields to the harvest.
+This made it possible to grow two rice harvests instead of only one and
+more than doubled the production. Rice varieties which grew again after
+being cut and produced a second, but very much smaller harvest,
+disappeared from now on. Furthermore, fish were kept in the ricefields
+and produced not only food for the farmers but also fertilized the
+fields, so that continuous cultivation of ricefields without any
+decrease in fertility became possible. Incidentally, fish control the
+malaria mosquitoes; although the Chinese did not know this fact, large
+areas in South China which had formerly been avoided by Chinese because
+of malaria, gradually became inhabitable.
+
+The importance of alternating crops was also discovered and from now on,
+the old system of fallow cultivation was given up and continuous
+cultivation with, in some areas, even more than one harvest per field
+per year, was introduced even in wheat-growing areas. Considering that
+under the fallow system from one half to one third of all fields
+remained uncultivated each year, the increase in production under the
+new system must have been tremendous. We believe that the population
+revolution which in China started about 1550, was the result of this
+earlier agrarian revolution. From the eighteenth century on we get
+reports on depletion of fields due to wrong application of the new
+system.
+
+Another plant deeply affected Chinese agriculture: cotton. It is often
+forgotten that, from very early times, the Chinese in the south had used
+kapok and similar fibres, and that the cocoons of different kinds of
+worms had been used for silk. Real cotton probably came from Bengal over
+South-East Asia first to the coastal provinces of China and spread
+quickly into Fukien and Kwangtung in Sung time.
+
+On the other side, cotton reached China through Central Asia, and
+already in the thirteenth century we find it in Shensi in north-western
+China. Farmers in the north could in many places grow cotton in summer
+and wheat in winter, and cotton was a high-priced product. They ginned
+the cotton with iron rods; a mechanical cotton gin was introduced not
+until later. The raw cotton was sold to merchants who transported it
+into the industrial centre of the time, the Yangtze valley, and who
+re-exported cotton cloth to the north. Raw cotton, loosened by the
+string of the bow (a method which was known since Sung), could now in
+the north also be used for quilts and padded winter garments.
+
+
+5 _Commercial and industrial developments_
+
+Intensivation and modernization of agriculture led to strong population
+increases especially in the Yangtze valley from Sung time on. Thus, in
+this area commerce and industry also developed most quickly.
+Urbanization was greatest here. Nanking, the new Ming capital, grew
+tremendously because of the presence of the court and administration,
+and even when later the capital was moved, Nanking continued to remain
+the cultural capital of China. The urban population needed textiles and
+food. From Ming time on, fashions changed quickly as soon as government
+regulations which determined colour and material of the dress of each
+social class were relaxed or as soon as they could be circumvented by
+bribery or ingenious devices. Now, only factories could produce the
+amounts which the consumers wanted. We hear of many men who started out
+with one loom and later ended up with over forty looms, employing many
+weavers. Shanghai began to emerge as a centre of cotton cloth
+production. A system of middle-men developed who bought raw cotton and
+raw silk from the producers and sold it to factories.
+
+Consumption in the Yangtze cities raised the value of the land around
+the cities. The small farmers who were squeezed out, migrated to the
+south. Absentee landlords in cities relied partly on migratory, seasonal
+labour supplied by small farmers from Chêkiang who came to the Yangtze
+area after they had finished their own harvest. More and more,
+vegetables and mulberries or cotton were planted in the vicinity of the
+cities. As rice prices went up quickly a large organization of rice
+merchants grew up. They ran large ships up to Hankow where they bought
+rice which was brought down from Hunan in river boats by smaller
+merchants. The small merchants again made contracts with the local
+gentry who bought as much rice from the producers as they could and sold
+it to these grain merchants. Thus, local grain prices went up and we
+hear of cases where the local population attacked the grain boats in
+order to prevent the depletion of local markets.
+
+Next to these grain merchants, the above-mentioned salt merchants have
+to be mentioned again. Their centre soon became the city of Hsin-an, a
+city on the border of Chêkiang and Anhuei, or in more general terms, the
+cities in the district of Hui-chou. When the grain transportation to the
+frontiers came to an end in early Ming time, the Hsin-an merchants
+specialized first in silver trade. Later in Ming time, they spread their
+activities all over China and often monopolized the salt, silver, rice,
+cotton, silk or tea businesses. In the sixteenth century they had
+well-established contacts with smugglers on the Fukien coast and brought
+foreign goods into the interior. Their home was also close to the main
+centres of porcelain production in Kiangsi which was exported to
+overseas and to the urban centres. The demand for porcelain had
+increased so much that state factories could not fulfil it. The state
+factories seem often to have suffered from a lack of labour: indented
+artisans were imported from other provinces and later sent back on state
+expenses or were taken away from other state industries. Thus, private
+porcelain factories began to develop, and in connection with quickly
+changing fashions a great diversification of porcelain occurred.
+
+One other industry should also be mentioned. With the development of
+printing, which will be discussed below, the paper industry was greatly
+stimulated. The state also needed special types of paper for the paper
+currency. Printing and book selling became a profitable business, and
+with the application of block print to textiles (probably first used in
+Sung time) another new field of commercial activity was opened.
+
+As already mentioned, silver in form of bars had been increasingly used
+as currency in Sung time. The yearly government production of silver was
+c. 10,000 kg. Mongol currency was actually based upon silver. The Ming,
+however, reverted to copper as basic unit, in addition to the use of
+paper money. This encouraged the use of silver for speculative purposes.
+
+The development of business changed the face of cities. From Sung time
+on, the division of cities into wards with gates which were closed
+during the night, began to break down. Ming cities had no more wards.
+Business was no more restricted to official markets but grew up in all
+parts of the cities. The individual trades were no more necessarily all
+in one street. Shops did not have to close at sunset. The guilds
+developed and in some cases were able to exercise locally some influence
+upon the officials.
+
+
+6 _Growth of the small gentry_
+
+With the spread of book printing, all kinds of books became easily
+accessible, including reprints of examination papers. Even businessmen
+and farmers increasingly learned to read and to write, and many people
+now could prepare themselves for the examinations. Attendance, however,
+at the examinations cost a good deal. The candidate had to travel to the
+local or provincial capital, and for the higher examinations to the
+capital of the country; he had to live there for several months and, as
+a rule, had to bribe the examiners or at least to gain the favour of
+influential people. There were many cases of candidates becoming
+destitute. Most of them were heavily in debt when at last they gained a
+position. They naturally set to work at once to pay their debts out of
+their salary, and to accumulate fresh capital to meet future
+emergencies. The salaries of officials were, however, so small that it
+was impossible to make ends meet; and at the same time every official
+was liable with his own capital for the receipt in full of the taxes for
+the collection of which he was responsible. Consequently every official
+began at once to collect more taxes than were really due, so as to be
+able to cover any deficits, and also to cover his own cost of
+living--including not only the repayment of his debts but the
+acquisition of capital or land so as to rise in the social scale. The
+old gentry had been rich landowners, and had had no need to exploit the
+peasants on such a scale.
+
+The Chinese empire was greater than it had been before the Mongol epoch,
+and the population was also greater, so that more officials were needed.
+Thus in the Ming epoch there began a certain democratization, larger
+sections of the population having the opportunity of gaining government
+positions; but this democratization brought no benefit to the general
+population but resulted in further exploitation of the peasants.
+
+The new "small gentry" did not consist of great families like the
+original gentry. When, therefore, people of that class wanted to play a
+political part in the central government, or to gain a position there,
+they had either to get into close touch with one of the families of the
+gentry, or to try to approach the emperor directly. In the immediate
+entourage of the emperor, however, were the eunuchs. A good many members
+of the new class had themselves castrated after they had passed their
+state examination. Originally eunuchs were forbidden to acquire
+education. But soon the Ming emperors used the eunuchs as a tool to
+counteract the power of gentry cliques and thus to strengthen their
+personal power. When, later, eunuchs controlled appointments to
+government posts, long established practices of bureaucratic
+administration were eliminated and the court, i.e. the emperor and his
+tools, the eunuchs, could create a rule by way of arbitrary decisions, a
+despotic rule. For such purposes, eunuchs had to have education, and
+these new educated eunuchs, when they had once secured a position, were
+able to gain great influence in the immediate entourage of the emperor;
+later such educated eunuchs were preferred, especially as many offices
+were created which were only filled by eunuchs and for which educated
+eunuchs were needed. Whole departments of eunuchs came into existence at
+court, and these were soon made use of for confidential business of the
+emperor's outside the palace.
+
+These eunuchs worked, of course, in the interest of their families. On
+the other hand, they were very ready to accept large bribes from the
+gentry for placing the desires of people of the gentry before the
+emperor and gaining his consent. Thus the eunuchs generally accumulated
+great wealth, which they shared with their small gentry relatives. The
+rise of the small gentry class was therefore connected with the
+increased influence of the eunuchs at court.
+
+
+7 _Literature, art, crafts_
+
+The growth of the small gentry which had its stronghold in the
+provincial towns and cities, as well as the rise of the merchant class
+and the liberation of the artisans, are reflected in the new literature
+of Ming time. While the Mongols had developed the theatre, the novel may
+be regarded as the typical Ming creation. Its precursors were the
+stories of story-tellers centuries ago. They had developed many styles,
+one of which, for instance, consisted of prose with intercalated poetic
+parts (_pien-wen_). Buddhists monks had used these forms of popular
+literature and spread their teachings in similar forms; due to them,
+many Indian stories and tales found their way into the Chinese
+folklore. Soon, these stories of story-tellers or monks were written
+down, and out of them developed the Chinese classical novel. It
+preserved many traits of the stories: it was cut into chapters
+corresponding with the interruptions which the story-teller made in
+order to collect money; it was interspersed with poems. But most of all,
+it was written in everyday language, not in the language of the gentry.
+To this day every Chinese knows and reads with enthusiasm
+_Shui-hu-chuan_ ("The Story of the River Bank"), probably written about
+1550 by Wang Tao-k'un, in which the ruling class was first described in
+its decay. Against it are held up as ideals representatives of the
+middle class in the guise of the gentleman brigand. Every Chinese also
+knows the great satirical novel _Hsi-yu-chi_ ("The Westward Journey"),
+by Feng Mêng-lung (1574-1645), in which ironical treatment is meted out
+to all religions and sects against a mythological background, with a
+freedom that would not have been possible earlier. The characters are
+not presented as individuals but as representatives of human types: the
+intellectual, the hedonist, the pious man, and the simpleton, are drawn
+with incomparable skill, with their merits and defects. A third famous
+novel is _San-kuo yen-i_ ("The Tale of the Three Kingdoms"), by Lo
+Kuan-chung. Just as the European middle class read with avidity the
+romances of chivalry, so the comfortable class in China was enthusiastic
+over romanticized pictures of the struggle of the gentry in the third
+century. "The Tale of the Three Kingdoms" became the model for countless
+historical novels of its own and subsequent periods. Later, mainly in
+the sixteenth century, the sensational and erotic novel developed, most
+of all in Nanking. It has deeply influenced Japanese writers, but was
+mercilessly suppressed by the Chinese gentry which resented the
+frivolity of this wealthy and luxurious urban class of middle or small
+gentry families who associated with rich merchants, actors, artists and
+musicians. Censorship of printed books had started almost with the
+beginning of book printing as a private enterprise: to the famous
+historian, anti-Buddhist and conservative Ou-yang Hsiu (1007-1072), the
+enemy of Wang An-shih, belongs the sad glory of having developed the
+first censorship rules. Since Ming time, it became a permanent feature
+of Chinese governments.
+
+The best known of the erotic novels is the _Chin-p'ing-mei_ which, for
+reasons of our own censors can be published only in expurgated
+translations. It was written probably towards the end of the sixteenth
+century. This novel, as all others, has been written and re-written by
+many authors, so that many different versions exist. It might be pointed
+out that many novels were printed in Hui-chou, the commercial centre of
+the time.
+
+The short story which formerly served the entertainment of the educated
+only and which was, therefore, written in classical Chinese, now also
+became a literary form appreciated by the middle classes. The collection
+_Chin-ku ch'i-kuan_ ("Strange Stories of New Times and Old"), compiled
+by Feng Meng-lung, is the best-known of these collections in vernacular
+Chinese.
+
+Little original work was done in the Ming epoch in the fields generally
+regarded as "literature" by educated Chinese, those of poetry and the
+essay. There are some admirable essays, but these are only isolated
+examples out of thousands. So also with poetry: the poets of the gentry,
+united in "clubs", chose the poets of the Sung epoch as their models to
+emulate.
+
+The Chinese drama made further progress in the Ming epoch. Many of the
+finest Chinese dramas were written under the Ming; they are still
+produced again and again to this day. The most famous dramatists of the
+Ming epoch are Wang Shih-chen (1526-1590) and T'ang Hsien-tsu
+(1556-1617). T'ang wrote the well-known drama _Mu-tan-t'ing_ ("The Peony
+Pavillion"), one of the finest love-stories of Chinese literature, full
+of romance and remote from all reality. This is true also of the other
+dramas by T'ang, especially his "Four Dreams", a series of four plays.
+In them a man lives in dream through many years of his future life, with
+the result that he realizes the worthlessness of life and decides to
+become a monk.
+
+Together with the development of the drama (or, rather, the opera) in
+the Ming epoch went an important endeavour in the modernization of
+music, the attempt to create a "well-tempered scale" made in 1584 by Chu
+Tsai-yü. This solved in China a problem which was not tackled till later
+in Europe. The first Chinese theorists of music who occupied themselves
+with this problem were Ching Fang (77-37 B.C.) and Ho Ch'êng-t'ien (A.D.
+370-447).
+
+In the Mongol epoch, most of the Chinese painters had lived in central
+China; this remained so in the Ming epoch. Of the many painters of the
+Ming epoch, all held in high esteem in China, mention must be made
+especially of Ch'iu Ying (_c._ 1525), T'ang Yin (1470-1523), and Tung
+Ch'i-ch'ang (1555-1636). Ch'iu Ying painted in the Academic Style,
+indicating every detail, however small, and showing preference for a
+turquoise-green ground. T'ang Yin was the painter of elegant women; Tung
+became famous especially as a calligraphist and a theoretician of the
+art of painting; a textbook of the art was written by him.
+
+Just as puppet plays and shadow theatre are the "opera of the common
+man" and took a new development in Ming time, the wood-cut and
+block-printing developed largely as a cheap substitute of real
+paintings. The new urbanites wanted to have paintings of the masters and
+found in the wood-cut which soon became a multi-colour print a cheap
+mass medium. Block printing in colours, developed in the Yangtze valley,
+was adopted by Japan and found its highest refinement there. But the
+Ming are also famous for their monumental architecture which largely
+followed Mongol patterns. Among the most famous examples is the famous
+Great Wall which had been in dilapidation and was rebuilt; the great
+city walls of Peking; and large parts of the palaces of Peking, begun in
+the Mongol epoch. It was at this time that the official style which we
+may observe to this day in North China was developed, the style employed
+everywhere, until in the age of concrete it lost its justification.
+
+In the Ming epoch the porcelain with blue decoration on a white ground
+became general; the first examples, from the famous kilns in
+Ching-te-chen, in the province of Kiangsi, were relatively coarse, but
+in the fifteenth century the production was much finer. In the sixteenth
+century the quality deteriorated, owing to the disuse of the cobalt from
+the Middle East (perhaps from Persia) in favour of Sumatra cobalt, which
+did not yield the same brilliant colour. In the Ming epoch there also
+appeared the first brilliant red colour, a product of iron, and a start
+was then made with three-colour porcelain (with lead glaze) or
+five-colour (enamel). The many porcelains exported to western Asia and
+Europe first influenced European ceramics (Delft), and then were
+imitated in Europe (Böttger); the early European porcelains long showed
+Chinese influence (the so-called onion pattern, blue on a white ground).
+In addition to the porcelain of the Ming epoch, of which the finest
+specimens are in the palace at Istanbul, especially famous are the
+lacquers (carved lacquer, lacquer painting, gold lacquer) of the Ming
+epoch and the cloisonné work of the same period. These are closely
+associated with the contemporary work in Japan.
+
+
+8 _Politics at court_
+
+After the founding of the dynasty by Chu Yüan-chang, important questions
+had to be dealt with apart from the social legislation. What was to be
+done, for instance, with Chu's helpers? Chu, like many revolutionaries
+before and after him, recognized that these people had been serviceable
+in the years of struggle but could no longer remain useful. He got rid
+of them by the simple device of setting one against another so that they
+murdered one another. In the first decades of his rule the dangerous
+cliques of gentry had formed again, and were engaged in mutual
+struggles. The most formidable clique was led by Hu Wei-yung. Hu was a
+man of the gentry of Chu's old homeland, and one of his oldest
+supporters. Hu and his relations controlled the country after 1370,
+until in 1380 Chu succeeded in beheading Hu and exterminating his
+clique. New cliques formed before long and were exterminated in turn.
+
+Chu had founded Nanking in the years of revolution, and he made it his
+capital. In so doing he met the wishes of the rich grain producers of
+the Yangtze delta. But the north was the most threatened part of his
+empire, so that troops had to be permanently stationed there in
+considerable strength. Thus Peking, where Chu placed one of his sons as
+"king", was a post of exceptional importance.
+
+In Chu Yüan-chang's last years (he was named T'ai Tsu as emperor)
+difficulties arose in regard to the dynasty. The heir to the throne died
+in 1391; and when the emperor himself died in 1398, the son of the late
+heir-apparent was installed as emperor (Hui Ti, 1399-1402). This choice
+had the support of some of the influential Confucian gentry families of
+the south. But a protest against his enthronement came from the other
+son of Chu Yüan-chang, who as king in Peking had hoped to become
+emperor. With his strong army this prince, Ch'eng Tsu, marched south and
+captured Nanking, where the palaces were burnt down. There was a great
+massacre of supporters of the young emperor, and the victor made himself
+emperor (better known under his reign name, Yung-lo). As he had
+established himself in Peking, he transferred the capital to Peking,
+where it remained throughout the Ming epoch. Nanking became a sort of
+subsidiary capital.
+
+This transfer of the capital to the north, as the result of the victory
+of the military party and Buddhists allied to them, produced a new
+element of instability: the north was of military importance, but the
+Yangtze region remained the economic centre of the country. The
+interests of the gentry of the Yangtze region were injured by the
+transfer. The first Ming emperor had taken care to make his court
+resemble the court of the Mongol rulers, but on the whole had exercised
+relative economy. Yung-lo (1403-1424), however, lived in the actual
+palaces of the Mongol rulers, and all the luxury of the Mongol epoch was
+revived. This made the reign of Yung-lo the most magnificent period of
+the Ming epoch, but beneath the surface decay had begun. Typical of the
+unmitigated absolutism which developed now, was the word of one of the
+emperor's political and military advisors, significantly a Buddhist
+monk: "I know the way of heaven. Why discuss the hearts of the people?"
+
+
+9 _Navy. Southward expansion_
+
+After the collapse of Mongol rule in Indo-China, partly through the
+simple withdrawal of the Mongols, and partly through attacks from
+various Chinese generals, there were independence movements in
+south-west China and Indo-China. In 1393 wars broke out in Annam.
+Yung-lo considered that the time had come to annex these regions to
+China and so to open a new field for Chinese trade, which was suffering
+continual disturbance from the Japanese. He sent armies to Yünnan and
+Indo-China; at the same time he had a fleet built by one of his eunuchs,
+Cheng Ho. The fleet was successfully protected from attack by the
+Japanese. Cheng Ho, who had promoted the plan and also carried it out,
+began in 1405 his famous mission to Indo-China, which had been envisaged
+as giving at least moral support to the land operations, but was also
+intended to renew trade connections with Indo-China, where they had been
+interrupted by the collapse of Mongol rule. Cheng Ho sailed past
+Indo-China and ultimately reached the coast of Arabia. His account of
+his voyage is an important source of information about conditions in
+southern Asia early in the fifteenth century. Cheng Ho and his fleet
+made some further cruises, but they were discontinued. There may have
+been several reasons. (1) As state enterprises, the expeditions were
+very costly. Foreign goods could be obtained more cheaply and with less
+trouble if foreign merchants came themselves to China or Chinese
+merchants travelled at their own risk. (2) The moral success of the
+naval enterprises was assured. China was recognized as a power
+throughout southern Asia, and Annam had been reconquered. (3) After the
+collapse of the Mongol emperor Timur, who died in 1406, there no longer
+existed any great power in Central Asia, so that trade missions from the
+kingdom of the Shahruk in North Persia were able to make their way to
+China, including the famous mission of 1409-1411. (4) Finally, the fleet
+would have had to be permanently guarded against the Japanese, as it had
+been stationed not in South China but in the Yangtze region. As early as
+1411 the canals had been repaired, and from 1415 onward all the traffic
+of the country went by the canals, so evading the Japanese peril. This
+ended the short chapter of Chinese naval history.
+
+These travels of Cheng Ho seem to have had one more cultural result: a
+large number of fairy-tales from the Middle East were brought to China,
+or at all events reached China at that time. The Chinese, being a
+realistically-minded people, have produced few fairy-tales of their own.
+The bulk of their finest fairy-tales were brought by Buddhist monks, in
+the course of the first millennium A.D., from India by way of Central
+Asia. The Buddhists made use of them to render their sermons more
+interesting and impressive. As time went on, these stories spread all
+over China, modified in harmony with the spirit of the people and
+adapted to the Chinese environment. Only the fables failed to strike
+root in China: the matter-of-fact Chinese was not interested in animals
+that talked and behaved to each other like human beings. In addition,
+however, to these early fairy-tales, there was another group of stories
+that did not spread throughout China, but were found only in the
+south-eastern coastal provinces. These came from the Middle East,
+especially from Persia. The fairy-tales of Indian origin spread not only
+to Central Asia but at the same time to Persia, where they found a very
+congenial soil. The Persians made radical changes in the stories and
+gave them the form in which they came to Europe by various
+routes--through North Africa to Spain and France; through
+Constantinople, Venice, or Genoa to France; through Russian Turkestan to
+Russia, Finland, and Sweden; through Turkey and the Balkans to Hungary
+and Germany. Thus the stories found a European home. And this same
+Persian form was carried by sea in Cheng Ho's time to South China. Thus
+we have the strange experience of finding some of our own finest
+fairy-tales in almost the same form in South China.
+
+
+10 _Struggles between cliques_
+
+Yung-lo's successor died early. Under the latter's son, the emperor
+Hsüan Tsung (1426-1435; reign name Hsüan-tê), fixed numbers of
+candidates were assigned for the state examinations. It had been found
+that almost the whole of the gentry in the Yangtze region sat at the
+examinations; and that at these examinations their representatives made
+sure, through their mutual relations, that only their members should
+pass, so that the candidates from the north were virtually excluded. The
+important military clique in the north protested against this, and a
+compromise was arrived at: at every examination one-third of the
+candidates must come from the north and two-thirds from the south. This
+system lasted for a long time, and led to many disputes.
+
+At his death Hsüan Tsung left the empire to his eight-year-old son Ying
+Tsung (1436-49 and 1459-64), who was entirely in the hands of the Yang
+clique, which was associated with his grandmother. Soon, however,
+another clique, led by the eunuch Wang Chen, gained the upper hand at
+court. The Mongols were very active at this time, and made several raids
+on the province of Shansi; Wang Chen proposed a great campaign against
+them, and in this campaign he took with him the young emperor, who had
+reached his twenty-first birthday in 1449. The emperor had grown up in
+the palace and knew nothing of the world outside; he was therefore glad
+to go with Wang Chen; but that eunuch had also lived in the palace and
+also knew nothing of the world, and in particular of war. Consequently
+he failed in the organization of reinforcements for his army, some
+100,000 strong; after a few brief engagements the Oirat-Mongol prince
+Esen had the imperial army surrounded and the emperor a prisoner. The
+eunuch Wang Chen came to his end, and his clique, of course, no longer
+counted. The Mongols had no intention of killing the emperor; they
+proposed to hold him to ransom, at a high price. The various cliques at
+court cared little, however, about their ruler. After the fall of the
+Wang clique there were two others, of which one, that of General Yü,
+became particularly powerful, as he had been able to repel a Mongol
+attack on Peking. Yü proclaimed a new emperor--not the captive emperor's
+son, a baby, but his brother, who became the emperor Ching Tsung. The
+Yang clique insisted on the rights of the imperial baby. From all this
+the Mongols saw that the Chinese were not inclined to spend a lot of
+money on their imperial captive. Accordingly they made an enormous
+reduction in the ransom demanded, and more or less forced the Chinese to
+take back their former emperor. The Mongols hoped that this would at
+least produce political disturbances by which they might profit, once
+the old emperor was back in Peking. And this did soon happen. At first
+the ransomed emperor was pushed out of sight into a palace, and Ching
+Tsung continued to reign. But in 1456 Ching Tsung fell ill, and a
+successor to him had to be chosen. The Yü clique wanted to have the son
+of Ching Tsung; the Yang clique wanted the son of the deposed emperor
+Ying Tsung. No agreement was reached, so that in the end a third clique,
+led by the soldier Shih Heng, who had helped to defend Peking against
+the Mongols, found its opportunity, and by a _coup d' état_ reinstated
+the deposed emperor Ying Tsung.
+
+This was not done out of love for the emperor, but because Shih Heng
+hoped that under the rule of the completely incompetent Ying Tsung he
+could best carry out a plan of his own, to set up his own dynasty. It is
+not so easy, however, to carry a conspiracy to success when there are
+several rival parties, each of which is ready to betray any of the
+others. Shih Heng's plan became known before long, and he himself was
+beheaded (1460).
+
+The next forty years were filled with struggles between cliques, which
+steadily grew in ferocity, particularly since a special office, a sort
+of secret police headquarters, was set up in the palace, with functions
+which it extended beyond the palace, with the result that many people
+were arrested and disappeared. This office was set up by the eunuchs and
+the clique at their back, and was the first dictatorial organ created in
+the course of a development towards despotism that made steady progress
+in these years.
+
+In 1505 Wu Tsung came to the throne, an inexperienced youth of fifteen
+who was entirely controlled by the eunuchs who had brought him up. The
+leader of the eunuchs was Liu Chin, who had the support of a group of
+people of the gentry and the middle class. Liu Chin succeeded within a
+year in getting rid of the eunuchs at court who belonged to other
+cliques and were working against him. After that he proceeded to
+establish his power. He secured in entirely official form the emperor's
+permission for him to issue all commands himself; the emperor devoted
+himself only to his pleasures, and care was taken that they should keep
+him sufficiently occupied to have no chance to notice what was going on
+in the country. The first important decree issued by Liu Chin resulted
+in the removal from office or the punishment or murder of over three
+hundred prominent persons, the leaders of the cliques opposed to him. He
+filled their posts with his own supporters, until all the higher posts
+in every department were in the hands of members of his group. He
+collected large sums of money which he quite openly extracted from the
+provinces as a special tax for his own benefit. When later his house was
+searched there were found 240,000 bars and 57,800 pieces of gold (a bar
+was equivalent of ten pieces), 791,800 ounces and 5,000,000 bars of
+silver (a bar was five ounces), three bushels of precious stones, two
+gold cuirasses, 3,000 gold rings, and much else--of a total value
+exceeding the annual budget of the state! The treasure was to have been
+used to finance a revolt planned by Liu Chin and his supporters.
+
+Among the people whom Liu Chin had punished were several members of the
+former clique of the Yang, and also the philosopher Wang Yang-ming, who
+later became so famous, a member of the Wang family which was allied to
+the Yang. In 1510 the Yang won over one of the eunuchs in the palace and
+so became acquainted with Liu Chin's plans. When a revolt broke out in
+western China, this eunuch (whose political allegiance was, of course,
+unknown to Liu Chin) secured appointment as army commander. With the
+army intended for the crushing of the revolt, Liu Chin's palace was
+attacked when he was asleep, and he and all his supporters were
+arrested. Thus the other group came into power in the palace, including
+the philosopher Wang Yang-ming (1473-1529). Liu Chin's rule had done
+great harm to the country, as enormous taxation had been expended for
+the private benefit of his clique. On top of this had been the young
+emperor's extravagance: his latest pleasures had been the building of
+palaces and the carrying out of military games; he constantly assumed
+new military titles and was burning to go to war.
+
+
+11 _Risings_
+
+The emperor might have had a good opportunity for fighting, for his
+misrule had resulted in a great popular rising which began in the west,
+in Szechwan, and then spread to the east. As always, the rising was
+joined by some ruined scholars, and the movement, which had at first
+been directed against the gentry as such, was turned into a movement
+against the government of the moment. No longer were all the wealthy and
+all officials murdered, but only those who did not join the movement. In
+1512 the rebels were finally overcome, not so much by any military
+capacity of the government armies as through the loss of the rebels'
+fleet of boats in a typhoon.
+
+In 1517 a new favourite of the emperor's induced him to make a great
+tour in the north, to which the favourite belonged. The tour and the
+hunting greatly pleased the emperor, so that he continued his
+journeying. This was the year in which the Portuguese Fernão Pires de
+Andrade landed in Canton--the first modern European to enter China.
+
+In 1518 Wang Yang-ming, the philosopher general, crushed a rising in
+Kiangsi. The rising had been the outcome of years of unrest, which had
+had two causes: native risings of the sort we described above, and loss
+for the gentry due to the transfer of the capital. The province of
+Kiangsi was a part of the Yangtze region, and the great landowners there
+had lived on the profit from their supplies to Nanking. When the capital
+was moved to Peking, their takings fell. They placed themselves under a
+prince who lived in Nanking. This prince regarded Wang Yang-ming's move
+into Kiangsi as a threat to him, and so rose openly against the
+government and supported the Kiangsi gentry. Wang Yang-ming defeated
+him, and so came into the highest favour with the incompetent emperor.
+When peace had been restored in Nanking, the emperor dressed himself up
+as an army commander, marched south, and made a triumphal entry into
+Nanking.
+
+One other aspect of Wang Yang-ming's expeditions has not yet been
+studied: he crushed also the so-called salt-merchant rebels in the
+southernmost part of Kiangsi and adjoining Kwangtung. These
+merchants-turned-rebels had dominated a small area, off and on since
+the eleventh century. At this moment, they seem to have had connections
+with the rich inland merchants of Hsin-an and perhaps also with
+foreigners. Information is still too scanty to give more details, but a
+local movement as persistent as this one deserves attention.
+
+Wang Yang-ming became acquainted as early as 1519 with the first
+European rifles, imported by the Portuguese who had landed in 1517. (The
+Chinese then called them Fu-lang-chi, meaning Franks. Wang was the first
+Chinese who spoke of the "Franks".) The Chinese had already had mortars
+which hurled stones, as early as the second century A.D. In the seventh
+or eighth century their mortars had sent stones of a couple of
+hundredweights some four hundred yards. There is mention in the eleventh
+century of cannon which apparently shot with a charge of a sort of
+gunpowder. The Mongols were already using true cannon in their sieges.
+In 1519, the first Portuguese were presented to the Chinese emperor in
+Nanking, where they were entertained for about a year in a hostel, a
+certain Lin Hsün learned about their rifles and copied them for Wang
+Yang-ming. In general, however, the Chinese had no respect for the
+Europeans, whom they described as "bandits" who had expelled the lawful
+king of Malacca and had now come to China as its representatives. Later
+they were regarded as a sort of Japanese, because they, too, practised
+piracy.
+
+
+12 _Machiavellism_
+
+All main schools of Chinese philosophy were still based on Confucius.
+Wang Yang-ming's philosophy also followed Confucius, but he liberated
+himself from the Neo-Confucian tendency as represented by Chu Hsi, which
+started in the Sung epoch and continued to rule in China in his time and
+after him; he introduced into Confucian philosophy the conception of
+"intuition". He regarded intuition as the decisive philosophic
+experience; only through intuition could man come to true knowledge.
+This idea shows an element of meditative Buddhism along lines which the
+philosopher Lu Hsiang-shan (1139-1192) had first developed, while
+classical Neo-Confucianism was more an integration of monastic Buddhism
+into Confucianism. Lu had felt himself close to Wang An-shih
+(1021-1086), and this whole school, representing the small gentry of the
+Yangtze area, was called the Southern or the Lin-ch'uan school,
+Lin-ch'uan in Kiangsi being Wang An-shih's home. During the Mongol
+period, a Taoist group, the _Cheng-i-chiao_ (Correct Unity Sect) had
+developed in Lin-ch'uan and had accepted some of the Lin-ch'uan
+school's ideas. Originally, this group was a continuation of Chang
+Ling's church Taosim. Through the _Cheng-i_ adherents, the Southern
+school had gained political influence on the despotic Mongol rulers. The
+despotic Yung-lo emperor had favoured the monk Tao-yen (_c_. 1338-1418)
+who had also Taoist training and proposed a philosophy which also
+stressed intuition. He was, incidentally, in charge of the compilation
+of the largest encyclopaedia ever written, the _Yung-lo ta-tien_,
+commissioned by the Yung-lo emperor.
+
+Wang Yang-ming followed the Lin-ch'uan tradition. The introduction of
+the conception of intuition, a highly subjective conception, into the
+system of a practical state philosophy like Confucianism could not but
+lead in the practice of the statesman to machiavellism. The statesman
+who followed the teaching of Wang Yang-ming had the opportunity of
+justifying whatever he did by his intuition.
+
+Wang Yang-ming failed to gain acceptance for his philosophy. His
+disciples also failed to establish his doctrine in China, because it
+served the interests of an individual despot against those of the gentry
+as a class, and the middle class, which might have formed a
+counterweight against them, was not yet politically ripe for the seizure
+of the opportunity here offered to it. In Japan, however, Wang's
+doctrine gained many followers, because it admirably served the
+dictatorial state system which had developed in that country.
+Incidentally, Chiang Kai-shek in those years in which he showed Fascist
+tendencies, also got interested in Wang Yang-ming.
+
+
+13 _Foreign relations in the sixteenth century_
+
+The feeble emperor Wu Tsung died in 1521, after an ineffective reign,
+without leaving an heir. The clique then in power at court looked among
+the possible pretenders for the one who seemed least likely to do
+anything, and their choice fell on the fifteen-year-old Shih Tsung, who
+was made emperor. The forty-five years of his reign were filled in home
+affairs with intrigues between the cliques at court, with growing
+distress in the country, and with revolts on a larger and larger scale.
+Abroad there were wars with Annam, increasing raids by the Japanese,
+and, above all, long-continued fighting against the famous Mongol ruler
+Yen-ta, from 1549 onward. At one time Yen-ta reached Peking and laid
+siege to it. The emperor, who had no knowledge of affairs, and to whom
+Yen-ta had been represented as a petty bandit, was utterly dismayed and
+ready to do whatever Yen-ta asked; in the end he was dissuaded from
+this, and an agreement was arrived at with Yen-ta for state-controlled
+markets to be set up along the frontier, where the Mongols could
+dispose of their goods against Chinese goods on very favourable terms.
+After further difficulties lasting many years, a compromise was arrived
+at: the Mongols were earning good profits from the markets, and in 1571
+Yen-ta accepted a Chinese title. On the Chinese side, this Mongol trade,
+which continued in rather different form in the Manchu epoch, led to the
+formation of a local merchant class in the frontier province of Shansi,
+with great experience in credit business; later the first Chinese
+bankers came almost entirely from this quarter.
+
+After a brief interregnum there came once more to the throne a
+ten-year-old boy, the emperor Shen Tsung (reign name Wan-li; 1573-1619).
+He, too, was entirely under the influence of various cliques, at first
+that of his tutor, the scholar Chang Chü-chan. About the time of the
+death, in 1582, of Yen-ta we hear for the first time of a new people. In
+1581 there had been unrest in southern Manchuria. The Mongolian tribal
+federation of the Tümet attacked China, and there resulted collisions
+not only with the Chinese but between the different tribes living there.
+In southern and central Manchuria were remnants of the Tungus Juchên.
+The Mongols had subjugated the Juchên, but the latter had virtually
+become independent after the collapse of Mongol rule over China. They
+had formed several tribal alliances, but in 1581-83 these fought each
+other, so that one of the alliances to all intents was destroyed. The
+Chinese intervened as mediators in these struggles, and drew a
+demarcation line between the territories of the various Tungus tribes.
+All this is only worth mention because it was from these tribes that
+there developed the tribal league of the Manchus, who were then to rule
+China for some three hundred years.
+
+In 1592 the Japanese invaded Korea. This was their first real effort to
+set foot on the continent, a purely imperialistic move. Korea, as a
+Chinese vassal, appealed for Chinese aid. At first the Chinese army had
+no success, but in 1598 the Japanese were forced to abandon Korea. They
+revenged themselves by intensifying their raids on the coast of central
+China; they often massacred whole towns, and burned down the looted
+houses. The fighting in Korea had its influence on the Tungus tribes: as
+they were not directly involved, it contributed to their further
+strengthening.
+
+The East India Company was founded in 1600. At this time, while the
+English were trying to establish themselves in India, the Chinese tried
+to gain increased influence in the south by wars in Annam, Burma, and
+Thailand (1594-1604). These wars were for China colonial wars, similar
+to the colonial fighting by the British in India. But there began to be
+defined already at that time in the south of Asia the outlines of the
+states as they exist at the present time.
+
+In 1601 the first European, the Jesuit Matteo Ricci, succeeded in
+gaining access to the Chinese court, through the agency of a eunuch. He
+made some presents, and the Chinese regarded his visit as a mission from
+Europe bringing tribute. Ricci was therefore permitted to remain in
+Peking. He was an astronomer and was able to demonstrate to his Chinese
+colleagues the latest achievements of European astronomy. In 1613, after
+Ricci's death, the Jesuits and some Chinese whom they had converted were
+commissioned to reform the Chinese calendar. In the time of the Mongols,
+Arabs had been at work in Peking as astronomers, and their influence had
+continued under the Ming until the Europeans came. By his astronomical
+labours Ricci won a place of honour in Chinese literature; he is the
+European most often mentioned.
+
+The missionary work was less effective. The missionaries penetrated by
+the old trade routes from Canton and Macao into the province of Kiangsi
+and then into Nanking. Kiangsi and Nanking were their chief centres.
+They soon realized that missionary activity that began in the lower
+strata would have no success; it was necessary to work from above,
+beginning with the emperor, and then, they hoped, the whole country
+could be converted to Christianity. When later the emperors of the Ming
+dynasty were expelled and fugitives in South China, one of the
+pretenders to the throne was actually converted--but it was politically
+too late. The missionaries had, moreover, mistaken ideas as to the
+nature of Chinese religion; we know today that a universal adoption of
+Christianity in China would have been impossible even if an emperor had
+personally adopted that foreign faith: there were emperors who had been
+interested in Buddhism or in Taoism, but that had been their private
+affair and had never prevented them, as heads of the state, from
+promoting the religious system which politically was the most
+expedient--that is to say, usually Confucianism. What we have said here
+in regard to the Christian mission at the Ming court is applicable also
+to the missionaries at the court of the first Manchu emperors, in the
+seventeenth century. Early in the eighteenth century missionary activity
+was prohibited--not for religious but for political reasons, and only
+under the pressure of the Capitulations in the nineteenth century were
+the missionaries enabled to resume their labours.
+
+
+14 _External and internal perils_
+
+Towards the end of the reign of Wan-li, about 1620, the danger that
+threatened the empire became more and more evident. The Manchus
+complained, no doubt with justice, of excesses on the part of Chinese
+officials; the friction constantly increased, and the Manchus began to
+attack the Chinese cities in Manchuria. In 1616, after his first
+considerable successes, their leader Nurhachu assumed the imperial
+title; the name of the dynasty was Tai Ch'ing (interpreted as "The great
+clarity", but probably a transliteration of a Manchurian word meaning
+"hero"). In 1618, the year in which the Thirty Years War started in
+Europe, the Manchus conquered the greater part of Manchuria, and in 1621
+their capital was Liaoyang, then the largest town in Manchuria.
+
+But the Manchu menace was far from being the only one. On the south-east
+coast a pirate made himself independent; later, with his family, he
+dominated Formosa and fought many battles with the Europeans there
+(European sources call him Coxinga). In western China there came a great
+popular rising, in which some of the natives joined, and which spread
+through a large part of the southern provinces. This rising was
+particularly sanguinary, and when it was ultimately crushed by the
+Manchus the province of Szechwan, formerly so populous, was almost
+depopulated, so that it had later to be resettled. And in the province
+of Shantung in the east there came another great rising, also very
+sanguinary, that of the secret society of the "White Lotus". We have
+already pointed out that these risings of secret societies were always a
+sign of intolerable conditions among the peasantry. This was now the
+case once more. All the elements of danger which we mentioned at the
+outset of this chapter began during this period, between 1610 and 1640,
+to develop to the full.
+
+Then there were the conditions in the capital itself. The struggles
+between cliques came to a climax. On the death of Shen Tsung (or Wan-li;
+1573-1619), he was succeeded by his son, who died scarcely a month
+later, and then by his sixteen-year-old grandson. The grandson had been
+from his earliest youth under the influence of a eunuch, Wei
+Chung-hsien, who had castrated himself. With the emperor's wet-nurse and
+other people, mostly of the middle class, this man formed a powerful
+group. The moment the new emperor ascended the throne, Wei was
+all-powerful. He began by murdering every eunuch who did not belong to
+his clique, and then murdered the rest of his opponents. Meanwhile the
+gentry had concluded among themselves a defensive alliance that was a
+sort of party; this party was called the Tung-lin Academy. It was
+confined to literati among the gentry, and included in particular the
+literati who had failed to make their way at court, and who lived on
+their estates in Central China and were trying to gain power themselves.
+This group was opposed to Wei Chung-hsien, who ruthlessly had every
+discoverable member murdered. The remainder went into hiding and
+organized themselves secretly under another name. As the new emperor had
+no son, the attempt was made to foist a son upon him; at his death in
+1627, eight women of the harem were suddenly found to be pregnant! He
+was succeeded by his brother, who was one of the opponents of Wei
+Chung-hsien and, with the aid of the opposing clique, was able to bring
+him to his end. The new emperor tried to restore order at court and in
+the capital by means of political and economic decrees, but in spite of
+his good intentions and his unquestionable capacity he was unable to
+cope with the universal confusion. There was insurrection in every part
+of the country. The gentry, organized in their "Academies", and secretly
+at work in the provinces, no longer supported the government; the
+central power no longer had adequate revenues, so that it was unable to
+pay the armies that should have marched against all the rebels and also
+against external enemies. It was clear that the dynasty was approaching
+its end, and the only uncertainty was as to its successor. The various
+insurgents negotiated or fought with each other; generals loyal to the
+government won occasional successes against the rebels; other generals
+went over to the rebels or to the Manchus. The two most successful
+leaders of bands were Li Tzŭ-ch'eng and Chang Hsien-chung. Li came from
+the province of Shensi; he had come to the fore during a disastrous
+famine in his country. The years around 1640 brought several widespread
+droughts in North China, a natural phenomenon that was repeated in the
+nineteenth century, when unrest again ensued. Chang Hsien-chung returned
+for a time to the support of the government, but later established
+himself in western China. It was typical, however, of all these
+insurgents that none of them had any great objective in view. They
+wanted to get enough to eat for themselves and their followers; they
+wanted to enrich themselves by conquest; but they were incapable of
+building up an ordered and new administration. Li ultimately made
+himself "king" in the province of Shensi and called his dynasty "Shun",
+but this made no difference: there was no distribution of land among the
+peasants serving in Li's army; no plan was set into operation for the
+collection of taxes; not one of the pressing problems was faced.
+
+Meanwhile the Manchus were gaining support. Almost all the Mongol
+princes voluntarily joined them and took part in the raids into North
+China. In 1637 the united Manchus and Mongols conquered Korea. Their
+power steadily grew. What the insurgents in China failed to achieve, the
+Manchus achieved with the aid of their Chinese advisers: they created a
+new military organization, the "Banner Organization". The men fit for
+service were distributed among eight "banners", and these banners became
+the basis of the Manchu state administration. By this device the
+Manchus emerged from the stage of tribal union, just as before them
+Turks and other northern peoples had several times abandoned the
+traditional authority of a hierarchy of tribal leaders, a system of
+ruling families, in favour of the authority, based on efficiency, of
+military leaders. At the same time the Manchus set up a central
+government with special ministries on the Chinese model. In 1638 the
+Manchus appeared before Peking, but they retired once more. Manchu
+armies even reached the province of Shantung. They were hampered by the
+death at the critical moment of the Manchu ruler Abahai (1626-1643). His
+son Fu Lin was not entirely normal and was barely six years old; there
+was a regency of princes, the most prominent among them being Prince
+Dorgon.
+
+Meanwhile Li Tzŭ-ch'êng broke through to Peking. The city had a strong
+garrison, but owing to the disorganization of the government the
+different commanders were working against each other; and the soldiers
+had no fighting spirit because they had had no pay for a long time. Thus
+the city fell, on April 24th, 1644, and the last Ming emperor killed
+himself. A prince was proclaimed emperor; he fled through western and
+southern China, continually trying to make a stand, but it was too late;
+without the support of the gentry he had no resource, and ultimately, in
+1659, he was compelled to flee into Burma.
+
+Thus Li Tzŭ-ch'êng was now emperor. It should have been his task rapidly
+to build up a government, and to take up arms against the other rebels
+and against the Manchus. Instead of this he behaved in such a way that
+he was unable to gain any support from the existing officials in the
+capital; and as there was no one among his former supporters who had any
+positive, constructive ideas, just nothing was done.
+
+This, however, improved the chances of all the other aspirants to the
+imperial throne. The first to realize this clearly, and also to possess
+enough political sagacity to avoid alienating the gentry, was General Wu
+San-kui, who was commanding on the Manchu front. He saw that in the
+existing conditions in the capital he could easily secure the imperial
+throne for himself if only he had enough soldiers. Accordingly he
+negotiated with the Manchu Prince Dorgon, formed an alliance with the
+Manchus, and with them entered Peking on June 6th, 1644. Li Tzŭ-ch'êng
+quickly looted the city, burned down whatever he could, and fled into
+the west, continually pursued by Wu San-kui. In the end he was abandoned
+by all his supporters and killed by peasants. The Manchus, however, had
+no intention of leaving Wu San-kui in power: they established themselves
+in Peking, and Wu became their general.
+
+
+
+(C) The Manchu Dynasty (1644-1911)
+
+
+1 _Installation of Manchus_
+
+The Manchus had gained the mastery over China owing rather to China's
+internal situation than to their military superiority. How was it that
+the dynasty could endure for so long, although the Manchus were not
+numerous, although the first Manchu ruler (Fu Lin, known under the rule
+name Shun-chih; 1644-1662) was a psychopathic youth, although there were
+princes of the Ming dynasty ruling in South China, and although there
+were strong groups of rebels all over the country? The Manchus were
+aliens; at that time the national feeling of the Chinese had already
+been awakened; aliens were despised. In addition to this, the Manchus
+demanded that as a sign of their subjection the Chinese should wear
+pigtails and assume Manchurian clothing (law of 1645). Such laws could
+not but offend national pride. Moreover, marriages between Manchus and
+Chinese were prohibited, and a dual government was set up, with Manchus
+always alongside Chinese in every office, the Manchus being of course in
+the superior position. The Manchu soldiers were distributed in military
+garrisons among the great cities, and were paid state pensions, which
+had to be provided by taxation. They were the master race, and had no
+need to work. Manchus did not have to attend the difficult state
+examinations which the Chinese had to pass in order to gain an
+appointment. How was it that in spite of all this the Manchus were able
+to establish themselves?
+
+The conquering Manchu generals first went south from eastern China, and
+in 1645 captured Nanking, where a Ming prince had ruled. The region
+round Nanking was the economic centre of China. Soon the Manchus were in
+the adjoining southern provinces, and thus they conquered the whole of
+the territory of the landowning gentry, who after the events of the
+beginning of the seventeenth century had no longer trusted the Ming
+rulers. The Ming prince in Nanking was just as incapable, and surrounded
+by just as evil a clique, as the Ming emperors of the past. The gentry
+were not inclined to defend him. A considerable section of the gentry
+were reduced to utter despair; they had no desire to support the Ming
+any longer; in their own interest they could not support the rebel
+leaders; and they regarded the Manchus as just a particular sort of
+"rebels". Interpreting the refusal of some Sung ministers to serve the
+foreign Mongols as an act of loyalty, it was now regarded as shameful to
+desert a dynasty when it came to an end and to serve the new ruler, even
+if the new régime promised to be better. Many thousands of officials,
+scholars, and great landowners committed suicide. Many books, often
+really moving and tragic, are filled with the story of their lives. Some
+of them tried to form insurgent bands with their peasants and went into
+the mountains, but they were unable to maintain themselves there. The
+great bulk of the élite soon brought themselves to collaborate with the
+conquerors when they were offered tolerable conditions. In the end the
+Manchus did not interfere in the ownership of land in central China.
+
+At the time when in Europe Louis XIV was reigning, the Thirty Years War
+was coming to an end, and Cromwell was carrying out his reforms in
+England, the Manchus conquered the whole of China. Chang Hsien-chung and
+Li Tzŭ-ch'êng were the first to fall; the pirate Coxinga lasted a little
+longer and was even able to plunder Nanking in 1659, but in 1661 he had
+to retire to Formosa. Wu San-kui, who meanwhile had conquered western
+China, saw that the situation was becoming difficult for him. His task
+was to drive out the last Ming pretenders for the Manchus. As he had
+already been opposed to the Ming in 1644, and as the Ming no longer had
+any following among the gentry, he could not suddenly work with them
+against the Manchus. He therefore handed over to the Manchus the last
+Ming prince, whom the Burmese had delivered up to him in 1661. Wu
+San-kui's only possible allies against the Manchus were the gentry. But
+in the west, where he was in power, the gentry counted for nothing; they
+had in any case been weaker in the west, and they had been decimated by
+the insurrection of Chang Hsien-chung. Thus Wu San-kui was compelled to
+try to push eastwards, in order to unite with the gentry of the Yangtze
+region against the Manchus. The Manchus guessed Wu San-kui's plan, and
+in 1673, after every effort at accommodation had failed, open war came.
+Wu San-kui made himself emperor, and the Manchus marched against him.
+Meanwhile, the Chinese gentry of the Yangtze region had come to terms
+with the Manchus, and they gave Wu San-kui no help. He vegetated in the
+south-west, a region too poor to maintain an army that could conquer all
+China, and too small to enable him to last indefinitely as an
+independent power. He was able to hold his own until his death,
+although, with the loss of the support of the gentry, he had had no
+prospect of final success. Not until 1681 was his successor, his
+grandson Wu Shih-fan, defeated. The end of the rule of Wu San-kui and
+his successor marked the end of the national governments of China; the
+whole country was now under alien domination, for the simple reason that
+all the opponents of the Manchus had failed. Only the Manchus were
+accredited with the ability to bring order out of the universal
+confusion, so that there was clearly no alternative but to put up with
+the many insults and humiliations they inflicted--with the result that
+the national feeling that had just been aroused died away, except where
+it was kept alive in a few secret societies. There will be more to say
+about this, once the works which were suppressed by the Manchus are
+published.
+
+In the first phase of the Manchu conquest the gentry had refused to
+support either the Ming princes or Wu San-kui, or any of the rebels, or
+the Manchus themselves. A second phase began about twenty years after
+the capture of Peking, when the Manchus won over the gentry by desisting
+from any interference with the ownership of land, and by the use of
+Manchu troops to clear away the "rebels" who were hostile to the gentry.
+A reputable government was then set up in Peking, free from eunuchs and
+from all the old cliques; in their place the government looked for
+Chinese scholars for its administrative posts. Literati and scholars
+streamed into Peking, especially members of the "Academies" that still
+existed in secret, men who had been the chief sufferers from the
+conditions at the end of the Ming epoch. The young emperor Sheng Tsu
+(1663-1722; K'ang-hsi is the name by which his rule was known, not his
+name) was keenly interested in Chinese culture and gave privileged
+treatment to the scholars of the gentry who came forward. A rapid
+recovery quite clearly took place. The disturbances of the years that
+had passed had got rid of the worst enemies of the people, the
+formidable rival cliques and the individuals lusting for power; the
+gentry had become more cautious in their behaviour to the peasants; and
+bribery had been largely stamped out. Finally, the empire had been
+greatly expanded. All these things helped to stabilize the regime of the
+Manchus.
+
+
+2 _Decline in the eighteenth century_
+
+The improvement continued until the middle of the eighteenth century.
+About the time of the French Revolution there began a continuous
+decline, slow at first and then gathering speed. The European works on
+China offer various reasons for this: the many foreign wars (to which we
+shall refer later) of the emperor, known by the name of his ruling
+period, Ch'ien-lung, his craze for building, and the irruption of the
+Europeans into Chinese trade. In the eighteenth century the court
+surrounded itself with great splendour, and countless palaces and other
+luxurious buildings were erected, but it must be borne in mind that so
+great an empire as the China of that day possessed very considerable
+financial strength, and could support this luxury. The wars were
+certainly not inexpensive, as they took place along the Russian
+frontier and entailed expenditure on the transport of reinforcements and
+supplies; the wars against Turkestan and Tibet were carried on with
+relatively small forces. This expenditure should not have been beyond
+the resources of an ordered budget. Interestingly enough, the period
+between 1640 and 1840 belongs to those periods for which almost no
+significant work in the field of internal social and economic
+developments has been made; Western scholars have been too much
+interested in the impact of Western economy and culture or in the
+military events. Chinese scholars thus far have shown a prejudice
+against the Manchu dynasty and were mainly interested in the study of
+anti-Manchu movements and the downfall of the dynasty. On the other
+hand, the documentary material for this period is extremely extensive,
+and many years of work are necessary to reach any general conclusions
+even in one single field. The following remarks should, therefore, be
+taken as very tentative and preliminary, and they are, naturally,
+fragmentary.
+
+[Illustration: (Chart) POPULATION GROWTH OF CHINA]
+
+[Illustration: 14 Aborigines of South China, of the 'Black Miao' tribe,
+at a festival. China-ink drawing of the eighteenth century. _Collection
+of the Museum für Völkerkunde, Berlin. No. ID_ 8756, 68.]
+
+[Illustration: 15 Pavilion on the 'Coal Hill' at Peking, in which the
+last Ming emperor committed suicide. _Photo Eberhard_.]
+
+The decline of the Manchu dynasty began at a time when the European
+trade was still insignificant, and not as late as after 1842, when China
+had had to submit to the foreign Capitulations. These cannot have been
+the true cause of the decline. Above all, the decline was not so
+noticeable in the state of the Exchequer as in a general impoverishment
+of China. The number of really wealthy persons among the gentry
+diminished, but the middle class, that is to say the people who had
+education but little or no money and property, grew steadily in number.
+
+One of the deeper reasons for the decline of the Manchu dynasty seems to
+lie in the enormous increase in the population. Here are a few Chinese
+statistics:
+
+           _Year_                     _Population_
+
+  1578 (before the Manchus) 10,621,463 families or 60,692,856 individuals
+             1662           19,203,233 families   100,000,000 individuals *
+             1710           23,311,236 families   116,000,000 individuals *
+             1729           25,480,498 families   127,000,000 individuals *
+             1741                                 143,411,559 individuals
+             1754                                 184,504,493 individuals
+             1778                                 242,965,618 individuals
+             1796                                 275,662,414 individuals
+             1814                                 374,601,132 individuals
+             1850                                 414,493,899 individuals
+            (1953)                               (601,938,035 individuals)
+                                * Approximately
+
+It may be objected that these figures are incorrect and exaggerated.
+Undoubtedly they contain errors. But the first figure (for 1578) of some
+sixty millions is in close agreement with all other figures of early
+times; the figure for 1850 seems high, but cannot be far wrong, for even
+after the great T'ai P'ing Rebellion of 1851, which, together with its
+after-effects, costs the lives of countless millions, all statisticians
+of today estimate the population of China at more than four hundred
+millions. If we enter these data together with the census of 1953 into a
+chart (see p. 273), a fairly smooth curve emerges; the special features
+are that already under the Ming the population was increasing and,
+secondly, that the high rate of increase in the population began with
+the long period of internal peace since about 1700. From that time
+onwards, all China's wars were fought at so great a distance from China
+proper that the population was not directly affected. Moreover, in the
+seventeenth and eighteenth centuries the Manchus saw to the maintenance
+of the river dykes, so that the worst inundations were prevented. Thus
+there were not so many of the floods which had often cost the lives of
+many million people in China; and there were no internal wars, with
+their heavy cost in lives.
+
+But while the population increased, the tillage failed to increase in
+the needed proportion. I have, unfortunately, no statistics for all
+periods; but the general tendency is shown by the following table:
+
+    _Date_      _Cultivated area_        mou _per person_
+                   _in_ mou
+
+     1578          701,397,600                  11.6
+     1662          531,135,800
+     1719          663,113,200
+     1729          878,176,000                   6.1
+    (1953)      (1,627,930,000)                 (2.7)
+
+Six _mou_ are about one acre. In 1578, there were 66 _mou_ land per
+family of the total population. This was close to the figures regarded
+as ideal by Chinese early economists for the producing family (100
+_mou_) considering the fact that about 80 per cent of all families at
+that time were producers. By 1729 it was only 35 _mou_ per family, i.e.
+the land had to produce almost twice as much as before. We have shown
+that the agricultural developments in the Ming time greatly increased
+the productivity of the land. This then, obviously resulted in an
+increase of population. But by the middle of the eighteenth century,
+assuming that production doubled since the sixteenth century, population
+pressure was again as heavy as it had been then. And after _c_. 1750,
+population pressure continued to build up to the present time.
+
+Internal colonization continued during the Manchu time; there was a
+continuous, but slow flow of people into Kwangsi, Kweichou, Yünnan. In
+spite of laws which prohibited emigration, Chinese also moved into
+South-East Asia. Chinese settlement in Manchuria was allowed only in the
+last years of the Manchus. But such internal colonization or emigration
+could allevitate the pressure only in some areas, while it continued to
+build up in others.
+
+In Europe as well as in Japan, we find a strong population increase; in
+Europe at almost the same time as in China. But before population
+pressure became too serious in Europe or Japan, industry developed and
+absorbed the excess population. Thus, farms did not decrease too much in
+size. Too small farms are always and in many ways uneconomical. With the
+development of industries, the percentage of farm population decreased.
+In China, however, the farm population was still as high as 73.3 per
+cent of the total population in 1932 and the percentage rose to 81 per
+cent in 1950.
+
+From the middle of the seventeenth century on, commercial activities,
+especially along the coast, continued to increase and we find gentry
+families who equip sons who were unwilling or not capable to study and
+to enter the ranks of the officials, but who were too unruly to sit in
+villages and collect the rent from the tenants of the family, with money
+to enter business. The newly settled areas of Kwangtung and Kwangsi were
+ideal places for them: here they could sell Chinese products to the
+native tribes or to the new settlers at high prices. Some of these men
+introduced new techniques from the old provinces of China into the
+"colonial" areas and set up dye factories, textile factories, etc., in
+the new towns of the south. But the greatest stimulus for these
+commercial activities was foreign, European trade. American silver which
+had flooded Europe in the sixteenth century, began to flow into China
+from the beginning of the seventeenth century on. The influx was stopped
+not until between 1661 and 1684 when the government again prohibited
+coastal shipping and removed coastal settlements into the interior in
+order to stop piracy along the coasts of Fukien and independence
+movements on Formosa. But even during these twenty-three years, the
+price of silver was so low that home production was given up because it
+did not pay off. In the eighteenth century, silver again continued to
+enter China, while silk and tea were exported. This demand led to a
+strong rise in the prices of silk and tea, and benefited the merchants.
+When, from the late eighteenth century on, opium began to be imported,
+the silver left China again. The merchants profited this time from the
+opium trade, but farmers had to suffer: the price of silver went up, and
+taxes had to be paid in silver, while farm products were sold for
+copper. By 1835, the ounce of silver had a value of 2,000 copper coins
+instead of one thousand before 1800. High gains in commerce prevented
+investment in industries, because they would give lower and later
+profits than commerce. From the nineteenth century on, more and more
+industrial goods were offered by importers which also prevented
+industrialization. Finally, the gentry basically remained
+anti-industrial and anti-business. They tried to operate necessary
+enterprises such as mining, melting, porcelain production as far as
+possible as government establishments; but as the operators were
+officials, they were not too business-minded and these enterprises did
+not develop well. The businessmen certainly had enough capital, but they
+invested it in land instead of investing it in industries which could at
+any moment be taken away by the government, controlled by the officials
+or forced to sell at set prices, and which were always subject to
+exploitation by dishonest officials. A businessman felt secure only when
+he had invested in land, when he had received an official title upon the
+payment of large sums of money, or when he succeeded to push at least
+one of his sons into the government bureaucracy. No doubt, in spite of
+all this, Chinese business and industry kept on developing in the Manchu
+time, but they did not develop at such a speed as to transform the
+country from an agrarian into a modern industrial nation.
+
+
+3 _Expansion in Central Asia; the first State treaty_
+
+The rise of the Manchu dynasty actually began under the K'ang-hsi rule
+(1663-1722). The emperor had three tasks. The first was the removal of
+the last supporters of the Ming dynasty and of the generals, such as Wu
+San-kui, who had tried to make themselves independent. This necessitated
+a long series of campaigns, most of them in the south-west or south of
+China; these scarcely affected the population of China proper. In 1683
+Formosa was occupied and the last of the insurgent army commanders was
+defeated. It was shown above that the situation of all these leaders
+became hopeless as soon as the Manchus had occupied the rich Yangtze
+region and the intelligentsia and the gentry of that region had gone
+over to them.
+
+A quite different type of insurgent commander was the Mongol prince
+Galdan. He, too, planned to make himself independent of Manchu
+overlordship. At first the Mongols had readily supported the Manchus,
+when the latter were making raids into China and there was plenty of
+booty. Now, however, the Manchus, under the influence of the Chinese
+gentry whom they brought, and could not but bring, to their court, were
+rapidly becoming Chinese in respect to culture. Even in the time of
+K'ang-hsi the Manchus began to forget Manchurian; they brought tutors to
+court to teach the young Manchus Chinese. Later even the emperors did
+not understand Manchurian! As a result of this process, the Mongols
+became alienated from the Manchurians, and the situation began once more
+to be the same as at the time of the Ming rulers. Thus Galdan tried to
+found an independent Mongol realm, free from Chinese influence.
+
+The Manchus could not permit this, as such a realm would have threatened
+the flank of their homeland, Manchuria, and would have attracted those
+Manchus who objected to sinification. Between 1690 and 1696 there were
+battles, in which the emperor actually took part in person. Galdan was
+defeated. In 1715, however, there were new disturbances, this time in
+western Mongolia. Tsewang Rabdan, whom the Chinese had made khan of the
+Ölöt, rose against the Chinese. The wars that followed, extending far
+into Turkestan and also involving its Turkish population together with
+the Dzungars, ended with the Chinese conquest of the whole of Mongolia
+and of parts of eastern Turkestan. As Tsewang Rabdan had tried to extend
+his power as far as Tibet, a campaign was undertaken also into Tibet,
+Lhasa was occupied, a new Dalai Lama was installed there as supreme
+ruler, and Tibet was made into a protectorate. Since then Tibet has
+remained to this day under some form of Chinese colonial rule.
+
+This penetration of the Chinese into Turkestan took place just at the
+time when the Russians were enormously expanding their empire in Asia,
+and this formed the third problem for the Manchus. In 1650 the Russians
+had established a fort by the river Amur. The Manchus regarded the Amur
+(which they called the "River of the Black Dragon") as part of their own
+territory, and in 1685 they destroyed the Russian settlement. After this
+there were negotiations, which culminated in 1689 in the Treaty of
+Nerchinsk. This treaty was the first concluded by the Chinese state with
+a European power. Jesuit missionaries played a part in the negotiations
+as interpreters. Owing to the difficulties of translation the text of
+the treaty, in Chinese, Russian, and Manchurian, contained some
+obscurities, particulary in regard to the frontier line. Accordingly, in
+1727 the Russians asked for a revision of the old treaty. The Chinese
+emperor, whose rule name was Yung-cheng, arranged for the negotiations
+to be carried on at the frontier, in the town of Kyakhta, in Mongolia,
+where after long discussions a new treaty was concluded. Under this
+treaty the Russians received permission to set up a legation and a
+commercial agency in Peking, and also to maintain a church. This was the
+beginning of the foreign Capitulations. From the Chinese point of view
+there was nothing special in a facility of this sort. For some fifteen
+centuries all the "barbarians" who had to bring tribute had been given
+houses in the capital, where their envoys could wait until the emperor
+would receive them--usually on New Year's Day. The custom had sprung up
+at the reception of the Huns. Moreover, permission had always been given
+for envoys to be accompanied by a few merchants, who during the envoy's
+stay did a certain amount of business. Furthermore the time had been
+when the Uighurs were permitted to set up a temple of their own. At the
+time of the permission given to the Russians to set up a "legation", a
+similar office was set up (in 1729) for "Uighur" peoples (meaning
+Mohammedans), again under the control of an office, called the Office
+for Regulation of Barbarians. The Mohammedan office was placed under two
+Mohammedan leaders who lived in Peking. The Europeans, however, had
+quite different ideas about a "legation", and about the significance of
+permission to trade. They regarded this as the opening of diplomatic
+relations between states on terms of equality, and the carrying on of
+trade as a special privilege, a sort of Capitulation. This reciprocal
+misunderstanding produced in the nineteenth century a number of serious
+political conflicts. The Europeans charged the Chinese with breach of
+treaties, failure to meet their obligations, and other such things,
+while the Chinese considered that they had acted with perfect
+correctness.
+
+
+4 _Culture_
+
+In this K'ang-hsi period culture began to flourish again. The emperor
+had attracted the gentry, and so the intelligentsia, to his court
+because his uneducated Manchus could not alone have administered the
+enormous empire; and he showed great interest in Chinese culture,
+himself delved deeply into it, and had many works compiled, especially
+works of an encyclopaedic character. The encyclopaedias enabled
+information to be rapidly gained on all sorts of subjects, and thus were
+just what an interested ruler needed, especially when, as a foreigner,
+he was not in a position to gain really thorough instruction in things
+Chinese. The Chinese encyclopaedias of the seventeenth and especially of
+the eighteenth century were thus the outcome of the initiative of the
+Manchurian emperor, and were compiled for his information; they were not
+due, like the French encyclopaedias of the eighteenth century, to a
+movement for the spread of knowledge among the people. For this latter
+purpose the gigantic encyclopaedias of the Manchus, each of which fills
+several bookcases, were much too expensive and were printed in much too
+limited editions. The compilations began with the great geographical
+encyclopaedia of Ku Yen-wu (1613-1682), and attained their climax in the
+gigantic eighteenth-century encyclopaedia _T'u-shu chi-ch'eng,_
+scientifically impeccable in the accuracy of its references to sources.
+Here were already the beginnings of the "Archaeological School", built
+up in the course of the eighteenth century. This school was usually
+called "Han school" because the adherents went back to the commentaries
+of the classical texts written in Han time and discarded the orthodox
+explanations of Chu Hsi's school of Sung time. Later, its most prominent
+leader was Tai Chen (1723-1777). Tai was greatly interested in
+technology and science; he can be regarded as the first philosopher who
+exhibited an empirical, scientific way of thinking. Late nineteenth and
+early twentieth century Chinese scholarship is greatly obliged to him.
+
+The most famous literary works of the Manchu epoch belong once more to
+the field which Chinese do not regard as that of true literature--the
+novel, the short story, and the drama. Poetry did exist, but it kept to
+the old paths and had few fresh ideas. All the various forms of the Sung
+period were made use of. The essayists, too, offered nothing new, though
+their number was legion. One of the best known is Yüan Mei (1716-1797),
+who was also the author of the collection of short stories _Tse-pu-yü_
+("The Master did not tell"), which is regarded very highly by the
+Chinese. The volume of short stories entitled _Liao-chai chich-i_, by
+P'u Sung-lin (1640-1715?), is world-famous and has been translated into
+every civilized language. Both collections are distinguished by their
+simple but elegant style. The short story was popular among the greater
+gentry; it abandoned the popular style it had had in the Ming epoch, and
+adopted the polished language of scholars.
+
+The Manchu epoch has left to us what is by general consent the finest
+novel in Chinese literature, _Hung-lou-meng_ ("The Dream of the Red
+Chamber"), by Ts'ao Hsüeh-ch'in, who died in 1763. It describes the
+downfall of a rich and powerful family from the highest rank of the
+gentry, and the decadent son's love of a young and emotional lady of the
+highest circles. The story is clothed in a mystical garb that does
+something to soften its tragic ending. The interesting novel _Ju-lin
+wai-shih_ ("Private Reports from the Life of Scholars"), by Wu Ching-tzŭ
+(1701-1754), is a mordant criticism of Confucianism with its rigid
+formalism, of the social system, and of the examination system. Social
+criticism is the theme of many novels. The most modern in spirit of the
+works of this period is perhaps the treatment of feminism in the novel
+_Ching-hua-yüan_, by Li Yu-chên (d. 1830), which demanded equal rights
+for men and women.
+
+The drama developed quickly in the Manchu epoch, particularly in
+quantity, especially since the emperors greatly appreciated the theatre.
+A catalogue of plays compiled in 1781 contains 1,013 titles! Some of
+these dramas were of unprecedented length. One of them was played in 26
+parts containing 240 acts; a performance took two years to complete!
+Probably the finest dramas of the Manchu epoch are those of Li Yü (born
+1611), who also became the first of the Chinese dramatic critics. What
+he had to say about the art of the theatre, and about aesthetics in
+general, is still worth reading.
+
+About the middle of the nineteenth century the influence of Europe
+became more and more marked. Translation began with Yen Fu (1853-1921),
+who translated the first philosophical and scientific books and books on
+social questions and made his compatriots acquainted with Western
+thought. At the same time Lin Shu (1852-1924) translated the first
+Western short stories and novels. With these two began the new style,
+which was soon elaborated by Liang Ch'i-ch'ao, a collaborator of Sun
+Yat-sen's, and by others, and which ultimately produced the "literary
+revolution" of 1917. Translation has continued to this day; almost every
+book of outstanding importance in world literature is translated within
+a few months of its appearance, and on the average these translations
+are of a fairly high level.
+
+Particularly fine work was produced in the field of porcelain in the
+Manchu epoch. In 1680 the famous kilns in the province of Kiangsi were
+reopened, and porcelain that is among the most artistically perfect in
+the world was fired in them. Among the new colours were especially green
+shades (one group is known as _famille verte_), and also black and
+yellow compositions. Monochrome porcelain also developed further,
+including very fine dark blue, brilliant red (called "ox-blood"), and
+white. In the eighteenth century, however, there began an unmistakable
+decline, which has continued to this day, although there are still a few
+craftsmen and a few kilns that produce outstanding work (usually
+attempts to imitate old models), often in small factories.
+
+In painting, European influence soon shows itself. The best-known
+example of this is Lang Shih-ning, an Italian missionary whose original
+name was Giuseppe Castiglione (1688-1766); he began to work in China in
+1715. He learned the Chinese method of painting, but introduced a number
+of technical tricks of European painters, which were adopted in general
+practice in China, especially by the official court painters: the
+painting of the scholars who lived in seclusion remained uninfluenced.
+Dutch flower-painting also had some influence in China as early as the
+eighteenth century.
+
+The missionaries played an important part at court. The first Manchu
+emperors were as generous in this matter as the Mongols had been, and
+allowed the foreigners to work in peace. They showed special interest in
+the European science introduced by the missionaries; they had less
+sympathy for their religious message. The missionaries, for their part,
+sent to Europe enthusiastic accounts of the wonderful conditions in
+China, and so helped to popularize the idea that was being formed in
+Europe of an "enlightened", a constitutional, monarchy. The leaders of
+the Enlightenment read these reports with enthusiasm, with the result
+that they had an influence on the French Revolution. Confucius was found
+particularly attractive, and was regarded as a forerunner of the
+Enlightenment. The "Monadism" of the philosopher Leibniz was influenced
+by these reports.
+
+The missionaries gained a reputation at court as "scientists", and in
+this they were of service both to China and to Europe. The behaviour of
+the European merchants who followed the missions, spreading gradually in
+growing numbers along the coasts of China, was not by any means so
+irreproachable. The Chinese were certainly justified when they declared
+that European ships often made landings on the coast and simply looted,
+just as the Japanese had done before them. Reports of this came to the
+court, and as captured foreigners described themselves as "Christians"
+and also seemed to have some connection with the missionaries living at
+court, and as disputes had broken out among the missionaries themselves
+in connection with papal ecclesiastical policy, in the Yung-cheng period
+(1723-1736; the name of the emperor was Shih Tsung) Christianity was
+placed under a general ban, being regarded as a secret political
+organization.
+
+
+5 _Relations with the outer world_
+
+During the Yung-cheng period there was long-continued guerrilla fighting
+with natives in south-west China. The pressure of population in China
+sought an outlet in emigration. More and more Chinese moved into the
+south-west, and took the land from the natives, and the fighting was the
+consequence of this.
+
+At the beginning of the Ch'ien-lung period (1736-1796), fighting started
+again in Turkestan. Mongols, now called Kalmuks, defeated by the
+Chinese, had migrated to the Ili region, where after heavy fighting they
+gained supremacy over some of the Kazaks and other Turkish peoples
+living there and in western Turkestan. Some Kazak tribes went over to
+the Russians, and in 1735 the Russian colonialists founded the town of
+Orenburg in the western Kazak region. The Kalmuks fought the Chinese
+without cessation until, in 1739, they entered into an agreement under
+which they ceded half their territory to Manchu China, retaining only
+the Ili region. The Kalmuks subsequently reunited with other sections of
+the Kazaks against the Chinese. In 1754 peace was again concluded with
+China, but it was followed by raids on both sides, so that the Manchus
+determined to enter on a great campaign against the Ili region. This
+ended with a decisive victory for the Chinese (1755). In the years that
+followed, however, the Chinese began to be afraid that the various Kazak
+tribes might unite in order to occupy the territory of the Kalmuks,
+which was almost unpopulated owing to the mass slaughter of Kalmuks by
+the Chinese. Unrest began among the Mohammedans throughout the
+neighbouring western Turkestan, and the same Chinese generals who had
+fought the Kalmuks marched into Turkestan and captured the Mohammedan
+city states of Uch, Kashgar, and Yarkand.
+
+The reinforcements for these campaigns, and for the garrisons which in
+the following decades were stationed in the Ili region and in the west
+of eastern Turkestan, marched along the road from Peking that leads
+northward through Mongolia to the far distant Uliassutai and Kobdo. The
+cost of transport for one _shih_ (about 66 lb.) amounted to 120 pieces
+of silver. In 1781 certain economies were introduced, but between 1781
+and 1791 over 30,000 tons, making some 8 tons a day, was transported to
+that region. The cost of transport for supplies alone amounted in the
+course of time to the not inconsiderable sum of 120,000,000 pieces of
+silver. In addition to this there was the cost of the transported goods
+and of the pay of soldiers and of the administration. These figures
+apply to the period of occupation, of relative peace: during the actual
+wars of conquest the expenditure was naturally far higher. Thus these
+campaigns, though I do not think they brought actual economic ruin to
+China, were nevertheless a costly enterprise, and one which produced
+little positive advantage.
+
+In addition to this, these wars brought China into conflict with the
+European colonial powers. In the years during which the Chinese armies
+were fighting in the Ili region, the Russians were putting out their
+feelers in that direction, and the Chinese annals show plainly how the
+Russians intervened in the fighting with the Kalmuks and Kazaks. The Ili
+region remained thereafter a bone of contention between China and
+Russia, until it finally went to Russia, bit by bit, between 1847 and
+1881. The Kalmuks and Kazaks played a special part in Russo-Chinese
+relations. The Chinese had sent a mission to the Kalmuks farthest west,
+by the lower Volga, and had entered into relations with them, as early
+as 1714. As Russian pressure on the Volga region continually grew, these
+Kalmuks (mainly the Turgut tribe), who had lived there since 1630,
+decided to return into Chinese territory (1771). During this enormously
+difficult migration, almost entirely through hostile territory, a large
+number of the Turgut perished; 85,000, however, reached the Ili region,
+where they were settled by the Chinese on the lands of the eastern
+Kalmuks, who had been largely exterminated.
+
+In the south, too, the Chinese came into direct touch with the European
+powers. In 1757 the English occupied Calcutta, and in 1766 the province
+of Bengal. In 1767 a Manchu general, Ming Jui, who had been victorious
+in the fighting for eastern Turkestan, marched against Burma, which was
+made a dependency once more in 1769. And in 1790-1791 the Chinese
+conquered Nepal, south of Tibet, because Nepalese had made two attacks
+on Tibet. Thus English and Chinese political interests came here into
+contact.
+
+For the Ch'ien-lung period's many wars of conquest there seem to have
+been two main reasons. The first was the need for security. The Mongols
+had to be overthrown because otherwise the homeland of the Manchus was
+menaced; in order to make sure of the suppression of the eastern
+Mongols, the western Mongols (Kalmuks) had to be overthrown; to make
+them harmless, Turkestan and the Ili region had to be conquered; Tibet
+was needed for the security of Turkestan and Mongolia--and so on. Vast
+territories, however, were conquered in this process which were of no
+economic value, and most of which actually cost a great deal of money
+and brought nothing in. They were conquered simply for security. That
+advantage had been gained: an aggressor would have to cross great areas
+of unproductive territory, with difficult conditions for reinforcements,
+before he could actually reach China. In the second place, the Chinese
+may actually have noticed the efforts that were being made by the
+European powers, especially Russia and England, to divide Asia among
+themselves, and accordingly they made sure of their own good share.
+
+
+6 _Decline; revolts_
+
+The period of Ch'ien-lung is not only that of the greatest expansion of
+the Chinese empire, but also that of the greatest prosperity under the
+Manchu regime. But there began at the same time to be signs of internal
+decline. If we are to fix a particular year for this, perhaps it should
+be the year 1774, in which came the first great popular rising, in the
+province of Shantung. In 1775 there came another popular rising, in
+Honan--that of the "Society of the White Lotus". This society, which had
+long existed as a secret organization and had played a part in the Ming
+epoch, had been reorganized by a man named Liu Sung. Liu Sung was
+captured and was condemned to penal servitude. His followers, however,
+regrouped themselves, particularly in the province of Anhui. These
+risings had been produced, as always, by excessive oppression of the
+people by the government or the governing class. As, however, the anger
+of the population was naturally directed also against the idle Manchus
+of the cities, who lived on their state pensions, did no work, and
+behaved as a ruling class, the government saw in these movements a
+nationalist spirit, and took drastic steps against them. The popular
+leaders now altered their programme, and acclaimed a supposed descendant
+from the Ming dynasty as the future emperor. Government troops caught
+the leader of the "White Lotus" agitation, but he succeeded in escaping.
+In the regions through which the society had spread, there then began a
+sort of Inquisition, of exceptional ferocity. Six provinces were
+affected, and in and around the single city of Wuch'ang in four months
+more than 20,000 people were beheaded. The cost of the rising to the
+government ran into millions. In answer to this oppression, the popular
+leaders tightened their organization and marched north-west from the
+western provinces of which they had gained control. The rising was
+suppressed only by a very big military operation, and not until 1802.
+There had been very heavy fighting between 1793 and 1802--just when in
+Europe, in the French Revolution, another oppressed population won its
+freedom.
+
+The Ch'ien-lung emperor abdicated on New Year's Day, 1795, after ruling
+for sixty years. He died in 1799. His successor was Jen Tsung
+(1796-1821; reign name: Chia-ch'ing). In the course of his reign the
+rising of the "White Lotus" was suppressed, but in 1813 there began a
+new rising, this time in North China--again that of a secret
+organization, the "Society of Heaven's Law". One of its leaders bribed
+some eunuchs, and penetrated with a group of followers into the palace;
+he threw himself upon the emperor, who was only saved through the
+intervention of his son. At the same time the rising spread in the
+provinces. Once more the government succeeded in suppressing it and
+capturing the leaders. But the memory of these risings was kept alive
+among the Chinese people. For the government failed to realize that the
+actual cause of the risings was the general impoverishment, and saw in
+them a nationalist movement, thus actually arousing a national
+consciousness, stronger than in the Ming epoch, among the middle and
+lower classes of the people, together with hatred of the Manchus. They
+were held responsible for every evil suffered, regardless of the fact
+that similar evils had existed earlier.
+
+
+7 _European Imperialism in the Far East_
+
+With the Tao-kuang period (1821-1850) began a new period in Chinese
+history, which came to an end only in 1911.
+
+In foreign affairs these ninety years were marked by the steadily
+growing influence of the Western powers, aimed at turning China into a
+colony. Culturally this period was that of the gradual infiltration of
+Western civilization into the Far East; it was recognized in China that
+it was necessary to learn from the West. In home affairs we see the
+collapse of the dynasty and the destruction of the unity of the empire;
+of four great civil wars, one almost brought the dynasty to its end.
+North and South China, the coastal area and the interior, developed in
+different ways.
+
+Great Britain had made several attempts to improve her trade relations
+with China, but the mission of 1793 had no success, and that of 1816
+also failed. English merchants, like all foreign merchants, were only
+permitted to settle in a small area adjoining Canton and at Macao, and
+were only permitted to trade with a particular group of monopolists,
+known as the "Hong". The Hong had to pay taxes to the state, but they
+had a wonderful opportunity of enriching themselves. The Europeans were
+entirely at their mercy, for they were not allowed to travel inland, and
+they were not allowed to try to negotiate with other merchants, to
+secure lower prices by competition.
+
+The Europeans concentrated especially on the purchase of silk and tea;
+but what could they import into China? The higher the price of the goods
+and the smaller the cargo space involved, the better were the chances of
+profit for the merchants. It proved, however, that European woollens or
+luxury goods could not be sold; the Chinese would probably have been
+glad to buy food, but transport was too expensive to permit profitable
+business. Thus a new article was soon discovered--opium, carried from
+India to China: the price was high and the cargo space involved was very
+small. The Chinese were familiar with opium, and bought it readily.
+Accordingly, from 1800 onwards opium became more and more the chief
+article of trade, especially for the English, who were able to bring it
+conveniently from India. Opium is harmful to the people; the opium trade
+resulted in certain groups of merchants being inordinately enriched; a
+great deal of Chinese money went abroad. The government became
+apprehensive and sent Lin Tsê-hsü as its commissioner to Canton. In 1839
+he prohibited the opium trade and burned the chests of opium found in
+British possession. The British view was that to tolerate the Chinese
+action might mean the destruction of British trade in the Far East and
+that, on the other hand, it might be possible by active intervention to
+compel the Chinese to open other ports to European trade and to shake
+off the monopoly of the Canton merchants. In 1840 British ships-of-war
+appeared off the south-eastern coast of China and bombarded it. In 1841
+the Chinese opened negotiations and dismissed Lin Tsê-hsü. As the
+Chinese concessions were regarded as inadequate, hostilities continued;
+the British entered the Yangtze estuary and threatened Nanking. In this
+first armed conflict with the West, China found herself defenceless
+owing to her lack of a navy, and it was also found that the European
+weapons were far superior to those of the Chinese. In 1842 China was
+compelled to capitulate: under the Treaty of Nanking Hong Kong was ceded
+to Great Britain, a war indemnity was paid, certain ports were thrown
+open to European trade, and the monopoly was brought to an end. A great
+deal of opium came, however, into China through smuggling--regrettably,
+for the state lost the customs revenue!
+
+This treaty introduced the period of the Capitulations. It contained the
+dangerous clause which added most to China's misfortunes--the Most
+Favoured Nation clause, providing that if China granted any privilege to
+any other state, that privilege should also automatically be granted to
+Great Britain. In connection with this treaty it was agreed that the
+Chinese customs should be supervised by European consuls; and a trade
+treaty was granted. Similar treaties followed in 1844 with France and
+the United States. The missionaries returned; until 1860, however, they
+were only permitted to work in the treaty ports. Shanghai was thrown
+open in 1843, and developed with extraordinary rapidity from a town to a
+city of a million and a centre of world-wide importance.
+
+The terms of the Nanking Treaty were not observed by either side; both
+evaded them. In order to facilitate the smuggling, the British had
+permitted certain Chinese junks to fly the British flag. This also
+enabled these vessels to be protected by British ships-of-war from
+pirates, which at that time were very numerous off the southern coast
+owing to the economic depression. The Chinese, for their part, placed
+every possible obstacle in the way of the British. In 1856 the Chinese
+held up a ship sailing under the British flag, pulled down its flag, and
+arrested the crew on suspicion of smuggling. In connection with this and
+other events, Britain decided to go to war. Thus began the "Lorcha War"
+of 1857, in which France joined for the sake of the booty to be
+expected. Britain had just ended the Crimean War, and was engaged in
+heavy fighting against the Moguls in India. Consequently only a small
+force of a few thousand men could be landed in China; Canton, however,
+was bombarded, and also the forts of Tientsin. There still seemed no
+prospect of gaining the desired objectives by negotiation, and in 1860 a
+new expedition was fitted out, this time some 20,000 strong. The troops
+landed at Tientsin and marched on Peking; the emperor fled to Jehol and
+did not return; he died in 1861. The new Treaty of Tientsin (1860)
+provided for (a) the opening of further ports to European traders; (b)
+the session of Kowloon, the strip of land lying opposite Hong Kong; (c)
+the establishment of a British legation in Peking; (d) freedom of
+navigation along the Yangtze; (e) permission for British subjects to
+purchase land in China; (f) the British to be subject to their own
+consular courts and not to the Chinese courts; (g) missionary activity
+to be permitted throughout the country. In addition to this, the
+commercial treaty was revised, the opium trade was permitted once more,
+and a war indemnity was to be paid by China. In the eyes of Europe,
+Britain had now succeeded in turning China not actually into a colony,
+but at all events into a semi-colony; China must be expected soon to
+share the fate of India. China, however, with her very different
+conceptions of intercourse between states, did not realize the full
+import of these terms; some of them were regarded as concessions on
+unimportant points, which there was no harm in granting to the trading
+"barbarians", as had been done in the past; some were regarded as simple
+injustices, which at a given moment could be swept away by
+administrative action.
+
+But the result of this European penetration was that China's balance of
+trade was adverse, and became more and more so, as under the commercial
+treaties she could neither stop the importation of European goods nor
+set a duty on them; and on the other hand she could not compel
+foreigners to buy Chinese goods. The efflux of silver brought general
+impoverishment to China, widespread financial stringency to the state,
+and continuous financial crises and inflation. China had never had much
+liquid capital, and she was soon compelled to take up foreign loans in
+order to pay her debts. At that time internal loans were out of the
+question (the first internal loan was floated in 1894): the population
+did not even know what a state loan meant; consequently the loans had to
+be issued abroad. This, however, entailed the giving of securities,
+generally in the form of economic privileges. Under the Most Favoured
+Nation clause, however, these privileges had then to be granted to other
+states which had made no loans to China. Clearly a vicious spiral, which
+in the end could only bring disaster.
+
+The only exception to the general impoverishment, in which not only the
+peasants but the old upper classes were involved, was a certain section
+of the trading community and the middle class, which had grown rich
+through its dealings with the Europeans. These people now accumulated
+capital, became Europeanized with their staffs, acquired land from the
+impoverished gentry, and sent their sons abroad to foreign universities.
+They founded the first industrial undertakings, and learned European
+capitalist methods. This class was, of course, to be found mainly in the
+treaty ports in the south and in their environs. The south, as far north
+as Shanghai, became more modern and more advanced; the north made no
+advance. In the south, European ways of thought were learnt, and Chinese
+and European theories were compared. Criticism began. The first
+revolutionary societies were formed in this atmosphere in the south.
+
+
+8 _Risings in Turkestan and within China: the T'ai P'ing Rebellion_
+
+But the emperor Hsüan Tsung (reign name Tao-kuang), a man in poor health
+though not without ability, had much graver anxieties than those
+caused by the Europeans. He did not yet fully realize the seriousness of
+the European peril.
+
+[Illustration: 16 The imperial summer palace of the Manchu rulers, at
+Jehol. _Photo H. Hammer-Morrisson._]
+
+[Illustration: 17 Tower on the city wall of Peking. _Photo H.
+Hammer-Morris son_.]
+
+In Turkestan, where Turkish Mohammedans lived under Chinese rule,
+conditions were far from being as the Chinese desired. The Chinese, a
+fundamentally rationalistic people, regarded religion as a purely
+political matter, and accordingly required every citizen to take part in
+the official form of worship. Subject to that, he might privately belong
+to any other religion. To a Mohammedan, this was impossible and
+intolerable. The Mohammedans were only ready to practise their own
+religion, and absolutely refused to take part in any other. The Chinese
+also tried to apply to Turkestan in other matters the same legislation
+that applied to all China, but this proved irreconcilable with the
+demands made by Islam on its followers. All this produced continual
+unrest.
+
+Turkestan had had a feudal system of government with a number of feudal
+lords (_beg_), who tried to maintain their influence and who had the
+support of the Mohammedan population. The Chinese had come to Turkestan
+as soldiers and officials, to administer the country. They regarded
+themselves as the lords of the land and occupied themselves with the
+extraction of taxes. Most of the officials were also associated with the
+Chinese merchants who travelled throughout Turkestan and as far as
+Siberia. The conflicts implicit in this situation produced great
+Mohammedan risings in the nineteenth century. The first came in
+1825-1827; in 1845 a second rising flamed up, and thirty years later
+these revolts led to the temporary loss of the whole of Turkestan.
+
+In 1848, native unrest began in the province of Hunan, as a result of
+the constantly growing pressure of the Chinese settlers on the native
+population; in the same year there was unrest farther south, in the
+province of Kwangsi, this time in connection with the influence of the
+Europeans. The leader was a quite simple man of Hakka blood, Hung
+Hsiu-ch'üan (born 1814), who gathered impoverished Hakka peasants round
+him as every peasant leader had done in the past. Very often the nucleus
+of these peasant movements had been a secret society with a particular
+religious tinge; this time the peasant revolutionaries came forward as
+at the same time the preachers of a new religion of their own. Hung had
+heard of Christianity from missionaries (1837), and he mixed up
+Christian ideas with those of ancient China and proclaimed to his
+followers a doctrine that promised the Kingdom of God on earth. He
+called himself "Christ's younger brother", and his kingdom was to be
+called _T'ai P'ing_ ("Supreme Peace"). He made his first comrades,
+charcoal makers, local doctors, peddlers and farmers, into kings, and
+made himself emperor. At bottom the movement, like all similar ones
+before it, was not religious but social; and it produced a great
+response from the peasants. The programme of the T'ai P'ing, in some
+points influenced by Christian ideas but more so by traditional Chinese
+thought, was in many points revolutionary: (a) all property was communal
+property; (b) land was classified into categories according to its
+fertility and equally distributed among men and women. Every producer
+kept of the produce as much as he and his family needed and delivered
+the rest into the communal granary; (c) administration and tax systems
+were revised; (d) women were given equal rights: they fought together
+with men in the army and had access to official position. They had to
+marry, but monogamy was requested; (e) the use of opium, tobacco and
+alcohol was prohibited, prostitution was illegal; (f) foreigners were
+regarded as equals, capitulations as the Manchus had accepted were not
+recognized. A large part of the officials, and particularly of the
+soldiers sent against the revolutionaries, were Manchus, and
+consequently the movement very soon became a nationalist movement, much
+as the popular movement at the end of the Mongol epoch had done. Hung
+made rapid progress; in 1852 he captured Hankow, and in 1853 Nanking,
+the important centre in the east. With clear political insight he made
+Nanking his capital. In this he returned to the old traditions of the
+beginning of the Ming epoch, no doubt expecting in this way to attract
+support from the eastern Chinese gentry, who had no liking for a capital
+far away in the north. He made a parade of adhesion to the ancient
+Chinese tradition: his followers cut off their pigtails and allowed
+their hair to grow as in the past.
+
+He did not succeed, however, in carrying his reforms from the stage of
+sporadic action to a systematic reorganization of the country, and he
+also failed to enlist the elements needed for this as for all other
+administrative work, so that the good start soon degenerated into a
+terrorist regime.
+
+Hung's followers pressed on from Nanking, and in 1853-1855 they advanced
+nearly to Tientsin; but they failed to capture Peking itself.
+
+The new T'ai P'ing state faced the Europeans with big problems. Should
+they work with it or against it? The T'ai P'ing always insisted that
+they were Christians; the missionaries hoped now to have the opportunity
+of converting all China to Christianity. The T'ai P'ing treated the
+missionaries well but did not let them operate. After long hesitation
+and much vacillation, however, the Europeans placed themselves on the
+side of the Manchus. Not out of any belief that the T'ai P'ing movement
+was without justification, but because they had concluded treaties with
+the Manchu government and given loans to it, of which nothing would
+have remained if the Manchus had fallen; because they preferred the weak
+Manchu government to a strong T'ai P'ing government; and because they
+disliked the socialistic element in many of the measured adopted by the
+Tai P'ing.
+
+At first it seemed as if the Manchus would be able to cope unaided with
+the T'ai P'ing, but the same thing happened as at the end of the Mongol
+rule: the imperial armies, consisting of the "banners" of the Manchus,
+the Mongols, and some Chinese, had lost their military skill in the long
+years of peace; they had lost their old fighting spirit and were glad to
+be able to live in peace on their state pensions. Now three men came to
+the fore--a Mongol named Seng-ko-lin-ch'in, a man of great personal
+bravery, who defended the interests of the Manchu rulers; and two
+Chinese, Tsêng Kuo-fan (1811-1892) and Li Hung-chang (1823-1901), who
+were in the service of the Manchus but used their position simply to
+further the interests of the gentry. The Mongol saved Peking from
+capture by the T'ai P'ing. The two Chinese were living in central China,
+and there they recruited, Li at his own expense and Tsêng out of the
+resources at his disposal as a provincial governor, a sort of militia,
+consisting of peasants out to protect their homes from destruction by
+the peasants of the T'ai P'ing. Thus the peasants of central China, all
+suffering from impoverishment, were divided into two groups, one
+following the T'ai P'ing, the other following Tsêng Kuo-fan. Tsêng's
+army, too, might be described as a "national" army, because Tsêng was
+not fighting for the interests of the Manchus. Thus the peasants, all
+anti-Manchu, could choose between two sides, between the T'ai P'ing and
+Tsêng Kuo-fan. Although Tsêng represented the gentry and was thus
+against the simple common people, peasants fought in masses on his side,
+for he paid better, and especially more regularly. Tsêng, being a good
+strategist, won successes and gained adherents. Thus by 1856 the T'ai
+P'ing were pressed back on Nanking and some of the towns round it; in
+1864 Nanking was captured.
+
+While in the central provinces the T'ai P'ing rebellion was raging,
+China was suffering grave setbacks owing to the Lorcha War of 1856; and
+there were also great and serious risings in other parts of the country.
+In 1855 the Yellow River had changed its course, entering the sea once
+more at Tientsin, to the great loss of the regions of Honan and Anhui.
+In these two central provinces the peasant rising of the so-called "Nien
+Fei" had begun, but it only became formidable after 1855, owing to the
+increasing misery of the peasants. This purely peasant revolt was not
+suppressed by the Manchu government until 1868, after many collisions.
+Then, however, there began the so-called "Mohammedan risings". Here
+there are, in all, five movements to distinguish: (1) the Mohammedan
+rising in Kansu (1864-5); (2) the Salar movement in Shensi; (3) the
+Mohammedan revolt in Yünnan (1855-1873); (4) the rising in Kansu (1895);
+(5) the rebellion of Yakub Beg in Turkestan (from 1866 onward).
+
+While we are fairly well informed about the other popular risings of
+this period, the Mohammedan revolts have not yet been well studied. We
+know from unofficial accounts that these risings were suppressed with
+great brutality. To this day there are many Mohammedans in, for
+instance, Yünnan, but the revolt there is said to have cost a million
+lives. The figures all rest on very rough estimates: in Kansu the
+population is said to have fallen from fifteen millions to one million;
+the Turkestan revolt is said to have cost ten million lives. There are
+no reliable statistics; but it is understandable that at that time the
+population of China must have fallen considerably, especially if we bear
+in mind the equally ferocious suppression of the risings of the T'ai
+P'ing and the Nien Fei within China, and smaller risings of which we
+have made no mention.
+
+The Mohammedan risings were not elements of a general Mohammedan revolt,
+but separate events only incidentally connected with each other. The
+risings had different causes. An important factor was the general
+distress in China. This was partly due to the fact that the officials
+were exploiting the peasant population more ruthlessly than ever. In
+addition to this, owing to the national feeling which had been aroused
+in so unfortunate a way, the Chinese felt a revulsion against
+non-Chinese, such as the Salars, who were of Turkish race. Here there
+were always possibilities of friction, which might have been removed
+with a little consideration but which swelled to importance through the
+tactless behaviour of Chinese officials. Finally there came divisions
+among the Mohammedans of China which led to fighting between themselves.
+
+All these risings were marked by two characteristics. They had no
+general political aim such as the founding of a great and universal
+Islamic state. Separate states were founded, but they were too small to
+endure; they would have needed the protection of great states. But they
+were not moved by any pan-Islamic idea. Secondly, they all took place on
+Chinese soil, and all the Mohammedans involved, except in the rising of
+the Salars, were Chinese. These Chinese who became Mohammedans are
+called Dungans. The Dungans are, of course, no longer pure Chinese,
+because Chinese who have gone over to Islam readily form mixed
+marriages with Islamic non-Chinese, that is to say with Turks and
+Mongols.
+
+The revolt, however, of Yakub Beg in Turkestan had a quite different
+character. Yakub Beg (his Chinese name was An Chi-yeh) had risen to the
+Chinese governorship when he made himself ruler of Kashgar. In 1866 he
+began to try to make himself independent of Chinese control. He
+conquered Ili, and then in a rapid campaign made himself master of all
+Turkestan.
+
+His state had a much better prospect of endurance than the other
+Mohammedan states. He had full control of it from 1874. Turkestan was
+connected with China only by the few routes that led between the desert
+and the Tibetan mountains. The state was supported against China by
+Russia, which was continually pressing eastward, and in the south by
+Great Britain, which was pressing towards Tibet. Farther west was the
+great Ottoman empire; the attempt to gain direct contact with it was not
+hopeless in itself, and this was recognized at Istanbul. Missions went
+to and fro, and Turkish officers came to Yakub Beg and organized his
+army; Yakub Beg recognized the Turkish sultan as Khalif. He also
+concluded treaties with Russia and Great Britain. But in spite of all
+this he was unable to maintain his hold of Turkestan. In 1877 the famous
+Chinese general Tso Tsung-t'ang (1812-1885), who had fought against the
+T'ai P'ing and also against the Mohammedans in Kansu, marched into
+Turkestan and ended Yakub Beg's rule.
+
+Yakub was defeated, however, not so much by Chinese superiority as by a
+combination of circumstances. In order to build up his kingdom he was
+compelled to impose heavy taxation, and this made him unpopular with his
+own followers: they had had to pay taxes under the Chinese, but the
+Chinese collection had been much less rigorous than that of Yakub Beg.
+It was technically impossible for the Ottoman empire to give him any
+aid, even had its internal situation permitted it. Britain and Russia
+would probably have been glad to see a weakening of the Chinese hold
+over Turkestan, but they did not want a strong new state there, once
+they had found that neither of them could control the country while it
+was in Yakub Beg's hands. In 1881 Russia occupied the Ili region,
+Yakub's first conquest. In the end the two great powers considered it
+better for Turkestan to return officially into the hands of the weakened
+China, hoping that in practice they would be able to bring Turkestan
+more and more under their control. Consequently, when in 1880, three
+years after the removal of Yakub Beg, China sent a mission to Russia
+with the request for the return of the Ili region to her, Russia gave
+way, and the Treaty of Ili was concluded, ending for the time the
+Russian penetration of Turkestan. In 1882 the Manchu government raised
+Turkestan to a "new frontier" (Sinkiang) with a special administration.
+
+This process of colonial penetration of Turkestan continued. Until the
+end of the first world war there was no fundamental change in the
+situation in the country, owing to the rivalry between Great Britain and
+Russia. But after 1920 a period began in which Turkestan became almost
+independent, under a number of rulers of parts of the country. Then,
+from 1928 onward, a more and more thorough penetration by Russia began,
+so that by 1940 Turkestan could almost be called a Soviet Republic. The
+second world war diverted Russian attention to the West, and at the same
+time compelled the Chinese to retreat into the interior from the
+Japanese, so that by 1943 the country was more firmly held by the
+Chinese government than it had been for seventy years. After the
+creation of the People's Democracy mass immigration into Sinkiang began,
+in connection with the development of oil fields and of many new
+industries in the border area between Sinkiang and China proper. Roads
+and air communications opened Sinkiang. Yet, the differences between
+immigrant Chinese and local, Muslim Turks, continue to play a role.
+
+
+9 _Collision with Japan; further Capitulations_
+
+The reign of Wen Tsung (reign name Hsien-feng 1851-1861) was marked
+throughout by the T'ai P'ing and other rebellions and by wars with the
+Europeans, and that of Mu Tsung (reign name T'ung-chih: 1862-1874) by
+the great Mohammedan disturbances. There began also a conflict with
+Japan which lasted until 1945. Mu Tsung came to the throne as a child of
+five, and never played a part of his own. It had been the general rule
+for princes to serve as regents for minors on the imperial throne, but
+this time the princes concerned won such notoriety through their
+intrigues that the Peking court circles decided to entrust the regency
+to two concubines of the late emperor. One of these, called Tzŭ Hsi
+(born 1835), of the Manchu tribe of the Yehe-Nara, quickly gained the
+upper hand. The empress Tzŭ Hsi was one of the strongest personalities
+of the later nineteenth century who played an active part in Chinese
+political life. She played a more active part than any emperor had
+played for many decades.
+
+Meanwhile great changes had taken place in Japan. The restoration of the
+Meiji had ended the age of feudalism, at least on the surface. Japan
+rapidly became Westernized, and at the same time entered on an
+imperialist policy. Her aims from 1868 onward were clear, and remained
+unaltered until the end of the second World War: she was to be
+surrounded by a wide girdle of territories under Japanese domination, in
+order to prevent the approach of any enemy to the Japanese homeland.
+This girdle was divided into several zones--(1) the inner zone with the
+Kurile Islands, Sakhalin, Korea, the Ryukyu archipelago, and Formosa;
+(2) the outer zone with the Marianne, Philippine, and Caroline Islands,
+eastern China, Manchuria, and eastern Siberia; (3) the third zone, not
+clearly defined, including especially the Netherlands Indies,
+Indo-China, and the whole of China, a zone of undefined extent. The
+outward form of this subjugated region was to be that of the Greater
+Japanese Empire, described as the Imperium of the Yellow Race (the main
+ideas were contained in the Tanaka Memorandum 1927 and in the Tada
+Interview of 1936). Round Japan, moreover, a girdle was to be created of
+producers of raw materials and purchasers of manufactures, to provide
+Japanese industry with a market. Japan had sent a delegation of amity to
+China as early as 1869, and a first Sino-Japanese treaty was signed in
+1871; from then on, Japan began to carry out her imperialistic plans. In
+1874 she attacked the Ryukyu islands and Formosa on the pretext that
+some Japanese had been murdered there. Under the treaty of 1874 Japan
+withdrew once more, only demanding a substantial indemnity; but in 1876,
+in violation of the treaty and without a declaration of war, she annexed
+the Ryukyu Islands. In 1876 began the Japanese penetration into Korea;
+by 1885 she had reached the stage of a declaration that Korea was a
+joint sphere of interest of China and Japan; until then China's
+protectorate over Korea had been unchallenged. At the same time (1876)
+Great Britain had secured further Capitulations in the Chefoo
+Convention; in 1862 France had acquired Cochin China, in 1864 Cambodia,
+in 1874 Tongking, and in 1883 Annam. This led in 1884 to war between
+France and China, in which the French did not by any means gain an
+indubitable victory; but the Treaty of Tientsin left them with their
+acquisitions.
+
+Meanwhile, at the beginning of 1875, the young Chinese emperor died of
+smallpox, without issue. Under the influence of the two empresses, who
+still remained regents, a cousin of the dead emperor, the three-year-old
+prince Tsai T'ien was chosen as emperor Tê Tsung (reign name Kuang-hsü:
+1875-1909). He came of age in 1889 and took over the government of the
+country. The empress Tzŭ Hsi retired, but did not really relinquish the
+reins.
+
+In 1894 the Sino-Japanese War broke out over Korea, as an outcome of the
+undefined position that had existed since 1885 owing to the
+imperialistic policy of the Japanese. China had created a North China
+squadron, but this was all that can be regarded as Chinese preparation
+for the long-expected war. The Governor General of Chihli (now
+Hopei--the province in which Peking is situated), Li Hung-chang, was a
+general who had done good service, but he lost the war, and at
+Shimonoseki (1895) he had to sign a treaty on very harsh terms, in which
+China relinquished her protectorate over Korea and lost Formosa. The
+intervention of France, Germany, and Russia compelled Japan to content
+herself with these acquisitions, abandoning her demand for South
+Manchuria.
+
+
+10 _Russia in Manchuria_
+
+After the Crimean War, Russia had turned her attention once more to the
+East. There had been hostilities with China over eastern Siberia, which
+were brought to an end in 1858 by the Treaty of Aigun, under which China
+ceded certain territories in northern Manchuria. This made possible the
+founding of Vladivostok in 1860. Russia received Sakhalin from Japan in
+1875 in exchange for the Kurile Islands. She received from China the
+important Port Arthur as a leased territory, and then tried to secure
+the whole of South Manchuria. This brought Japan's policy of expansion
+into conflict with Russia's plans in the Far East. Russia wanted
+Manchuria in order to be able to pursue a policy in the Pacific; but
+Japan herself planned to march into Manchuria from Korea, of which she
+already had possession. This imperialist rivalry made war inevitable:
+Russia lost the war; under the Treaty of Portsmouth in 1905 Russia gave
+Japan the main railway through Manchuria, with adjoining territory. Thus
+Manchuria became Japan's sphere of influence and was lost to the Manchus
+without their being consulted in any way. The Japanese penetration of
+Manchuria then proceeded stage by stage, not without occasional
+setbacks, until she had occupied the whole of Manchuria from 1932 to
+1945. After the end of the second world war, Manchuria was returned to
+China, with certain reservations in favour of the Soviet Union, which
+were later revoked.
+
+
+11 _Reform and reaction: the Boxer Rising_
+
+China had lost the war with Japan because she was entirely without
+modern armament. While Japan went to work at once with all her energy to
+emulate Western industrialization, the ruling class in China had shown a
+marked repugnance to any modernization; and the centre of this
+conservatism was the dowager empress Tzŭ Hsi. She was a woman of strong
+personality, but too uneducated--in the modern sense--to be able to
+realize that modernization was an absolute necessity for China if it was
+to remain an independent state. The empress failed to realize that the
+Europeans were fundamentally different from the neighbouring tribes or
+the pirates of the past; she had not the capacity to acquire a general
+grasp of the realities of world politics. She felt instinctively that
+Europeanization would wreck the foundations of the power of the Manchus
+and the gentry, and would bring another class, the middle class and the
+merchants, into power.
+
+There were reasonable men, however, who had seen the necessity of
+reform--especially Li Hung-chang, who has already been mentioned. In
+1896 he went on a mission to Moscow, and then toured Europe. The
+reformers were, however, divided into two groups. One group advocated
+the acquisition of a certain amount of technical knowledge from abroad
+and its introduction by slow reforms, without altering the social
+structure of the state or the composition of the government. The others
+held that the state needed fundamental changes, and that superficial
+loans from Europe were not enough. The failure in the war with Japan
+made the general desire for reform more and more insistent not only in
+the country but in Peking. Until now Japan had been despised as a
+barbarian state; now Japan had won! The Europeans had been despised; now
+they were all cutting bits out of China for themselves, extracting from
+the government one privilege after another, and quite openly dividing
+China into "spheres of interest", obviously as the prelude to annexation
+of the whole country.
+
+In Europe at that time the question was being discussed over and over
+again, why Japan had so quickly succeeded in making herself a modern
+power, and why China was not succeeding in doing so; the Japanese were
+praised for their capacity and the Chinese blamed for their lassitude.
+Both in Europe and in Chinese circles it was overlooked that there were
+fundamental differences in the social structures of the two countries.
+The basis of the modern capitalist states of the West is the middle
+class. Japan had for centuries had a middle class (the merchants) that
+had entered into a symbiosis with the feudal lords. For the middle class
+the transition to modern capitalism, and for the feudal lords the way to
+Western imperialism, was easy. In China there was only a weak middle
+class, vegetating under the dominance of the gentry; the middle class
+had still to gain the strength to liberate itself before it could become
+the support for a capitalistic state. And the gentry were still strong
+enough to maintain their dominance and so to prevent a radical
+reconstruction; all they would agree to were a few reforms from which
+they might hope to secure an increase of power for their own ends.
+
+In 1895 and in 1898 a scholar, K'ang Yo-wei, who was admitted into the
+presence of the emperor, submitted to him memoranda in which he called
+for radical reform. K'ang was a scholar who belonged to the empiricist
+school of philosophy of the early Manchu period, the so-called Han
+school. He was a man of strong and persuasive personality, and had such
+an influence on the emperor that in 1898 the emperor issued several
+edicts ordering the fundamental reorganization of education, law, trade,
+communications, and the army. These laws were not at all bad in
+themselves; they would have paved the way for a liberalization of
+Chinese society. But they aroused the utmost hatred in the conservative
+gentry and also in the moderate reformers among the gentry. K'ang Yo-wei
+and his followers, to whom a number of well-known modern scholars
+belonged, had strong support in South China. We have already mentioned
+that owing to the increased penetration of European goods and ideas,
+South China had become more progressive than the north; this had added
+to the tension already existing for other reasons between north and
+south. In foreign policy the north was more favourable to Russia and
+radically opposed to Japan and Great Britain; the south was in favour of
+co-operation with Britain and Japan, in order to learn from those two
+states how reform could be carried through. In the north the men of the
+south were suspected of being anti-Manchu and revolutionary in feeling.
+This was to some extent true, though K'ang Yo-wei and his friends were
+as yet largely unconscious of it.
+
+When the empress Tzŭ Hsi saw that the emperor was actually thinking
+about reforms, she went to work with lightning speed. Very soon the
+reformers had to flee; those who failed to make good their escape were
+arrested and executed. The emperor was made a prisoner in a palace near
+Peking, and remained a captive until his death; the empress resumed her
+regency on his behalf. The period of reforms lasted only for a few
+months of 1898. A leading part in the extermination of the reformers was
+played by troops from Kansu under the command of a Mohammedan, Tung
+Fu-hsiang. General Yüan Shih-k'ai, who was then stationed at Tientsin in
+command of 7,000 troops with modern equipment, the only ones in China,
+could have removed the empress and protected the reformers; but he was
+already pursuing a personal policy, and thought it safer to give the
+reformers no help.
+
+There now began, from 1898, a thoroughly reactionary rule of the dowager
+empress. But China's general situation permitted no breathing-space. In
+1900 came the so-called Boxer Rising, a new popular movement against the
+gentry and the Manchus similar to the many that had preceded it. The
+Peking government succeeded, however, in negotiations that brought the
+movement into the service of the government and directed it against the
+foreigners. This removed the danger to the government and at the same
+time helped it against the hated foreigners. But incidents resulted
+which the Peking government had not anticipated. An international army
+was sent to China, and marched from Tientsin against Peking, to liberate
+the besieged European legations and to punish the government. The
+Europeans captured Peking (1900); the dowager empress and her prisoner,
+the emperor, had to flee; some of the palaces were looted. The peace
+treaty that followed exacted further concessions from China to the
+Europeans and enormous war indemnities, the payment of which continued
+into the 1940's, though most of the states placed the money at China's
+disposal for educational purposes. When in 1902 the dowager empress
+returned to Peking and put the emperor back into his palace-prison, she
+was forced by what had happened to realize that at all events a certain
+measure of reform was necessary. The reforms, however, which she
+decreed, mainly in 1904, were very modest and were never fully carried
+out. They were only intended to make an impression on the outer world
+and to appease the continually growing body of supporters of the reform
+party, especially numerous in South China. The south remained,
+nevertheless, a focus of hostility to the Manchus. After his failure in
+1898, K'ang Yo-wei went to Europe, and no longer played any important
+political part. His place was soon taken by a young Chinese physician
+who had been living abroad, Sun Yat-sen (1866-1925), who turned the
+reform party into a middle-class revolutionary party.
+
+
+12 _End of the dynasty_
+
+Meanwhile the dowager empress held her own. General Yüan Shih-k'ai, who
+had played so dubious a part in 1898, was not impeccably loyal to her,
+and remained unreliable. He was beyond challenge the strongest man in
+the country, for he possessed the only modern army; but he was still
+biding his time.
+
+In 1908 the dowager empress fell ill; she was seventy-four years old.
+When she felt that her end was near, she seems to have had the captive
+emperor Tê Tsung assassinated (at 5 p.m. on November 14th); she herself
+died next day (November 15th, 2 p.m.): she was evidently determined that
+this man, whom she had ill-treated and oppressed all his life, should
+not regain independence. As Tê Tsung had no children, she nominated on
+the day of her death the two-year-old prince P'u Yi as emperor (reign
+name Hsüan-t'ung, 1909-1911).
+
+The fact that another child was to reign and a new regency to act for
+him, together with all the failures in home and foreign policy, brought
+further strength to the revolutionary party. The government believed
+that it could only maintain itself if it allowed Yüan Shih-k'ai, the
+commander of the modern troops, to come to power. The chief regent,
+however, worked against Yüan Shih-k'ai and dismissed him at the
+beginning of 1909; Yüan's supporters remained at their posts. Yüan
+himself now entered into relations with the revolutionaries, whose
+centre was Canton, and whose undisputed leader was now Sun Yat-sen. At
+this time Sun and his supporters had already made attempts at
+revolution, but without success, as his following was as yet too small.
+It consisted mainly of young intellectuals who had been educated in
+Europe and America; the great mass of the Chinese people remained
+unconvinced: the common people could not understand the new ideals, and
+the middle class did not entirely trust the young intellectuals.
+
+The state of China in 1911 was as lamentable as could be: the European
+states, Russia, America, and Japan regarded China as a field for their
+own plans, and in their calculations paid scarcely any attention to the
+Chinese government. Foreign capital was penetrating everywhere in the
+form of loans or railway and other enterprises. If it had not been for
+the mutual rivalries of the powers, China would long ago have been
+annexed by one of them. The government needed a great deal of money for
+the payment of the war indemnities, and for carrying out the few reforms
+at last decided on. In order to get money from the provinces, it had to
+permit the viceroys even more freedom than they already possessed. The
+result was a spectacle altogether resembling that of the end of the
+T'ang dynasty, about A.D. 900: the various governors were trying to make
+themselves independent. In addition to this there was the revolutionary
+movement in the south.
+
+The government made some concession to the progressives, by providing
+the first beginnings of parliamentary rule. In 1910 a national assembly
+was convoked. It had a Lower House with representatives of the provinces
+(provincial diets were also set up), and an Upper House, in which sat
+representatives of the imperial house, the nobility, the gentry, and
+also the protectorates. The members of the Upper House were all
+nominated by the regent. It very soon proved that the members of the
+Lower House, mainly representatives of the provincial gentry, had a much
+more practical outlook than the routineers of Peking. Thus the Lower
+House grew in importance, a fact which, of course, brought grist to the
+mills of the revolutionary movement.
+
+In 1910 the first risings directed actually against the regency took
+place, in the province of Hunan. In 1911 the "railway disturbances"
+broke out in western China as a reply of the railway shareholders in the
+province of Szechwan to the government decree of nationalization of all
+the railways. The modernist students, most of whom were sons of
+merchants who owned railway shares, supported the movement, and the
+government was unable to control them. At the same time a great
+anti-Manchu revolution began in Wuch'ang, one of the cities of which
+Wuhan, on the Yangtze, now consists. The revolution was the result of
+government action against a group of terrorists. Its leader was an
+officer named Li Yüan-hung. The Manchus soon had some success in this
+quarter, but the other provincial governors now rose in rapid
+succession, repudiated the Manchus, and declared themselves independent.
+Most of the Manchu garrisons in the provinces were murdered. The
+governors remained at the head of their troops in their provinces, and
+for the moment made common cause with the revolutionaries, from whom
+they meant to break free at the first opportunity. The Manchus
+themselves failed at first to realize the gravity of the revolutionary
+movement; they then fell into panic-stricken desperation. As a last
+resource, Yüan Shih-k'ai was recalled (November 10th, 1911) and made
+prime minister.
+
+Yüan's excellent troops were loyal to his person, and he could have made
+use of them in fighting on behalf of the dynasty. But a victory would
+have brought no personal gain to him; for his personal plans he
+considered that the anti-Manchu side provided the springboard he needed.
+The revolutionaries, for their part, had no choice but to win over Yüan
+Shih-k'ai for the sake of his troops, since they were not themselves
+strong enough to get rid of the Manchus, or even to wrest concessions
+from them, so long as the Manchus were defended by Yüan's army. Thus
+Yüan and the revolutionaries were forced into each other's arms. He then
+began negotiations with them, explaining to the imperial house that the
+dynasty could only be saved by concessions. The revolutionaries--apart
+from their desire to neutralize the prime minister and general, if not
+to bring him over to their side--were also readier than ever to
+negotiate, because they were short of money and unable to obtain loans
+from abroad, and because they could not themselves gain control of the
+individual governors. The negotiations, which had been carried on at
+Shanghai, were broken off on December 18th, 1911, because the
+revolutionaries demanded a republic, but the imperial house was only
+ready to grant a constitutional monarchy.
+
+Meanwhile the revolutionaries set up a provisional government at Nanking
+(December 29th, 1911), with Sun Yat-sen as president and Li Yüan-hung as
+vice-president. Yüan Shih-k'ai now declared to the imperial house that
+the monarchy could no longer be defended, as his troops were too
+unreliable, and he induced the Manchu government to issue an edict on
+February 12th, 1912, in which they renounced the throne of China and
+declared the Republic to be the constitutional form of state. The young
+emperor of the Hsüan-t'ung period, after the Japanese conquest of
+Manchuria in 1931, was installed there. He was, however, entirely
+without power during the melancholy years of his nominal rule, which
+lasted until 1945.
+
+In 1912 the Manchu dynasty came in reality to its end. On the news of
+the abdication of the imperial house, Sun Yat-sen resigned in Nanking,
+and recommended Yüan Shih-k'ai as president.
+
+
+
+
+Chapter Eleven
+
+THE REPUBLIC (1912-1948)
+
+
+1 _Social and intellectual position_
+
+In order to understand the period that now followed, let us first
+consider the social and intellectual position in China in the period
+between 1911 and 1927. The Manchu dynasty was no longer there, nor were
+there any remaining real supporters of the old dynasty. The gentry,
+however, still existed. Alongside it was a still numerically small
+middle class, with little political education or enlightenment.
+
+The political interests of these two groups were obviously in conflict.
+But after 1912 there had been big changes. The gentry were largely in a
+process of decomposition. They still possessed the basis of their
+existence, their land, but the land was falling in value, as there were
+now other opportunities of capital investment, such as export-import,
+shareholding in foreign enterprises, or industrial undertakings. It is
+important to note, however, that there was not much fluid capital at
+their disposal. In addition to this, cheaper rice and other foodstuffs
+were streaming from abroad into China, bringing the prices for Chinese
+foodstuffs down to the world market prices, another painful business
+blow to the gentry. Silk had to meet the competition of Japanese silk
+and especially of rayon; the Chinese silk was of very unequal quality
+and sold with difficulty. On the other hand, through the influence of
+the Western capitalistic system, which was penetrating more and more
+into China, land itself became "capital", an object of speculation for
+people with capital; its value no longer depended entirely on the rents
+it could yield but, under certain circumstances, on quite other
+things--the construction of railways or public buildings, and so on.
+These changes impoverished and demoralized the gentry, who in the course
+of the past century had grown fewer in number. The gentry were not in a
+position to take part fully in the capitalist manipulations, because
+they had never possessed much capital; their wealth had lain entirely
+in their land, and the income from their rents was consumed quite
+unproductively in luxurious living.
+
+Moreover, the class solidarity of the gentry was dissolving. In the
+past, politics had been carried on by cliques of gentry families, with
+the emperor at their head as an unchangeable institution. This edifice
+had now lost its summit; the struggles between cliques still went on,
+but entirely without the control which the emperor's power had after all
+exercised, as a sort of regulative element in the play of forces among
+the gentry. The arena for this competition had been the court. After the
+destruction of the arena, the field of play lost its boundaries: the
+struggles between cliques no longer had a definite objective; the only
+objective left was the maintenance or securing of any and every hold on
+power. Under the new conditions cliques or individuals among the gentry
+could only ally themselves with the possessors of military power, the
+generals or governors. In this last stage the struggle between rival
+groups turned into a rivalry between individuals. Family ties began to
+weaken and other ties, such as between school mates, or origin from the
+same village or town, became more important than they had been before.
+For the securing of the aim in view any means were considered
+justifiable. Never was there such bribery and corruption among the
+officials as in the years after 1912. This period, until 1927, may
+therefore be described as a period of dissolution and destruction of the
+social system of the gentry.
+
+Over against this dying class of the gentry stood, broadly speaking, a
+tripartite opposition. To begin with, there was the new middle class,
+divided and without clear political ideas; anti-dynastic of course, but
+undecided especially as to the attitude it should adopt towards the
+peasants who, to this day, form over 80 per cent of the Chinese
+population. The middle class consisted mainly of traders and bankers,
+whose aim was the introduction of Western capitalism in association with
+foreign powers. There were also young students who were often the sons
+of old gentry families and had been sent abroad for study with grants
+given them by their friends and relatives in the government; or sons of
+businessmen sent away by their fathers. These students not always
+accepted the ideas of their fathers; they were influenced by the
+ideologies of the West, Marxist or non-Marxist, and often created clubs
+or groups in the University cities of Europe or the United States. Such
+groups of people who had studied together or passed the exams together,
+had already begun to play a role in politics in the nineteenth century.
+Now, the influence of such organizations of usually informal character
+increased. Against the returned students who often had difficulties in
+adjustment, stood the students at Chinese Universities, especially the
+National University in Peking (Peita). They represented people of the
+same origin, but of the lower strata of the gentry or of business; they
+were more nationalistic and politically active and often less influenced
+by Western ideologies.
+
+In the second place, there was a relatively very small genuine
+proletariat, the product of the first activities of big capitalists in
+China, found mainly in Shanghai. Thirdly and finally, there was a
+gigantic peasantry, uninterested in politics and uneducated, but ready
+to give unthinking allegiance to anyone who promised to make an end of
+the intolerable conditions in the matter of rents and taxes, conditions
+that were growing steadily worse with the decay of the gentry. These
+peasants were thinking of popular risings on the pattern of all the
+risings in the history of China--attacks on the towns and the killing of
+the hated landowners, officials, and money-lenders, that is to say of
+the gentry.
+
+Such was the picture of the middle class and those who were ready to
+support it, a group with widely divergent interests, held together only
+by its opposition to the gentry system and the monarchy. It could not
+but be extremely difficult, if not impossible, to achieve political
+success with such a group. Sun Yat-sen (1866-1925), the "Father of the
+Republic", accordingly laid down three stages of progress in his many
+works, of which the best-known are _San-min chu-i_, ("The Three
+Principles of the People"), and _Chien-kuo fang-lüeh_ ("Plans for the
+Building up of the Realm"). The three phases of development through
+which republican China was to pass were: the phase of struggle against
+the old system, the phase of educative rule, and the phase of truly
+democratic government. The phase of educative rule was to be a sort of
+authoritarian system with a democratic content, under which the people
+should be familiarized with democracy and enabled to grow politically
+ripe for true democracy.
+
+Difficult as was the internal situation from the social point of view,
+it was no less difficult in economic respects. China had recognized that
+she must at least adopt Western technical and industrial progress in
+order to continue to exist as an independent state. But the building up
+of industry demanded large sums of money. The existing Chinese banks
+were quite incapable of providing the capital needed; but the acceptance
+of capital from abroad led at once, every time, to further political
+capitulations. The gentry, who had no cash worth mention, were violently
+opposed to the capitalization of their properties, and were in favour of
+continuing as far as possible to work the soil in the old style. Quite
+apart from all this, all over the country there were generals who had
+come from the ranks of the gentry, and who collected the whole of the
+financial resources of their region for the support of their private
+armies. Investors had little confidence in the republican government so
+long as they could not tell whether the government would decide in
+favour of its right or of its left wing.
+
+No less complicated was the intellectual situation at this time.
+Confucianism, and the whole of the old culture and morality bound up
+with it, was unacceptable to the middle-class element. In the first
+place, Confucianism rejected the principle, required at least in theory
+by the middle class, of the equality of all people; secondly, the
+Confucian great-family system was irreconcilable with middle-class
+individualism, quite apart from the fact that the Confucian form of
+state could only be a monarchy. Every attempt to bolster up Confucianism
+in practice or theory was bound to fail and did fail. Even the gentry
+could scarcely offer any real defence of the Confucian system any
+longer. With Confucianism went the moral standards especially of the
+upper classes of society. Taoism was out of the question as a
+substitute, because of its anarchistic and egocentric character.
+Consequently, in these years, part of the gentry turned to Buddhism and
+part to Christianity. Some of the middle class who had come under
+European influence also turned to Christianity, regarding it as a part
+of the European civilization they had to adopt. Others adhered to modern
+philosophic systems such as pragmatism and positivism. Marxist doctrines
+spread rapidly.
+
+Education was secularized. Great efforts were made to develop modern
+schools, though the work of development was continually hindered by the
+incessant political unrest. Only at the universities, which became foci
+of republican and progressive opinion, was any positive achievement
+possible. Many students and professors were active in politics,
+organizing demonstrations and strikes. They pursued a strong national
+policy, often also socialistic. At the same time real scientific work
+was done; many young scholars of outstanding ability were trained at the
+Chinese universities, often better than the students who went abroad.
+There is a permanent disagreement between these two groups of young men
+with a modern education: the students who return from abroad claim to be
+better educated, but in reality they often have only a very superficial
+knowledge of things modern and none at all of China, her history, and
+her special circumstances. The students of the Chinese universities have
+been much better instructed in all the things that concern China, and
+most of them are in no way behind the returned students in the modern
+sciences. They are therefore a much more serviceable element.
+
+The intellectual modernization of China goes under the name of the
+"Movement of May Fourth", because on May 4th, 1919, students of the
+National University in Peking demonstrated against the government and
+their pro-Japanese adherents. When the police attacked the students and
+jailed some, more demonstrations and student strikes and finally a
+general boycott of Japanese imports were the consequence. In these
+protest actions, professors such as Ts'ai Yüan-p'ei, later president of
+the Academia Sinica (died 1940), took an active part. The forces which
+had now been mobilized, rallied around the journal "New Youth" (_Hsin
+Ch'ing-nien_), created in 1915 by Ch'en Tu-hsiu. The journal was
+progressive, against the monarchy, Confucius, and the old traditions.
+Ch'en Tu-hsiu who put himself strongly behind the students, was more
+radical than other contributors but at first favoured Western democracy
+and Western science; he was influenced mainly by John Dewey who was
+guest professor in Peking in 1919-20. Similarly tending towards
+liberalism in politics and Dewey's ideas in the field of philosophy were
+others, mainly Hu Shih. Finally, some reformers criticized
+conservativism purely on the basis of Chinese thought. Hu Shih (born
+1892) gained greatest acclaim by his proposal for a "literary
+revolution", published in the "New Youth" in 1917. This revolution was
+the logically necessary application of the political revolution to the
+field of education. The new "vernacular" took place of the old
+"classical" literary language. The language of the classical works is so
+remote from the language of daily life that no uneducated person can
+understand it. A command of it requires a full knowledge of all the
+ancient literature, entailing decades of study. The gentry had
+elaborated this style of speech for themselves and their dependants; it
+was their monopoly; nobody who did not belong to the gentry and had not
+attended its schools could take part in literary or in administrative
+life. The literary revolution introduced the language of daily life, the
+language of the people, into literature: newspapers, novels, scientific
+treatises, translations, appeared in the vernacular, and could thus be
+understood by anyone who could read and write, even if he had no
+Confucianist education.
+
+It may be said that the literary revolution has achieved its main
+objects. As a consequence of it, a great quantity of new literature has
+been published. Not only is every important new book that appears in the
+West published in translation within a few months, but modern novels and
+short stories and poems have been written, some of them of high literary
+value.
+
+At the same time as this revolution there took place another fundamental
+change in the language. It was necessary to take over a vast number of
+new scientific and technical terms. As Chinese, owing to the character
+of its script, is unable to write foreign words accurately and can do no
+more than provide a rather rough paraphrase, the practice was started of
+expressing new ideas by newly formed native words. Thus modern Chinese
+has very few foreign words, and yet it has all the new ideas. For
+example, a telegram is a "lightning-letter"; a wireless telegram is a
+"not-have-wire-lightning-communication"; a fountain-pen is a
+"self-flow-ink-water-brush"; a typewriter is a "strike-letter-machine".
+Most of these neologisms are similar in the modern languages of China
+and Japan.
+
+There had been several proposals in recent decades to do away with the
+Chinese characters and to introduce an alphabet in their place. They
+have all proved to be unsatisfactory so far, because the character of
+the Chinese language, as it is at this moment, is unsuited to an
+alphabetical script. They would also destroy China's cultural unity:
+there are many dialects in China that differ so greatly from each other
+that, for instance, a man from Canton cannot understand a man from
+Shanghai. If Chinese were written with letters, the result would be a
+Canton literature and another literature confined to Shanghai, and China
+would break up into a number of areas with different languages. The old
+Chinese writing is independent of pronunciation. A Cantonese and a
+Pekinger can read each other's newspapers without difficulty. They
+pronounce the words quite differently, but the meaning is unaltered.
+Even a Japanese can understand a Chinese newspaper without special study
+of Chinese, and a Chinese with a little preparation can read a Japanese
+newspaper without understanding a single word of Japanese.
+
+The aim of modern education in China is to work towards the
+establishment of "High Chinese", the former official (Mandarin)
+language, throughout the country, and to set limits to the use of the
+various dialects. Once this has been done, it will be possible to
+proceed to a radical reform of the script without running the risk of
+political separatist movements, which are always liable to spring up,
+and also without leading, through the adoption of various dialects as
+the basis of separate literatures, to the break-up of China's cultural
+unity. In the last years, the unification of the spoken language has
+made great progress. Yet, alphabetic script is used only in cases in
+which illiterate adults have to be enabled in a short time to read very
+simple informations. More attention is given to a simplification of the
+script as it is; Japanese had started this some forty years earlier.
+Unfortunately, the new Chinese abbreviated forms of characters are not
+always identical with long-established Japanese forms, and are not
+developed in such a systematic form as would make learning of Chinese
+characters easier.
+
+
+2 _First period of the Republic: The warlords_
+
+The situation of the Republic after its foundation was far from hopeful.
+Republican feeling existed only among the very small groups of students
+who had modern education, and a few traders, in other words, among the
+"middle class". And even in the revolutionary party to which these
+groups belonged there were the most various conceptions of the form of
+republican state to be aimed at. The left wing of the party, mainly
+intellectuals and manual workers, had in view more or less vague
+socialistic institutions; the liberals, for instance the traders,
+thought of a liberal democracy, more or less on the American pattern;
+and the nationalists merely wanted the removal of the alien Manchu rule.
+The three groups had come together for the practical reason that only so
+could they get rid of the dynasty. They gave unreserved allegiance to
+Sun Yat-sen as their leader. He succeeded in mobilizing the enthusiasm
+of continually widening circles for action, not only by the integrity of
+his aims but also because he was able to present the new socialistic
+ideology in an alluring form. The anti-republican gentry, however, whose
+power was not yet entirely broken, took a stand against the party. The
+generals who had gone over to the republicans had not the slightest
+intention of founding a republic, but only wanted to get rid of the rule
+of the Manchus and to step into their place. This was true also of Yüan
+Shih-k'ai, who in his heart was entirely on the side of the gentry,
+although the European press especially had always energetically defended
+him. In character and capacity he stood far above the other generals,
+but he was no republican.
+
+Thus the first period of the Republic, until 1927, was marked by
+incessant attempts by individual generals to make themselves
+independent. The Government could not depend on its soldiers, and so was
+impotent. The first risings of military units began at the outset of
+1912. The governors and generals who wanted to make themselves
+independent sabotaged every decree of the central government; especially
+they sent it no money from the provinces and also refused to give their
+assent to foreign loans. The province of Canton, the actual birthplace
+of the republican movement and the focus of radicalism, declared itself
+in 1912 an independent republic.
+
+Within the Peking government matters soon came to a climax. Yüan
+Shih-k'ai and his supporters represented the conservative view, with the
+unexpressed but obvious aim of setting up a new imperial house and
+continuing the old gentry system. Most of the members of the parliament
+came, however, from the middle class and were opposed to any reaction of
+this sort. One of their leaders was murdered, and the blame was thrown
+upon Yüan Shih-k'ai; there then came, in the middle of 1912, a new
+revolution, in which the radicals made themselves independent and tried
+to gain control of South China. But Yüan Shih-k'ai commanded better
+troops and won the day. At the end of October 1912 he was elected,
+against the opposition, as president of China, and the new state was
+recognized by foreign countries.
+
+China's internal difficulties reacted on the border states, in which the
+European powers were keenly interested. The powers considered that the
+time had come to begin the definitive partition of China. Thus there
+were long negotiations and also hostilities between China and Tibet,
+which was supported by Great Britain. The British demanded the complete
+separation of Tibet from China, but the Chinese rejected this (1912);
+the rejection was supported by a boycott of British goods. In the end
+the Tibet question was left undecided. Tibet remained until recent years
+a Chinese dependency with a good deal of internal freedom. The Second
+World War and the Chinese retreat into the interior brought many Chinese
+settlers into Eastern Tibet which was then separated from Tibet proper
+and made a Chinese province (Hsi-k'ang) in which the native Khamba will
+soon be a minority. The communist régime soon after its establishment
+conquered Tibet (1950) and has tried to change the character of its
+society and its system of government which lead to the unsuccessful
+attempt of the Tibetans to throw off Chinese rule (1959) and the flight
+of the Dalai Lama to India. The construction of highways, air and
+missile bases and military occupation have thus tied Tibet closer to
+China than ever since early Manchu times.
+
+In Outer Mongolia Russian interests predominated. In 1911 there were
+diplomatic incidents in connection with the Mongolian question. At the
+end of 1911 the Hutuktu of Urga declared himself independent, and the
+Chinese were expelled from the country. A secret treaty was concluded in
+1912 with Russia, under which Russia recognized the independence of
+Outer Mongolia, but was accorded an important part as adviser and helper
+in the development of the country. In 1913 a Russo-Chinese treaty was
+concluded, under which the autonomy of Outer Mongolia was recognized,
+but Mongolia became a part of the Chinese realm. After the Russian
+revolution had begun, revolution was carried also into Mongolia. The
+country suffered all the horrors of the struggles between White Russians
+(General Ungern-Sternberg) and the Reds; there were also Chinese
+attempts at intervention, though without success, until in the end
+Mongolia became a Soviet Republic. As such she is closely associated
+with Soviet Russia. China, however, did not quickly recognize Mongolia's
+independence, and in his work _China's Destiny_ (1944) Chiang Kai-shek
+insisted that China's aim remained the recovery of the frontiers of
+1840, which means among other things the recovery of Outer Mongolia. In
+spite of this, after the Second World War Chiang Kai-shek had to
+renounce _de jure_ all rights in Outer Mongolia. Inner Mongolia was
+always united to China much more closely; only for a time during the war
+with Japan did the Japanese maintain there a puppet government. The
+disappearance of this government went almost unnoticed.
+
+At the time when Russian penetration into Mongolia began, Japan had
+entered upon a similar course in Manchuria, which she regarded as her
+"sphere of influence". On the outbreak of the first world war Japan
+occupied the former German-leased territory of Tsingtao, at the
+extremity of the province of Shantung, and from that point she occupied
+the railways of the province. Her plan was to make the whole province a
+protectorate; Shantung is rich in coal and especially in metals. Japan's
+plans were revealed in the notorious "Twenty-one Demands" (1915).
+Against the furious opposition especially of the students of Peking,
+Yüan Shih-k'ai's government accepted the greater part of these demands.
+In negotiations with Great Britain, in which Japan took advantage of the
+British commitments in Europe, Japan had to be conceded the predominant
+position in the Far East.
+
+Meanwhile Yüan Shih-k'ai had made all preparations for turning the
+Republic once more into an empire, in which he would be emperor; the
+empire was to be based once more on the gentry group. In 1914 he secured
+an amendment of the Constitution under which the governing power was to
+be entirely in the hands of the president; at the end of 1914 he secured
+his appointment as president for life, and at the end of 1915 he induced
+the parliament to resolve that he should become emperor.
+
+This naturally aroused the resentment of the republicans, but it also
+annoyed the generals belonging to the gentry, who had had the same
+ambition. Thus there were disturbances, especially in the south, where
+Sun Yat-sen with his followers agitated for a democratic republic. The
+foreign powers recognized that a divided China would be much easier to
+penetrate and annex than a united China, and accordingly opposed Yüan
+Shih-k'ai. Before he could ascend the throne, he died suddenly--and
+this terminated the first attempt to re-establish monarchy.
+
+Yüan was succeeded as president by Li Yüan-hung. Meanwhile five
+provinces had declared themselves independent. Foreign pressure on China
+steadily grew. She was forced to declare war on Germany, and though this
+made no practical difference to the war, it enabled the European powers
+to penetrate further into China. Difficulties grew to such an extent in
+1917 that a dictatorship was set up and soon after came an interlude,
+the recall of the Manchus and the reinstatement of the deposed emperor
+(July 1st-8th, 1917).
+
+This led to various risings of generals, each aiming simply at the
+satisfaction of his thirst for personal power. Ultimately the victorious
+group of generals, headed by Tuan Ch'i-jui, secured the election of Fêng
+Kuo-chang in place of the retiring president. Fêng was succeeded at the
+end of 1918 by Hsü Shih-ch'ang, who held office until 1922. Hsü, as a
+former ward of the emperor, was a typical representative of the gentry,
+and was opposed to all republican reforms.
+
+The south held aloof from these northern governments. In Canton an
+opposition government was set up, formed mainly of followers of Sun
+Yat-sen; the Peking government was unable to remove the Canton
+government. But the Peking government and its president scarcely counted
+any longer even in the north. All that counted were the generals, the
+most prominent of whom were: (1) Chang Tso-lin, who had control of
+Manchuria and had made certain terms with Japan, but who was ultimately
+murdered by the Japanese (1928); (2) Wu P'ei-fu, who held North China;
+(3) the so-called "Christian general", Fêng Yü-hsiang, and (4) Ts'ao
+K'un, who became president in 1923.
+
+At the end of the first world war Japan had a hold over China amounting
+almost to military control of the country. China did not sign the Treaty
+of Versailles, because she considered that she had been duped by Japan,
+since Japan had driven the Germans out of China but had not returned the
+liberated territory to the Chinese. In 1921 peace was concluded with
+Germany, the German privileges being abolished. The same applied to
+Austria. Russia, immediately after the setting up of the Soviet
+government, had renounced all her rights under the Capitulations. This
+was the first step in the gradual rescinding of the Capitulations; the
+last of them went only in 1943, as a consequence of the difficult
+situation of the Europeans and Americans in the Pacific produced by the
+Second World War.
+
+At the end of the first world war the foreign powers revised their
+attitude towards China. The idea of territorial partitioning of the
+country was replaced by an attempt at financial exploitation; military
+friction between the Western powers and Japan was in this way to be
+minimized. Financial control was to be exercised by an international
+banking consortium (1920). It was necessary for political reasons that
+this committee should be joined by Japan. After her Twenty-one Demands,
+however, Japan was hated throughout China. During the world war she had
+given loans to the various governments and rebels, and in this way had
+secured one privilege after another. Consequently China declined the
+banking consortium. She tried to secure capital from her own resources;
+but in the existing political situation and the acute economic
+depression internal loans had no success.
+
+In an agreement between the United States and Japan in 1917, the United
+States, in consequence of the war, had had to give their assent to
+special rights for Japan in China. After the war the international
+conference at Washington (November 1921-February 1922) tried to set
+narrower limits to Japan's influence over China, and also to
+re-determine the relative strength in the Pacific of the four great
+powers (America, Britain, France, Japan). After the failure of the
+banking plan this was the last means of preventing military conflicts
+between the powers in the Far East. This brought some relief to China,
+as Japan had to yield for the time to the pressure of the western
+powers.
+
+The years that followed until 1927 were those of the complete collapse
+of the political power of the Peking government--years of entire
+dissolution. In the south Sun Yat-sen had been elected generalissimo in
+1921. In 1924 he was re-elected with a mandate for a campaign against
+the north. In 1924 there also met in Canton the first general congress
+of the Kuomintang ("People's Party"). The Kuomintang (in 1929 it had
+653,000 members, or roughly 0.15 per cent of the population) is the
+continuation of the Komingtang ("Revolutionary Party") founded by Sun
+Yat-sen, which as a middle-class party had worked for the removal of the
+dynasty. The new Kuomintang was more socialistic, as is shown by its
+admission of Communists and the stress laid upon land reform.
+
+At the end of 1924 Sun Yat-sen with some of his followers went to
+Peking, to discuss the possibility of a reunion between north and south
+on the basis of the programme of the People's Party. There, however, he
+died at the beginning of 1925, before any definite results had been
+attained; there was no prospect of achieving anything by the
+negotiations, and the south broke them off. But the death of Sun Yat-sen
+had been followed after a time by tension within the party between its
+right and left wings. The southern government had invited a number of
+Russian advisers in 1923 to assist in building up the administration,
+civil and military, and on their advice the system of government had
+been reorganized on lines similar to those of the soviet and commissar
+system. This change had been advocated by an old friend of Sun Yat-sen,
+Chiang Kai-shek, who later married Sun's sister-in-law. Chiang Kai-shek,
+who was born in 1886, was the head of the military academy at Whampoa,
+near Canton, where Russian instructors were at work. The new system was
+approved by Sun Yat-sen's successor, Hu Han-min (who died in 1936), in
+his capacity of party leader. It was opposed by the elements of the
+right, who at first had little influence. Chiang Kai-shek soon became
+one of the principal leaders of the south, as he had command of the
+efficient troops of Canton, who had been organized by the Russians.
+
+The People's Party of the south and its governments, at that time fairly
+radical in politics, were disliked by the foreign powers; only Japan
+supported them for a time, owing to the anti-British feeling of the
+South Chinese and in order to further her purpose of maintaining
+disunion in China. The first serious collision with the outer world came
+on May 30th, 1925, when British soldiers shot at a crowd demonstrating
+in Shanghai. This produced a widespread boycott of British goods in
+Canton and in British Hong Kong, inflicting a great loss on British
+trade with China and bringing considerable advantages in consequence to
+Japanese trade and shipping: from the time of this boycott began the
+Japanese grip on Chinese coastwise shipping.
+
+The second party congress was held in Canton in 1926. Chiang Kai-shek
+already played a prominent part. The People's Party, under Chiang
+Kai-shek and with the support of the communists, began the great
+campaign against the north. At first it had good success: the various
+provincial governors and generals and the Peking government were played
+off against each other, and in a short time one leader after another was
+defeated. The Yangtze was reached, and in 1926 the southern government
+moved to Hankow. All over the southern provinces there now came a
+genuine rising of the masses of the people, mainly the result of
+communist propaganda and of the government's promise to give land to the
+peasants, to set limits to the big estates, and to bring order into the
+taxation. In spite of its communist element, at the beginning of 1927
+the southern government was essentially one of the middle class and the
+peasantry, with a socialistic tendency.
+
+
+3 _Second period of the Republic: Nationalist China_
+
+With the continued success of the northern campaign, and with Chiang
+Kai-shek's southern army at the gates of Shanghai (March 21st, 1927), a
+decision had to be taken. Should the left wing be allowed to gain the
+upper hand, and the great capitalists of Shanghai be expropriated as it
+was proposed to expropriate the gentry? Or should the right wing
+prevail, an alliance be concluded with the capitalists, and limits be
+set to the expropriation of landed estates? Chiang Kai-shek, through his
+marriage with Sun Yat-sen's wife's sister, had become allied with one of
+the greatest banking families. In the days of the siege of Shanghai
+Chiang, together with his closest colleagues (with the exception of Hu
+Han-min and Wang Chying-wei, a leader who will be mentioned later),
+decided on the second alternative. Shanghai came into his hands without
+a struggle, and the capital of the Shanghai financiers, and soon foreign
+capital as well, was placed at his disposal, so that he was able to pay
+his troops and finance his administration. At the same time the Russian
+advisers were dismissed or executed.
+
+The decision arrived at by Chiang Kai-shek and his friends did not
+remain unopposed, and he parted from the "left group" (1927) which
+formed a rival government in Hankow, while Chiang Kai-shek made Nanking
+the seat of his government (April 1927). In that year Chiang not only
+concluded peace with the financiers and industrialists, but also a sort
+of "armistice" with the landowning gentry. "Land reform" still stood on
+the party programme, but nothing was done, and in this way the
+confidence and cooperation of large sections of the gentry was secured.
+The choice of Nanking as the new capital pleased both the industrialists
+and the agrarians: the great bulk of China's young industries lay in the
+Yangtze region, and that region was still the principal one for
+agricultural produce; the landowners of the region were also in a better
+position with the great market of the capital in their neighbourhood.
+
+Meanwhile the Nanking government had succeeded in carrying its dealings
+with the northern generals to a point at which they were largely
+out-manœuvred and became ready for some sort of collaboration (1928).
+There were now four supreme commanders--Chiang Kai-shek, Fêng Yü-hsiang
+(the "Christian general"), Yen Hsi-shan, the governor of Shansi, and the
+Muslim Li Chung-yen. Naturally this was not a permanent solution; not
+only did Chiang Kai-shek's three rivals try to free themselves from his
+ever-growing influence and to gain full power themselves, but various
+groups under military leadership rose again and again, even in the home
+of the Republic, Canton itself. These struggles, which were carried on
+more by means of diplomacy and bribery than at arms, lasted until 1936.
+Chiang Kai-shek, as by far the most skilful player in this game, and at
+the same time the man who had the support of the foreign governments
+and of the financiers of Shanghai, gained the victory. China became
+unified under his dictatorship.
+
+As early as 1928, when there seemed a possibility of uniting China, with
+the exception of Manchuria, which was dominated by Japan, and when the
+European powers began more and more to support Chiang Kai-shek, Japan
+felt that her interests in North China were threatened, and landed
+troops in Shantung. There was hard fighting on May 3rd, 1928. General
+Chang Tso-lin, in Manchuria, who was allied to Japan, endeavoured to
+secure a cessation of hostilities, but he fell victim to a Japanese
+assassin; his place was taken by his son, Chang Hsüeh-liang, who pursued
+an anti-Japanese policy. The Japanese recognized, however, that in view
+of the international situation the time had not yet come for
+intervention in North China. In 1929 they withdrew their troops and
+concentrated instead on their plans for Manchuria.
+
+Until the time of the "Manchurian incident" (1931), the Nanking
+government steadily grew in strength. It gained the confidence of the
+western powers, who proposed to make use of it in opposition to Japan's
+policy of expansion in the Pacific sphere. On the strength of this
+favourable situation in its foreign relations, the Nanking government
+succeeded in getting rid of one after another of the Capitulations.
+Above all, the administration of the "Maritime Customs", that is to say
+of the collection of duties on imports and exports, was brought under
+the control of the Chinese government: until then it had been under
+foreign control. Now that China could act with more freedom in the
+matter of tariffs, the government had greater financial resources, and
+through this and other measures it became financially more independent
+of the provinces. It succeeded in building up a small but modern army,
+loyal to the government and superior to the still existing provincial
+armies. This army gained its military experience in skirmishes with the
+Communists and the remaining generals.
+
+It is true that when in 1931 the Japanese occupied Manchuria, Nanking
+was helpless, since Manchuria was only loosely associated with Nanking,
+and its governor, Chang Hsüeh-liang, had tried to remain independent of
+it. Thus Manchuria was lost almost without a blow. On the other hand,
+the fighting with Japan that broke out soon afterwards in Shanghai
+brought credit to the young Nanking army, though owing to its numerical
+inferiority it was unsuccessful. China protested to the League of
+Nations against its loss of Manchuria. The League sent a commission (the
+Lytton Commission), which condemned Japan's action, but nothing further
+happened, and China indignantly broke away from her association with
+the Western powers (1932-1933). In view of the tense European situation
+(the beginning of the Hitler era in Germany, and the Italian plans of
+expansion), the Western powers did not want to fight Japan on China's
+behalf, and without that nothing more could be done. They pursued,
+indeed, a policy of playing off Japan against China, in order to keep
+those two powers occupied with each other, and so to divert Japan from
+Indo-China and the Pacific.
+
+China had thus to be prepared for being involved one day in a great war
+with Japan. Chiang Kai-shek wanted to postpone war as long as possible.
+He wanted time to establish his power more thoroughly within the
+country, and to strengthen his army. In regard to external relations,
+the great powers would have to decide their attitude sooner or later.
+America could not be expected to take up a clear attitude: she was for
+peace and commerce, and she made greater profits out of her relations
+with Japan than with China; she sent supplies to both (until 1941). On
+the other hand, Britain and France were more and more turning away from
+Japan, and Russo-Japanese relations were at all times tense. Japan tried
+to emerge from her isolation by joining the "axis powers", Germany and
+Italy (1936); but it was still doubtful whether the Western powers would
+proceed with Russia, and therefore against Japan, or with the Axis, and
+therefore in alliance with Japan.
+
+Japan for her part considered that if she was to raise the standard of
+living of her large population and to remain a world power, she must
+bring into being her "Greater East Asia", so as to have the needed raw
+material sources and export markets in the event of a collision with the
+Western powers; in addition to this, she needed a security girdle as
+extensive as possible in case of a conflict with Russia. In any case,
+"Greater East Asia" must be secured before the European conflict should
+break out.
+
+
+4 _The Sino-Japanese war_ (1937-1945)
+
+Accordingly, from 1933 onward Japan followed up her conquest of
+Manchuria by bringing her influence to bear in Inner Mongolia and in
+North China. She succeeded first, by means of an immense system of
+smuggling, currency manipulation, and propaganda, in bringing a number
+of Mongol princes over to her side, and then (at the end of 1935) in
+establishing a semi-dependent government in North China. Chiang Kai-shek
+took no action.
+
+The signal for the outbreak of war was an "incident" by the Marco Polo
+Bridge, south of Peking (July 7th, 1937). The Japanese government
+profited by a quite unimportant incident, undoubtedly provoked by the
+Japanese, in order to extend its dominion a little further. China still
+hesitated; there were negotiations. Japan brought up reinforcements and
+put forward demands which China could not be expected to be ready to
+fulfil. Japan then occupied Peking and Tientsin and wide regions between
+them and south of them. The Chinese soldiers stationed there withdrew
+almost without striking a blow, but formed up again and began to offer
+resistance. In order to facilitate the planned occupation of North
+China, including the province of Shantung, Japan decided on a
+diversionary campaign against Shanghai. The Nanking government sent its
+best troops to the new front, and held it for nearly three months
+against superior forces; but meanwhile the Japanese steadily advanced in
+North China. On November 9th Nanking fell into their hands. By the
+beginning of January 1938, the province of Shantung had also been
+conquered.
+
+Chiang Kai-shek and his government fled to Ch'ung-k'ing (Chungking), the
+most important commercial and financial centre of the interior after
+Hankow, which was soon threatened by the Japanese fleet. By means of a
+number of landings the Japanese soon conquered the whole coast of China,
+so cutting off all supplies to the country; against hard fighting in
+some places they pushed inland along the railways and conquered the
+whole eastern half of China, the richest and most highly developed part
+of the country. Chiang Kai-shek had the support only of the
+agriculturally rich province of Szechwan, and of the scarcely developed
+provinces surrounding it. Here there was as yet no industry. Everything
+in the way of machinery and supplies that could be transported from the
+hastily dismantled factories was carried westwards. Students and
+professors went west with all the contents of their universities, and
+worked on in small villages under very difficult conditions--one of the
+most memorable achievements of this war for China. But all this was by
+no means enough for waging a defensive war against Japan. Even the
+famous Burma Road could not save China.
+
+By 1940-1941 Japan had attained her war aim: China was no longer a
+dangerous adversary. She was still able to engage in small-scale
+fighting, but could no longer secure any decisive result. Puppet
+governments were set up in Peking, Canton, and Nanking, and the Japanese
+waited for these governments gradually to induce supporters of Chiang
+Kai-shek to come over to their side. Most was expected of Wang
+Ching-wei, who headed the new Nanking government. He was one of the
+oldest followers of Sun Yat-sen, and was regarded as a democrat. In
+1925, after Sun Yat-sen's death, he had been for a time the head of the
+Nanking government, and for a short time in 1930 he had led a government
+in Peking that was opposed to Chiang Kai-shek's dictatorship. Beyond any
+question Wang still had many followers, including some in the highest
+circles at Chungking, men of eastern China who considered that
+collaboration with Japan, especially in the economic field, offered good
+prospects. Japan paid lip service to this policy: there was talk of
+sister peoples, which could help each other and supply each other's
+needs. There was propaganda for a new "Greater East Asian" philosophy,
+_Wang-tao_, in accordance with which all the peoples of the East could
+live together in peace under a thinly disguised dictatorship. What
+actually happened was that everywhere Japanese capitalists established
+themselves in the former Chinese industrial plants, bought up land and
+securities, and exploited the country for the conduct of their war.
+
+After the great initial successes of Hitlerite Germany in 1939-1941,
+Japan became convinced that the time had come for a decisive blow
+against the positions of the Western European powers and the United
+States in the Far East. Lightning blows were struck at Hong Kong and
+Singapore, at French Indo-China, and at the Netherlands East Indies. The
+American navy seemed to have been eliminated by the attack on Pearl
+Harbour, and one group of islands after another fell into the hands of
+the Japanese. Japan was at the gates of India and Australia. Russia was
+carrying on a desperate defensive struggle against the Axis, and there
+was no reason to expect any intervention from her in the Far East.
+Greater East Asia seemed assured against every danger.
+
+The situation of Chiang Kai-shek's Chungking government seemed hopeless.
+Even the Burma Road was cut, and supplies could only be sent by air;
+there was shortage of everything. With immense energy small industries
+were begun all over western China, often organized as co-operatives;
+roads and railways were built--but with such resources would it ever be
+possible to throw the Japanese into the sea? Everything depended on
+holding out until a new page was turned in Europe. Infinitely slow
+seemed the progress of the first gleams of hope--the steady front in
+Burma, the reconquest of the first groups of inlands; the first bomb
+attacks on Japan itself. Even in May, 1945, with the war ended in
+Europe, there seemed no sign of its ending in the Far East. Then came
+the atom bomb, bringing the collapse of Japan; the Japanese armies
+receded from China, and suddenly China was free, mistress once more in
+her own country as she had not been for decades.
+
+
+
+
+Chapter Twelve
+
+PRESENT-DAY CHINA
+
+
+1 _The growth of communism_
+
+In order to understand today's China, we have to go back in time to
+report events which were cut short or left out of our earlier discussion
+in order to present them in the context of this chapter.
+
+Although socialism and communism had been known in China long ago, this
+line of development of Western philosophy had interested Chinese
+intellectuals much less than liberalistic, democratic Western ideas. It
+was widely believed that communism had no real prospects for China, as a
+dictatorship of the proletariat seemed to be relevant only in a highly
+industrialized and not in an agrarian society. Thus, in its beginning
+the "Movement of May Fourth" of 1919 had Western ideological traits but
+was not communistic. This changed with the success of communism in
+Russia and with the theoretical writings of Lenin. Here it was shown
+that communist theories could be applied to a country similar to China
+in its level of development. Already from 1919 on, some of the leaders
+of the Movement turned towards communism: the National University of
+Peking became the first centre of this movement, and Ch'en Tu-hsiu, then
+dean of the College of Letters, from 1920 on became one of its leaders.
+Hu Shih did not move to the left with this group; he remained a liberal.
+But another well-known writer, Lu Hsün (1881-1936), while following Hu
+Shih in the "Literary Revolution," identified politically with Ch'en.
+There was still another man, the Director of the University Library, Li
+Ta-chao, who turned towards communism. With him we find one of his
+employees in the Library, Mao Tse-tung. In fact, the nucleus of the
+Communist Party, which was officially created as late as 1921, was a
+student organization including some professors in Peking. On the other
+hand, a student group in Paris had also learned about communism and had
+organized; the leaders of this group were Chou En-lai and Li Li-san. A
+little later, a third group organized in Germany; Chu Tê belonged to
+this group. The leadership of Communist China since 1949 has been in the
+hands of men of these three former student groups.
+
+After 1920, Sun Yat-sen, too, became interested in the developments in
+Soviet Russia. Yet, he never actually became a communist; his belief
+that the soil should belong to the tiller cannot really be combined with
+communism, which advocates the abolition of individual landholdings.
+Yet, Soviet Russia found it useful to help Sun Yat-sen and advised the
+Chinese Communist Party to collaborate with the KMT (Kuo-min-tang). This
+collaboration, not always easy, continued until the fall of Shanghai in
+1927.
+
+In the meantime, Mao Tse-tung had given up his studies in Peking and had
+returned to his home in Hunan. Here, he organized his countrymen, the
+farmers of Hunan. It is said that at the verge of the northern
+expedition of Chiang Kai-shek, Mao's adherents in Hunan already numbered
+in the millions; this made the quick and smooth advance of the
+communist-advised armies of Chiang Kai-shek possible. Mao developed his
+ideas in written form in 1927; he showed that communism in China could
+be successful only if it was based upon farmers. Because of this
+unorthodox attitude, he was for years severely attacked as a
+deviationist.
+
+When Chiang Kai-shek separated from the KMT in 1927, the main body of
+the KMT remained in Hankow as the legal government. But now, while
+Chiang Kai-shek executed all leftists, union leaders, and communists who
+fell into his hands, tensions in Hankow increased between the Chinese
+Communist Party and the rest of the KMT. Finally, the KMT turned against
+the communists and reunited with Chiang Kai-shek. The remaining
+communists retreated to the Hunan-Kiangsi border area, the centre of
+Mao's activities; even the orthodox communist wing, which had condemned
+Mao, now had to come to him for protection from the KMT. A small
+communist state began to develop in Kiangsi, in spite of pressure and,
+later, attacks of the KMT against them. By 1934, this pressure became so
+strong that Kiangsi had to be abandoned, and in the epic "Long March"
+the rest of the communists and their army fought their way through all
+of western and northwestern China into the sparsely inhabited,
+underdeveloped northern part of Shensi, where a new socialistic state
+was created with Yen-an as its capital.
+
+After the fall of the communist enclave in Kiangsi, the prospects for
+the Nationalist regime were bright; indeed, the unification of China was
+almost achieved. At this moment a new Japanese invasion threatened and
+demanded the full attention of the regime. Thus, in spite of talk about
+land reform and other reforms which might have led to a liberalization
+of the government, no attention was given to internal and social
+problems except to the suppression of communist thought. Although all
+leftist publications were prohibited, most historians and sociologists
+succeeded in writing Marxist books without using Marxist terminology, so
+that they escaped Chiang's censors. These publications contributed
+greatly to preparing China's intellectuals and youth for communism.
+
+When the Japanese War began, the communists in Yen-an and the
+Nationalists under Chiang Kai-shek agreed to cooperate against the
+invaders. Yet, each side remembered its experiences in 1927 and
+distrusted the other. Chiang's resistance against the invaders became
+less effective after the Japanese occupied all of China's ports;
+supplies could reach China only in small quantities by airlift or via
+the Burma Road. There was also the belief that Japan could be defeated
+only by an attack on Japan itself and that this would have to be
+undertaken by the Western powers, not by China. The communists, on their
+side, set up a guerilla organization behind the Japanese lines, so that,
+although the Japanese controlled the cities and the lines of
+communication, they had little control over the countryside. The
+communists also attempted to infiltrate the area held by the
+Nationalists, who in turn were interested in preventing the communists
+from becoming too strong; so, Nationalist troops guarded also the
+borders of communist territory.
+
+American politicians and military advisers were divided in their
+opinions. Although they recognized the internal weakness of the
+Nationalist government, the fighting between cliques within the
+government, and the ever-increasing corruption, some advocated more help
+to the Nationalists and a firm attitude against the communists. Others,
+influenced by impressions gained during visits to Yen-an, and believing
+in the possibility of honest cooperation between a communist regime and
+any other, as Roosevelt did, attempted to effect a coalition of the
+Nationalists with the communists.
+
+At the end of the war, when the Nationalist government took over the
+administration, it lacked popular support in the areas liberated from
+the Japanese. Farmers who had been given land by the communists, or who
+had been promised it, were afraid that their former landlords, whether
+they had remained to collaborate with the Japanese or had fled to West
+China, would regain control of the land. Workers hoped for new social
+legislation and rights. Businessmen and industrialists were faced with
+destroyed factories, worn-out or antiquated equipment, and an unchecked
+inflation which induced them to shift their accounts into foreign banks
+or to favor short-term gains rather than long-term investments. As in
+all countries which have suffered from a long war and an occupation,
+the youth believed that the old regime had been to blame, and saw
+promise and hope on the political left. And, finally, the Nationalist
+soldiers, most of whom had been separated for years from their homes and
+families, were not willing to fight other Chinese in the civil war now
+well under way; they wanted to go home and start a new life. The
+communists, however, were now well organized militarily and well equiped
+with arms surrendered by the Japanese to the Soviet armies as well as
+with arms and ammunition sold to them by KMT soldiers; moreover, they
+were constantly strengthened by deserters from the KMT. The civil war
+witnessed a steady retreat by the KMT armies, which resisted only
+sporadically. By the end of 1948, most of mainland China was in the
+hands of the communists, who established their new capital in Peking.
+
+
+2 _Nationalist China in Taiwan_
+
+The Nationalist government retreated to Taiwan with those soldiers who
+remained loyal. This island was returned to China after the defeat of
+Japan, though final disposition of its status had not yet been
+determined.
+
+Taiwan's original population had been made up of more than a dozen
+tribes who are probably distant relatives of tribes in the Philippines.
+These are Taiwan's "aborigines," altogether about 200,000 people in
+1948.
+
+At about the time of the Sung dynasty, Chinese began to establish
+outposts on the island; these developed into regular agricultural
+settlements toward the end of the Ming dynasty. Immigration increased in
+the eighteenth and especially the nineteenth centuries. These Chinese
+immigrants and their descendants are the "Taiwanese," Taiwan's main
+population of about eight million people as of 1948.
+
+Taiwan was at first a part of the province of Fukien, whence most of its
+Chinese settlers came; there was also a minority of Hakka, Chinese from
+Kuangtung province. When Taiwan was ceded to Japan, it was still a
+colonial area with much lawlessness and disorder, but with a number of
+flourishing towns and a growing population. The Japanese, who sent
+administrators but no settlers, established law and order, protected the
+aborigines from land-hungry Chinese settlers, and attempted to abolish
+headhunting by the aborigines and to raise the cultural level in
+general. They built a road and railway system and strongly stressed the
+production of sugar cane and rice. During the Second World War, the
+island suffered from air attacks and from the inability of the Japanese
+to protect its industries.
+
+After Chiang Kai-shek and the remainder of his army and of his
+government officials arrived in Taiwan, they were followed by others
+fleeing from the communist regime, mainly from Chekiang, Kiangsu, and
+the northern provinces of the mainland. Eventually, there were on Taiwan
+about two million of these "mainlanders," as they have sometimes been
+called.
+
+When the Chinese Nationalists took over from the Japanese, they assumed
+all the leading positions in the government. The Taiwanese nationals who
+had opposed the Japanese were disappointed; for their part, the
+Nationalists felt threatened because of their minority position. The
+next years, especially up to 1952, were characterized by terror and
+bloodshed. Tensions persisted for many years, but have lessened since
+about 1960.
+
+The new government of Taiwan resembled China's pre-war government under
+Chiang Kai-shek. First, to maintain his claim to the legitimate rule of
+all of China, Chiang retained--and controlled through his party, the
+KMT--his former government organization, complete with cabinet
+ministers, administrators, and elected parliament, under the name
+"Central Government of China." Secondly, the actual government of
+Taiwan, which he considered one of China's provinces, was organized as
+the "Provincial Government of Taiwan," whose leading positions were at
+first in the hands of KMT mainlanders. There have since been elections
+for the provincial assembly, for local government councils and boards,
+and for various provincial and local positions. Thirdly, the military
+forces were organized under the leadership and command of mainlanders.
+And finally, the education system was set up in accordance with former
+mainland practices by mainland specialists. However, evolutionary
+changes soon occurred.
+
+The government's aim was to make Mandarin Chinese the language of all
+Chinese in Taiwan, as it had been in mainland China long before the War,
+and to weaken the Taiwanese dialects. Soon almost every child had a
+minimum of six years of education (increased in 1968 to nine years),
+with Mandarin Chinese as the medium of instruction. In the beginning few
+Taiwanese qualified as teachers because, under Japanese rule, Japanese
+had been the medium of instruction. As the children of Taiwanese and
+mainland families went to school together, the Taiwanese children
+quickly learned Mandarin, while most mainland children became familiar
+with the Taiwan dialect. For the generation in school today, the
+difference between mainlander and Taiwanese has lost its importance. At
+the same time, more teachers of Taiwanese origin, but with modern
+training, have begun to fill first the ranks of elementary, later of
+high-school, and now even of university instructors, so that the end of
+mainland predominance in the educational system is foreseeable.
+
+The country is still ruled by the KMT, but although at first hardly any
+Taiwanese belonged to the Party, many of the elective jobs and almost
+all positions in the provincial government are at present (1969) in the
+hands of Taiwanese independents, or KMT members, more of whom are
+entering the central government as well. Because military service is
+compulsory, the majority of common soldiers are Taiwanese: as career
+officers grow older and their sons show little interest in an army
+career, more Taiwan-Chinese are occupying higher army positions. Foreign
+policy and major political decisions still lie in the hands of mainland
+Chinese, but economic power, once monopolized by them, is now held by
+Taiwan-Chinese.
+
+This shift gained impetus with the end of American economic aid, which
+had tied local businessmen to American industry and thus worked to the
+advantage of mainland Chinese, for these had contacts in the United
+States, whereas the Taiwan-Chinese had contacts only in Japan. After the
+termination of American economic aid, Taiwanese trade with Japan, the
+Philippines, and Korea grew in importance and with it the economic
+strength of Taiwan-Chinese businessmen. After 1964, Taiwan became a
+strong competitor of Hong Kong and Japan in some export industries, such
+as electronics and textiles. We can regard Taiwan from 1964 on as
+occupying the "take-off" stage, to use Rostow's terminology--a stage of
+rapid development of new, principally light and consumer, industries.
+There has been a rapid rise of industrial towns around the major cities,
+and there are already many factories in the countryside, even in some
+villages. Electrification is essentially completed, and heavy
+industries, such as fertilizer and assembly plants and oil refineries,
+now exist.
+
+This rapid industrialization was accompanied by an unusually fast
+development of agriculture. A land-reform program limited land
+ownership, reduced rents, and redistributed formerly Japanese-owned
+land. This was the program that the Nationalist government had attempted
+unsuccessfully to enforce in liberated China after the Pacific War. It
+is well known that the abolition of landlordism and the distribution of
+land to small farmers do not in themselves improve or enlarge
+production. The Joint Council on Rural Reconstruction, on which American
+advisers worked with Chinese specialists to devise a system comparable
+to American agricultural extension services but possessing added
+elements of community development, introduced better seeds, more and
+better fertilizers, and numerous other innovations which the farmers
+quickly adopted, with the result that the island became
+self-supporting, in spite of a steadily growing population (thirteen
+million in 1968).
+
+At the same time, the government succeeded in stabilizing the currency
+and in eliminating corruption, thus re-establishing public confidence
+and security. Good incomes from farming as well as from industries were
+invested on the island instead of flowing into foreign banks. In
+addition, the population had enough surplus money to buy the products of
+the new domestic industries as these appeared. Thus, the
+industrialization of Taiwan may be called "industrialization without
+tears," without the suffering, that is, of proletarian masses who
+produce objects which they cannot afford for themselves. Today, even
+lower middle-class families have television consoles which cost the
+equivalent of US $200; they own electric fans and radios; they are
+buying Taiwan-produced refrigerators and air conditioners; and more and
+more think of buying Taiwan-assembled cars. They encourage their
+children to finish high school and to attend college if at all possible;
+competition for admission is very strong in spite of the continuous
+building of new schools and universities. Education to the level of the
+B. A. is of good quality, but for most graduate study students are still
+sent abroad. Taiwan complains about the "brain drain," as about 93 per
+cent of its students who go overseas do not return, but in many fields
+it has sufficient trained manpower to continue its development, and in
+any case there would not be enough jobs available if all the students
+returned. Most of these expatriates would be available to develop
+mainland China, if conditions there were to change in a way that would
+make them compatible with the values with which these expatriates grew
+up on Taiwan, or with the Western democratic values which they absorbed
+abroad.
+
+Chiang Kai-shek's government still hopes that one day its people will
+return to the mainland. This hope has changed from hope of victory in a
+civil war to hope of revolutionary developments within Communist China
+which might lead to the creation of a more liberal government in which
+men with KMT loyalties could find a place. Because they are Chinese, the
+present government and, it is believed, the majority of the people,
+consider themselves a part of China from which they are temporarily
+separated. Therefore they reject the idea, proposed by some American
+politicians, that Taiwan should become an independent state. There are,
+mainly in the United States and Japan, groups of Taiwan-Chinese who
+favor an independent Taiwan, which naturally would be close to Japan
+politically and economically. One may agree with their belief that
+Taiwan, now larger than many European countries, could exist and
+flourish as an independent country; yet few Chinese will wish to divorce
+themselves from the world's largest society.
+
+
+3 _Communist China_
+
+Both Taiwan and mainland China have developed extremely quickly. The
+reasons do not seem to lie solely in the form of government, for the
+pre-conditions for a "take-off" existed in China as early as the 1920's,
+if not earlier. That is, the quick development of China could have
+started forty years ago but was prevented, primarily for political
+reasons. One of the main pre-conditions for quick development is that a
+large part of the population is inured to hard and repetitive work. The
+Chinese farmer was accustomed to such work; he put more time and energy
+into his land than any other farmer. He and his fellows were the
+industrial workers of the future: reliable, hard-working, tractable,
+intelligent. To train them was easy, and absenteeism was never a serious
+problem, as it is in other developing nations. Another pre-condition is
+the existence of sufficient trained people to manage industry. Forty
+years ago China had enough such men to start modernization; foreign
+assistance would have been necessary in some fields, but only briefly.
+
+Another requirement (at least in the period before radio and television)
+is general literacy. Meaningful statistical data on literacy in China
+before 1937 are lacking. Some authors remark that before 1800 probably
+all upper-class sons and most daughters were educated, and that men in
+the middle and even in the lower classes often had some degree of
+literacy. In this context "educated" means that these persons could read
+classical poetry and essays written in literary Chinese, which was not
+the language of daily conversation. "Literacy," however, might mean only
+that a person could read and write some 600 characters, enough to
+conduct a business and to read simple stories. Although newspapers today
+have a stock of about 6,000 characters, only some 600 characters are
+commonly used, and a farmer or worker can manage well with a knowledge
+of about 100 characters. Statements to the effect that in 1935 some 70
+per cent of all men and 95 per cent of all women were illiterate must
+include the last category in these figures. In any case, the literacy
+program of the Nationalist government had penetrated the countryside and
+had reached even outlying villages before the Pacific War.
+
+The transportation system in China before the war was not highly
+developed, but numerous railroads connecting the main industrial centers
+did exist, and bus and truck services connected small towns with the
+larger centers. What were missing in the pre-war years were laws to
+protect the investor, efficient credit facilities, an insurance system
+supported by law, and a modern tax structure. In addition, the monetary
+system was inflation-prone. Although sufficient capital probably could
+have been mobilized within the country, the available resources either
+went into foreign banks or were invested in enterprises providing a
+quick return.
+
+The failure to capitalize on existing means of development before the
+War resulted from the chronic unrest caused by warlordism,
+revolutionaries and foreign invaders, which occupied the energies of the
+Nationalist government from its establishment to its fall. Once a stable
+government free from internal troubles arose, national development,
+whether private or socialist, could proceed at a rapid pace.
+
+Thus, the development of Communist China is not a miracle, possible only
+because of its form of government. What is unusual about Communist China
+is the fact that it is the only nation possessing a highly developed
+culture of its own to have jettisoned it in favor of a foreign one. What
+missionaries had dreamed of for centuries and knew they would never
+accomplish, Mao Tse-tung achieved; he imposed an ideology created by
+Europeans and understandable only in the context of Central Europe in
+the nineteenth century. How long his success will last is uncertain. One
+school of analysts believes that the friction between Soviet Russia and
+Communist China indicates that China's communism has become Chinese.
+These men point out that Communist Chinese practices are often direct
+continuations of earlier Chinese practices, customs, and attitudes. And
+they predict that this trend will continue, resulting in a form of
+socialism or communism distinctly different from that found in any other
+country. Another school, however, believes that communism precedes
+"Sinism," and that the regime will slowly eliminate traits which once
+were typical of China and replace them with institutions developed out
+of Marxist thinking. In any case, for the present, although the
+Communist government's aim is to impose communist thought and
+institutions in the country, typically Chinese traits are still
+omnipresent.
+
+Soon after the establishment of the Peking regime, a pact of friendship
+and alliance with the Soviet Union was concluded (February 1950), and
+Soviet specialists and civil and military products poured into China to
+speed its development. China had to pay for this assistance as well as
+for the loans it received from Russia, but the application of Russian
+experience, often involving the duplication of whole factories, was
+successful. In a few years, China developed its heavy industry, just as
+Russia had done. It should not be forgotten that Manchuria, as well as
+other parts of China, had had modern heavy industries long before 1949.
+The Manchurian factories ceased production because, when the Russians
+invaded Manchuria at the end of the war, they removed the machinery to
+Russia.
+
+Russian aid to Communist China continued to 1960. Its termination slowed
+development briefly but was not disastrous. Russian assistance was a
+"shot in the arm," as stimulating and about as lasting as American aid
+to Taiwan or to European countries. The stress laid upon heavy industry,
+in imitation of Russia, increased China's military strength quickly, but
+the consumer had to wait for goods which would make his life more
+enjoyable. One cause of friction in China today concerns the relative
+desirability of heavy industry versus consumer industry, a problem which
+arose in Russia after the death of Stalin.
+
+China's military strength was first demonstrated in the Korean War when
+Chinese armies entered Korea (October 1950). Their successes contributed
+to the prestige of the Peking regime at home and abroad, but they also
+foreshadowed a conflict with Soviet Russia, which regarded North Korea
+as lying within its own sphere of influence.
+
+In the same year, China invaded and conquered Tibet. Tibet, under Manchu
+rule until 1911, had achieved a certain degree of independence
+thereafter: no republican Chinese regime ever ruled Lhasa. The military
+conquest of Tibet is regarded by many as an act of Chinese imperialism,
+or colonialism, as the Tibetans certainly did not want to belong to
+China or be forced to change their traditional form of government.
+Having regarded themselves as subjects of the Manchu but not of the
+Chinese, they rose against the communist rulers in March 1959, but
+without success.
+
+Chinese control of Tibet, involving the construction of numerous roads,
+airstrips, and military installations, as well as differences concerning
+the international border, led in 1959 to conflicts with India, a country
+which had previously sided with the new China in international affairs.
+Indeed, the borders were uncertain and looked different depending on
+whether one used Manchu or Indian maps. China's other border problem was
+with Burma. Early in 1960 the two countries concluded a border agreement
+which ended disputes dating from British colonial times.
+
+Very early in its existence Communist China assumed control of Sinkiang,
+Chinese Central Asia, a large area originally inhabited by Turkish and
+Mongolian tribes and states, later conquered by the Manchu, and then
+integrated into China in the early nineteenth century. The communist
+action was to be expected, although after the Revolution of 1911 Chinese
+rule over this area had been spotty, and during the Pacific War some
+Soviet-inspired hope had existed that Sinkiang might gain independence,
+following the example of Outer Mongolia, another country which had been
+attached to the Manchu until 1911 and which, with Russian assistance,
+had gained its independence from China. Sinkiang is of great importance
+to Communist China as the site of large sources of oil and of atomic
+industries and testing grounds. The government has stimulated and often
+forced Chinese immigration into Sinkiang, so that the erstwhile Turkish
+and Mongolian majorities have become minorities, envious of their ethnic
+brothers in Soviet Central Asia who enjoy a much higher standard of
+living and more freedom.
+
+Inner Mongolia had a brief dream of independence under Japanese
+protection during the war. But the majority of the population were
+Chinese, and already before the Pacific War, the country had been
+divided into three Chinese provinces, of which the Chinese Communists
+gained control without delay.
+
+In general, when the Chinese Communists discuss territorial claims, they
+appear to seek the restoration of borders that China claimed in the
+eighteenth century. Thus, they make occasional remarks about the Ili
+area and parts of Eastern Siberia, which the Manchu either lost to the
+Russians or claimed as their territory. North Vietnam is probably aware
+that Imperial China exercised political rights over Tongking and Annam
+(the present-day North and part of South Vietnam). And, treaty or no,
+the Sino-Burmese question may be reopened one day, for Burma was
+semi-dependent on China under the Manchu.
+
+The build-up of heavy industry enabled China to conduct an aggressive
+policy towards the countries surrounding her, but industrialization had
+to be paid for, and, as in other countries, it was basically agriculture
+that had to create the necessary capital. Therefore, in June 1950 a
+land-reform law was promulgated. By October 1952 it had been implemented
+at an estimated cost of two million human lives: the landlords. The next
+step, socialization of the land, began in 1953.
+
+The cooperative farms were supposed to achieve higher production than
+small individual farms. It may be that any farmer, but particularly the
+Chinese, is emotionally involved in his crop, in contrast to the
+industrial worker, who often is alienated from the product he makes.
+Thus the farmer is unwilling to put unlimited energy and time into
+working on a farm that does not belong to him. But it may also be that
+the application of principles of industrial operation to agriculture
+fails because emergencies often occur in farming and are followed by
+periods of leisure, whereas in industry steady work is possible.
+
+In any case, in 1956 strains began to appear in China's economy. In
+early 1958 the "Great Leap Forward" was promoted in an attempt to speed
+production in all sectors. Soon after, the first communes were created,
+against the advise of Russian specialists. The objective of the communes
+seems to have been not only the creation of a new organizational form
+which would allow the government to exercise more pressure upon farmers
+to increase production, but also the correlation of labor and other
+needs of industry with agriculture. The communes may have represented an
+attempt to set up an organization which could function independently,
+even in the event of a governmental breakdown in wartime. At the same
+time, the decentralization of industries began and a people's militia
+was created. The "back-yard furnaces," which produced high-cost iron of
+low quality, seem to have had a similar purpose: to teach citizens how
+to produce iron for armaments in case of war and enemy occupation, when
+only guerrilla resistance would be possible. In the same year,
+aggressive actions against offshore, Nationalist-held islands increased.
+China may have believed that war with the United States was imminent.
+Perhaps as a result of Russian talks with China, a détente followed in
+1959, but so too did increased tension between Russia and China, while
+the results of the Great Leap and its policies proved catastrophic. The
+years 1961-64 provided a needed respite from the failures of the Great
+Leap. Farmers regained limited rights to income from private efforts,
+and improved farm techniques such as better seed and the use of
+fertilizer began to produce results. China can now feed her population
+in normal years.
+
+Chinese leaders realize that an improved level of living is difficult to
+attain while the birth rate remains high. They have hesitated to adopt a
+family-planning policy, which would fly in the face of Marxist doctrine,
+although for a short period family planning was openly recommended.
+Their most efficient method of limiting the birth rate has been to
+recommend postponement of marriage.
+
+First the limitation of private enterprise and business and then the
+nationalization of all important businesses following the completion of
+land reform deprived many employers as well as small shopkeepers of an
+occupation. But the new industries could not absorb all of the labor
+that suddenly became available. When rural youth inundated the cities in
+search of employment, the government returned the excess urban
+population to the countryside and recruited students and other urban
+youth to work on farms. Re-education camps in outlying areas also
+provided cheap farm labor.
+
+The problem facing China or any nation that modernizes and
+industrializes in the twentieth century can be simply stated.
+Nineteenth-century industry needed large masses of workers which only
+the rural areas could supply; and, with the development of farming
+methods, the countryside could afford to send its youth to the cities.
+Twentieth-century industry, on the other hand, needs technicians and
+highly qualified personnel, often with college degrees, but few
+unskilled workers. China has traditionally employed human labor where
+machines would have been cheaper and more efficient, simply because
+labor was available and capital was not. But since, with the growth of
+modern industry and modern farming, the problem will arise again, the
+policy of employing urban youth on farms is shortsighted.
+
+The labor force also increased as a result of the "liberation" of women,
+in which the marriage law of April 1950 was the first step. Nationalist
+China had earlier created a modern and liberal marriage law; moreover,
+women were never the slaves that they have sometimes been painted. In
+many parts of China, long before the Pacific War, women worked in the
+fields with their husbands. Elsewhere they worked in secondary
+agricultural industries (weaving, preparation of food conserves, home
+industries, and even textile factories) and provided supplementary
+income for their families. All that "liberation" in 1950 really meant
+was that women had to work a full day as their husbands did, and had, in
+addition, to do house work and care for their children much as before.
+The new marriage law did, indeed, make both partners equal; it also made
+it easier for men to divorce their wives, political incompatibility
+becoming a ground for divorce.
+
+The ideological justification for a new marriage law was the
+desirability of destroying the traditional Chinese family and its
+economic basis because a close family, and all the more an extended
+family or a clan, could obviously serve as a center of resistance. Land
+collectivization and the nationalization of business destroyed the
+economic basis of families. The "liberation" of women brought them out
+of the house and made it possible for the government to exploit
+dissention between husband and wife, thereby increasing its control over
+the family. Finally, the new education system, which indoctrinated all
+children from nursery to the end of college, separated children from
+parents, thus undermining parental control and enabling the state to
+intimidate parents by encouraging their children to denounce their
+"deviations." Sporadic efforts to dissolve the family completely by
+separating women from men in communes--recalling an attempt made almost
+a century earlier by the T'ai-p'ing--were unsuccessful.
+
+The best formula for a revolution seems to involve turning youth against
+its elders, rather than turning one class against another. Not all
+societies have a class system so clear-cut that class antagonism is
+effective. On the other hand, Chinese youth, in its opposition to the
+"establishment," to conservatism, to traditional religion, to blind
+emulation of Western customs and institutions, to the traditional family
+structure and the position of women, had hopes that communism would
+eradicate the specific "evil" which each individual wanted abolished.
+Mao and his followers had once been such rebellious youths, but by the
+1960's they were mostly old men and a new youth had appeared, a
+generation of revolutionaries for whom the "old regime" was dim history,
+not reality. In the struggle between Mao and Liu Shao-ch'i, which became
+increasingly apparent in 1966, Mao tried to retain his power by
+mobilizing young people as "Red Guards" and by inciting them to make the
+"Great Proletarian Revolution." The motives behind the struggle are
+diverse. It is on the one hand a conflict of persons contending for
+power, but there are also disagreements over theory: for example, should
+China's present generation toil to make possible a better life only for
+the next generation, or should it enjoy the fruits of its labor, after
+its many years of suffering? Mao opposes such "weakening" and favors a
+new generation willing to endure hardships, as he did in his youth.
+There is also a question whether the Chinese Communist Party under the
+banner of Maoism should replace the Russian party, establish Mao as the
+fourth founder after Marx, Lenin, and Stalin, and become the leader of
+world communism, or whether it should collaborate with the Russian
+party, at least temporarily, and thus ensure China Russian support.
+When, however, Chinese youth was summoned to take up the fight for Mao
+and his group, forces were loosed which could not be controlled.
+Following independent action by youth groups similar in nature to youth
+revolts in Western countries, the power and prestige of older leaders
+suffered. Even now (1969) it is impossible to re-establish unity and
+order; the Mao and Liu groups still oppose each other, and local
+factions have arisen. Violent confrontations, often resulting in
+hundreds of deaths, occur in many provinces. The regime is no longer so
+strong and unified as it was before 1966, although its end is not in
+sight. Quite possibly far-reaching changes may occur in the future.
+
+Three factors will probably influence the future of China. First, the
+emergence of neo-communism, as in Czechoslovakia in 1968, in an attempt
+to soften traditional communist practice. Second, the outcome of the war
+in Vietnam. Will China be able to continue its eighteenth-century dream
+of direct or indirect domination of Southeast Asia? Will North Vietnam
+detach itself from China and attach itself more closely to Russia? Will
+Russia and China continue to create separate spheres of influence in
+Asia, Africa, and South America? The first factor depends on
+developments inside China, the second on events outside, and at least in
+part on decisions in the United States, Japan, and Europe.
+
+The third factor has to do with human nature. One may justifiably ask
+whether the change in human personality which Chinese communism has
+attempted to achieve is possible, let alone desirable. Studies of
+animals and of human beings have demonstrated a tendency to identify
+with a territory, with property, and with kin. Can the Chinese eradicate
+this tendency? The Chinese have been family-centered and accustomed to
+subordinating their individual inclinations to the requirements of
+family and neighborhood. But beyond these established frameworks they
+have been individualistic and highly idiosyncratic at all times. Under
+the communist regime, however, the government is omnipresent, and people
+must toe the official line. One senses the tragedy that affects
+well-known scholars, writers and poets, who must degrade themselves,
+their work, their past and their families in order to survive. They may
+hope for comprehension of their actions, but nonetheless they must
+suffer shame. Will the present government change the minds of these men
+and eradicate their feelings?
+
+Communist China has made great progress, no doubt. Soon it may equal
+other developed nations. But its progress has been achieved at an
+unnecessary cost in human lives and happiness.
+
+That the regime is no longer so strong and unified as it was before 1966
+does not mean that its end is in sight. Far-reaching changes may occur
+in the near future. Public opinion is impressed with mainland China's
+progress, as the world usually is with strong nations. And public
+opinion is still unimpressed by the achievements of Taiwan and has
+hardly begun to change its attitude toward the government of the
+"Republic of China." To the historian and the sociologist, the
+experience of Taiwan indicates that China, if left alone and freed from
+ideological pressures, could industrialize more quickly than any other
+presently underdeveloped nation. Taiwan offers a model with which to
+compare mainland China.
+
+
+
+
+NOTES AND REFERENCES
+
+
+The following notes and references are intended to help the interested
+reader. They draw his attention to some more specialized literature in
+English, and occasionally in French and German. They also indicate for
+the more advanced reader the sources for some of the interpretations of
+historical events. As such sources are most often written in Chinese or
+Japanese and, therefore, inaccessible to most readers, only brief hints
+and not full bibliographical data are given. The specialists know the
+names and can easily find details in the standard bibliographies. The
+general reader will profit most from the bibliography on Chinese history
+published each year in the _Journal of Asian Studies_. These Notes do
+not mention the original Chinese sources which are the factual basis of
+this book.
+
+
+_Chapter One_
+
+p. 7: Reference is made here to the _T'ung-chien kang-mu_ and its
+translation by de Mailla (1777-85). Criticism by O. Franke, Ku
+Chieh-kang and his school, also by G. Haloun.
+
+p. 8: For the chronology, I rely here upon Ijima Tadao and my own
+research. Excavations at Chou-k'ou-tien still continue and my account
+should be taken as very preliminary. An earlier analysis is given by E.
+von Eickstedt (_Rassendynamik von Ostasien_, Berlin 1944). For the
+following periods, the best general study is still J. G. Andersson,
+_Researches into the Prehistory of the Chinese_, Stockholm 1943. A great
+number of new findings has been made recently, but no comprehensive
+analysis in a Western language is available.
+
+p. 9: Comparison with Ainu has been made by Weidenreich. The theory of
+desiccation of Asia is not the Huntington theory, but I rely here upon
+arguments by J. G. Andersoon and Sven Hedin.
+
+p. 10: The earlier theories of R. Heine-Geldern have been used here.
+
+p. 11: This is a summary of my own theories. Concerning the Tungus
+tribes, K. Jettmar (_Wiener Beiträge zur Kulturgeschichte_, vol. 9,
+1952, p. 484f and later studies) has proposed a more refined theory;
+other parts of the theory, as far as it is concerned with conditions in
+Central Asia, have been modified by F. Kussmaul (in: _Tribus_, vol.
+1952-3, pp. 305-60). Archaeological data from Central Asia have been
+analysed again by K. Jettmar (in: _The Museum of Far Eastern
+Antiquities, Bulletin_ No. 23, 1951). The discussion on domestication of
+large animals relies on the studies by C. O. Sauer, H. von Wissmann,
+Menghin, Amschler, Flohr and, most recently, F. Hančar (in: _Saeculum_,
+vol. 10, 1959, pp. 21-37 with further literature), and also on my own
+research.
+
+p. 12: An analysis of the situation in the South according to Western
+and Chinese studies is found in H. J. Wiens, _China's March toward the
+Tropics_, Hamden 1954. Much further work is now published by Ling
+Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best
+analysis of denshiring in the Far East is still the book by K. J. Pelzer,
+_Population and Land Utilization_, New York 1941. The anthropological
+theories on this page are my own, influenced by ideas of R.
+Heine-Geldern and Gordon Luce.
+
+p. 14: Sociological theory, as developed by R. Thurnwald and others, has
+been used as a theoretical tool here, together with observations by A.
+Credner and H. Bernatzik. Concerning rice in Yang-shao see R.
+Heine-Geldern in _Anthropos_, vol. 27, p. 595.
+
+p. 15: Wu Chin-ting defended the local origin of Yang-shao; T. J. Arne,
+J. G. Andersson and many others suggested Western influences. Most
+recently R. Heine-Geldern elaborated this theory. The allusion to
+Indo-Europeans refers to the studies by G. Haloun and others concerning
+the Ta-Hsia, the later Yüeh-chih, and the Tocharian problem.
+
+p. 16: R. Heine-Geldern proposed a "Pontic migration". Yin Huan-chang
+discussed most recently Lung-shan culture and the mound-dwellers.
+
+p. 17: The original _Chu-shu chi-nien_ version of the stories about Yao
+has been accepted here, together with my own research and the studies by
+B. Karlgren, M. Loehr, G. Haloun, E. H. Minns and others concerning the
+origin and early distribution of bronze and the animal style. Smith
+families or tribes are well known from Central Asia, but also from India
+and Africa (see W. Ruben, _Eisenschmiede und Dämonen in Indien_, Leiden
+1939, for general discussion).--For a discussion of the Hsia see E.
+Erkes.
+
+
+_Chapter Two_
+
+p. 19: The discussion in this chapter relies mainly upon the An-yang
+excavation reports and the studies by Tung Tso-pin and, most strongly,
+Ch'en Meng-chia. In English, the best work is still H. G. Creel, _The
+Birth of China_, London 1936 and his more specialized _Studies in Early
+Chinese Culture_, Baltimore 1937.
+
+p. 20: The possibility of a "megalithic" culture in the Far East has
+often been discussed, by O. Menghin, R. Heine-Geldern, Cheng Tê-k'un,
+Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia,
+southern China, Korea and Japan.--Teng Ch'u-min and others believe that
+silk existed already in the time of Yang-shao.
+
+p. 21: Kuo Mo-jo believes, that the Shang already used a real plough
+drawn by animals. The main discussion on ploughs in China is by Hsü
+Chung-shu; for general anthropological discussion see E. Werth and H.
+Kothe.
+
+p. 22: For the discussion of the T'ao-t'ieh see the research by B.
+Karlgren and C. Hentze.
+
+p. 23: I follow here mainly Ch'en Meng-chia, but work by B. Schindler,
+C. Hentze, H. Maspero and also my own research has been considered.
+
+p. 24: I am accepting here a narrow definition of feudalism (see my
+_Conquerors and Rulers_, Leiden 1952).--The division of armies into
+"right" and "left" is interesting in the light of the theories
+concerning the importance of systems of orientation (Fr. Röck and
+others).
+
+p. 25: Here, the work by W. Koppers, O. Spengler, F. Hančar, V. G. Childe
+and many others, concerning the domestication of the horse and the
+introduction of the war-chariot in general, and work by Shih Chang-ju,
+Ch'en Meng-chia, O. Maenchen, Uchida Gimpu and others concerning
+horses, riding and chariots in China has been used, in addition to my
+own research.
+
+p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia,
+Hsü Chung-shu and Tung Tso-pin.--The discussion as to whether there was
+a period of "slave society" (as postulated by Marxist theory) in China,
+and when it florished, is still going on under the leadership of Kuo
+Mo-jo and his group. I prefer to differentiate between slaves and serfs,
+and relied for factual data upon texts from oracle bones, not upon
+historical texts.--The problem of Shang chronology is still not solved,
+in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many
+Japanese and Western scholars. The old chronology, however, seems to be
+rejected by most scholars now.
+
+
+_Chapter Three_
+
+p. 29: Discussing the early script and language, I refer to the great
+number of unidentified Shang characters and, especially, to the
+composite characters which have been mentioned often by C. Hentze in his
+research; on the other hand, the original language of the Chou may have
+been different from classical Chinese, if we can judge from the form of
+the names of the earliest Chou ancestors. Problems of substrata
+languages enter at this stage. Our first understanding of Chou language
+and dialects seems to come through the method applied by P. Serruys,
+rather than through the more generally accepted theories and methods of
+B. Karlgren and his school.
+
+p. 30: I reject here the statement of classical texts that the last
+Shang ruler was unworthy, and accept the new interpretation of Ch'en
+Meng-chia which is based upon oracle bone texts.--The most recent
+general study on feudalism, and on feudalism in China, is in R.
+Coulborn, _Feudalism in History_, Princeton 1956. Stimulating, but in
+parts antiquated, is M. Granet, _La Féodalité Chinoise_, Oslo 1952. I
+rely here on my own research. The instalment procedure has been
+described by H. Maspero and Ch'i Szŭ-ho.
+
+p. 31: The interpretation of land-holding and clans follows my own
+research which is influenced by Niida Noboru, Katō Shigeru and other
+Japanese scholars, as well as by G. Haloun.--Concerning the origin of
+family names see preliminarily Yang Hsi-mei; much further research is
+still necessary. The general development of Chinese names is now studied
+by Wolfgang Bauer.--The spread of cities in this period has been studied
+by Li Chi, _The Formation of the Chinese People_, Cambridge 1928. My
+interpretation relies mainly upon a study of the distribution of
+non-Chinese tribes and data on early cities coming from excavation
+reports (see my "Data on the Structure of the Chinese City" in _Economic
+Development and Cultural Change_, 1956, pp. 253-68, and "The Formation
+of Chinese Civilization" in _Sociologus_ 7, 1959, pp. 97-112).
+
+p. 32: The work on slaves by T. Pippon, E. Erkes, M. Wilbur, Wan
+Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been
+consulted; the interpretation by E. G. Pulleyblank, however, was not
+accepted.
+
+p. 33: This interpretation of the "well-field" system relies in part
+upon the work done by Hsü Ti-shan, in part upon M. Granet and H.
+Maspero, and attempts to utilize insight from general anthropological
+theory and field-work mainly in South-East Asia. Other interpretations
+have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Szŭ-ho P.
+Demiéville, Hu Shih, Chi Ch'ao-ting, K. A. Wittfogel, and others. Some
+authors, such as Kuo Mo-jo, regard the whole system as an utopia, but
+believe in an original "village community".--The characterization of the
+_Chou-li_ relies in part upon the work done by Hsü Chung-shu and Ku
+Chieh-kang on the titles of nobility, research by Yang K'uan and textual
+criticism by B. Karlgren, O. Franke, and again Ku Chieh-kang and his
+school.--The discussion on twin cities is intended to draw attention to
+its West Asian parallels, the "acropolis" or "ark" city, as well as to
+the theories on the difference between Western and Asian cities (M.
+Weber) and the specific type of cities in "dual societies" (H. Boeke).
+
+p. 34: This is a modified form of the Hu Shih theory.--The problem of
+nomadic agrarian inter-action and conflict has been studied for a later
+period mainly by O. Lattimore. Here, general anthropological research as
+well as my own have been applied.
+
+p. 36: The supra-stratification theory as developed by R. Thurnwald has
+been used as analytic tool here.
+
+p. 38: For this period, a novel interpretation is presented by R. L.
+Walker, _The Multi-State System of China_, Hamden 1953. For the concepts
+of sovereignty, I have used here the _Chou-li_ text and interpretations
+based upon this text.
+
+p. 40: For the introduction of iron and the importance of Ch'i, see Chu
+Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.--Some scholars (G.
+Haloun) tend to interpret attacks such as the one of 660 B. C. as attacks
+from outside the borders of China.
+
+p. 41: For Confucius see H. G. Creel, _Confucius_, New York 1949. I do
+not, however, follow his interpretation, but rather the ideas of Hu
+Shih, O. Franke and others.
+
+p. 42: For "chün-tzu" and its counterpart "hsiao-jen" see D. Bodde and
+Ch'en Meng-chia.
+
+p. 43: I rely strongly here upon O. Franke and Ku Chieh-kang and upon my
+own work on eclipses.
+
+p. 44: I regard the Confucian traditions concerning the model emperors
+of early time as such a falsification. The whole concept of "abdication"
+has been analysed by M. Granet. The later ceremony of abdication was
+developed upon the basis of the interpretations of Confucius and has
+been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius'
+disciple Meng Tzŭ, and later Chuang Tzŭ and Han Fei Tzŭ were against
+this theory.--As a general introduction to the philosophy of this
+period, Y. L. Feng's _History of Chinese Philosophy_, London 1937 has
+still to be recommended, although further research has made many
+advances.--My analysis of the role of Confucianism in society is
+influenced by theories in the field of Sociology of religion.
+
+p. 45: The temple in Turkestan was in Khotan and is already mentioned in
+the _Wei-shu_ chapter 102. The analysis of the famous "Book on the
+transfiguration of Lao Tzŭ into a Western Barbarian" by Wang Wei-cheng
+is penetrating and has been used here. The evaluation of Lao Tzŭ and his
+pupils as against Confucius by J. Needham, in his _Science and
+Civilization in China_, Cambridge 1954 _et sqq._ (in volume 2) is very
+stimulating, though necessarily limited to some aspects only.
+
+p. 47: The concept of _wu-wei_ has often been discussed; some, such as
+Masaaki Matsumoto, interpreted the concept purely in social terms as
+"refusal of actions carrying wordly estimation".
+
+p. 49: Further literature concerning alchemy and breathing exercises is
+found in J. Needham's book.
+
+
+_Chapter Four_
+
+p. 51: I have used here the general frame-work of R. L. Walker, but more
+upon Yang K'uan's studies.
+
+p. 52: The interpretation of the change of myths in this period is based
+in part upon the work done by H. Maspero, G. Haloun, and Ku Chieh-kang.
+The analysis of legends made by B. Karlgren from a philological point of
+view ("Legends and Cults in Ancient China", _The Museum of Far Eastern
+Antiquities, Bulletin_ No. 18, 1946, pp. 199-365) follows another
+direction.
+
+p. 53: The discussion on riding involves the theories concerning
+horse-nomadic tribes and the period of this way of life. It also
+involves the problem of the invention of stirrup and saddle. The saddle
+seems to have been used in China already at the beginning of our period;
+the stirrup seems to be as late as the fifth century A.D. The article by
+A. Kroeber, _The Ancient Oikumene as an Historic Culture Aggregate_,
+Huxley Memorial Lecture for 1945, is very instructive for our problems
+and also for its theoretical approach.--The custom of attracting
+settlers from other areas in order to have more production as well as
+more man-power seems to have been known in India at the same time.
+
+p. 54: The work done by Katō Shigeru and Niida Noboru on property and
+family has been used here. For the later period, work done by Makino
+Tatsumi has also been incorporated.--Literature on the plough and on
+iron for implements has been mentioned above. Concerning the fallow
+system, I have incorporated the ideas of Katō Shigeru, Ōshima Toshikaza,
+Hsü Ti-shan and Wan Kuo-ting. Hsü Ti-shan believes that a kind of
+3-field system had developed by this time. Traces of such a system have
+been observed in modern China (H. D. Scholz). For these questions, the
+translation by N. Lee Swann, _Food and Money in Ancient China_, 1959 is
+very important.
+
+p. 55: For all questions of money and credit from this period down to
+modern times, the best brief introduction is by Lien-sheng Yang, _Money
+and Credit in China_, Cambridge 1952. The _Introduction to the Economic
+History of China_, London 1954, by E. Stuart Kirby is certainly still
+the best brief introduction into all problems of Chinese Economic
+history and contains a bibliography in Western and Chinese-Japanese
+languages. Articles by Chinese authors on economic problems have been
+translated in E-tu Zen Sun and J. de Francis, _Chinese Social History_;
+Washington 1956.--Data on the size of early cities have been collected
+by T. Sekino and Katō Shigeru.
+
+p. 56: T. Sekino studied the forms of cities. G. Hentze believes that
+the city even in the Shang period normally had a square plan.--T. Sekino
+has also made the first research on city coins. Such a privilege and
+such independence of cities disappear later, but occasionally the
+privilege of minting was given to persons of high rank.--K. A. Wittfogel,
+_Oriental Despotism_, New Haven 1957 regards irrigation as a key
+economic and social factor and has built up his theory around this
+concept. I do not accept his theory here or later. Evidence seems to
+point towards the importance of transportation systems rather than of
+government-sponsored or operated irrigation systems.--Concerning steel,
+we follow Yang K'uan; a special study by J. Needham is under
+preparation. Centre of steel production at this time was Wan (later
+Nan-yang in Honan).--For early Chinese law, the study by A. F. P. Hulsewé,
+_Remnants of Han Law_, Leiden 1955 is the best work in English. He does
+not, however, regard Li K'ui as the main creator of Chinese law, though
+Kuo Mo-jo and others do. It is obvious, however, that Han law was not a
+creation of the Han Chinese alone and that some type of code must have
+existed before Han, even if such a code was not written by the man Li
+K'ui. A special study on Li was made by O. Franke.
+
+p. 57: In the description of border conditions, research by O. Lattimore
+has been taken into consideration.
+
+p. 59: For Shang Yang and this whole period, the classical work in
+English is still J. J. L. Duyvendak, _The Book of Lord Shang_, London
+1928; the translation by Ma Perleberg of _The Works of Kung-sun
+Lung-tzu_, Hongkong 1952 as well as the translation of the _Economic
+Dialogues in Ancient China: The Kuan-tzu_, edited by L. Maverick, New
+Haven 1954 have not found general approval, but may serve as
+introductions to the way philosophers of our period worked. Han Fei Tzŭ
+has been translated by W. K. Liao, _The Complete Works of Han Fei Tzŭ_,
+London 1939 (only part 1).
+
+p. 60: Needham does not have such a positive attitude towards Tsou Yen,
+and regards Western influences upon Tsou Yen as not too likely. The
+discussion on pp. 60-1 follows mainly my own researches.
+
+p. 61: The interpretation of secret societies is influenced by general
+sociological theory and detailed reports on later secret societies. S.
+Murayama and most modern Chinese scholars stress almost solely the
+social element in the so-called "peasant rebellions".
+
+
+_Chapter Five_
+
+p. 63: The analysis of the emergence of Ch'in bureaucracy has profitted
+from general sociological theory, especially M. Weber (see the new
+analysis by R. Bendix, _Max Weber, an Intellectual Portrait_, Garden
+City 1960, p. 117-157). Early administration systems of this type in
+China have been studied in several articles in the journal _Yü-kung_
+(vol. 6 and 7).
+
+p. 65: In the discussion of language, I use arguments which have been
+brought forth by P. Serruys against the previously generally accepted
+theories of B. Karlgren.--For weights and measures I have referred to T.
+Sekino, Liu Fu and Wu Ch'eng-lo.
+
+p. 66: For this period, D. Bodde's _China's First Unifier_, Leiden 1938
+and his _Statesman, Patriot, and General in Ancient China_, New Haven
+1940 remain valuable studies.
+
+
+_Chapter Six_
+
+p. 71: The basic historical text for this whole period, the _Dynastic
+History of the Han Dynasty_, is now in part available in English
+translation (H. H. Dubs, _The History of the Former Han Dynasty_,
+Baltimore 1938, 3 volumes).
+
+p. 72: The description of the gentry is based upon my own research.
+Other scholars define the word "gentry", if applied to China,
+differently (some of the relevant studies are discussed in my note in
+the _Bull. School of Orient. & African Studies_, 1955, p. 373 f.).
+
+p. 73: The theory of the cycle of mobility has been brought forth by Fr.
+L. K. Hsu and others. I have based my criticism upon a forthcoming study
+of _Social Mobility in Traditional Chinese Society_. The basic point is
+not the momentary economic or political power of such a family, but the
+social status of the family (_Li-shih yen-chiu_, Peking 1955, No. 4, p.
+122). The social status was, increasingly, defined and fixed by law
+(Ch'ü T'ung-tsu).--The difference in the size of gentry and other
+families has been pointed out by a number of scholars such as Fr. L. K.
+Hsu, H. T. Fei, O. Lang. My own research seems to indicate that gentry
+families, on the average, married earlier than other families.
+
+p. 74: The Han system of examinations or rather of selection has been
+studied by Yang Lien-sheng; and analysis of the social origin of
+candidates has been made in the _Bull. Chinese Studies_, vol. 2, 1941,
+and 3, 1942.--The meaning of the term "Hundred Families" has been
+discussed by W. Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by
+Hsü T'ung-hsin. It was later also a fiscal term.
+
+p. 75: The analysis of Hsiung-nu society is based mainly upon my own
+research. There is no satisfactory history of these northern federations
+available in English. The compilation of W. M. MacGovern, _The Early
+Empires of Central Asia_, Chapel Hill 1939, is now quite antiquated.--An
+attempt to construct a model of Central Asian nomadic social structure
+has been made by E. E. Bacon, _Obok, a Study of Social Structure in
+Eurasia_, New York 1958, but the model constructed by B. Vladimirtsov
+and modified by O. Lattimore remains valuable.--For origin and
+early-development of Hsiung-nu society see O. Maenchen, K. Jettmar, B.
+Bernstam, Uchida Gimpu and many others.
+
+p. 79: Material on the "classes" (_szŭ min_) will be found in a
+forthcoming book. Studies by Ch'ü T'ung-tsu and Tamai Korehiro are
+important here. An up-to-date history of Chinese education is still a
+desideratum.
+
+p. 80: For Tung Chung-shu, I rely mainly upon O. Franke.--Some scholars
+do not accept this "double standard", although we have clear texts which
+show that cases were evaluated on the basis of Confucian texts and not
+on the basis of laws. In fact, local judges probably only in exceptional
+cases knew the text of the law or had the code. They judged on the basis
+of "customary law".
+
+p. 81: Based mainly upon my own research. K. A. Wittfogel, _Oriental
+Despotism_, New Haven 1957, has a different interpretation.
+
+p. 82: Cases in which the Han emperors disregarded the law code were
+studied by Y. Hisamura.--I have used here studies published in the
+_Bull. of Chinese Studies_, vol. 2 and 3 and in _Tôyô gakuho_, vol. 8
+and 9, in addition to my own research.
+
+p. 85: On local administration see Katō Shigeru and Yen Keng-wang's
+studies.
+
+p. 86: The problem of the Chinese gold, which will be touched upon later
+again, has gained theoretical interest, because it could be used as a
+test of M. Lombard's theories concerning the importance of gold in the
+West (_Annales, Economies, Sociétés, Civilisations_, vol. 12, Paris
+1957, No. 1, p. 7-28). It was used in China from _c._ 600 B.C. on in form
+of coins or bars, but disappeared almost completely from A.D. 200 on,
+i.e. the period of economic decline (see L. S. Yang, Katō Shigeru).--The
+payment to border tribes occurs many times again in Chinese history down
+to recent times; it has its parallel in British payments to tribes in
+the North-West Frontier Province in India which continued even after the
+Independence.
+
+p. 88: According to later sources, one third of the tributary gifts was
+used in the Imperial ancestor temples, one third in the Imperial
+mausolea, but one third was used as gifts to guests of the Emperor.--The
+trade aspect of the tributes was first pointed but by E. Parker, later
+by O. Lattimore, recently by J. K. Fairbank.--The importance of Chang
+Ch'ien for East-West contacts was systematically studied by B. Laufer;
+his _Sino-Iranica_, Chicago 1919 is still a classic.
+
+p. 89: The most important trait which points to foreign trade, is the
+occurrence of glass in Chinese tombs in Indo-China and of glass in China
+proper from the fifth century B.C. on; it is assumed that this glass was
+imported from the Near East, possibly from Egypt (O. Janse, N. Egami,
+Seligman).
+
+p. 91: Large parts of the "Discussions" have been translated by Esson M.
+Gale, _Discourses on Salt and Iron_, Leiden 1931; the continuation of
+this translation is in _Jour. Royal As. Society, North-China Branch_
+1934.--The history of eunuchs in China remains to be written. They were
+known since at least the seventh century B.C. The hypothesis has been
+made that this custom had its origin in Asia Minor and spread from there
+(R. F. Spencer in _Ciba Symposia_, vol. 8, No. 7, 1946 with references).
+
+p. 92: The main source on Wang Mang is translated by C. B. Sargent, _Wang
+Mang, a translation_, Shanghai 1950 and H. H. Dubs, _History of the
+Former Han Dynasty_, vol, 3, Baltimore 1955.
+
+p. 93: This evaluation of the "Old character school" is not generally
+accepted. A quite different view is represented by Tjan Tjoe Som and
+R. P. Kramers and others who regard the differences between the schools
+as of a philological and not a political kind. I follow here most
+strongly the Chinese school as represented by Ku Chieh-kang and his
+friends, and my own studies.
+
+p. 93: Falsification of texts refers to changes in the Tso-chuan. My
+interpretation relies again upon Ku Chieh-kang, and Japanese
+astronomical studies (Ijima Tadao), but others, too, admit
+falsifications (H. H. Dubs); B. Karlgren and others regard the book as in
+its main body genuine. The other text mentioned here is the _Chou-li_
+which is certainly not written by Wang Mang (_Jung-chai Hsü-pi_ 16), but
+heavily mis-used by him (in general see S. Uno).
+
+p. 94: I am influenced here by some of H. H. Dubs's studies. For this and
+the following period, the work by H. Bielenstein, _The Restoration of
+the Han Dynasty_, Stockholm 1953 and 1959 is the best monograph.--The
+"equalization offices" and their influence upon modern United States has
+been studied by B. Bodde in the _Far Eastern Quarterly_, vol. 5, 1946.
+
+p. 95: H. Bielenstein regards a great flood as one of the main reasons
+for the breakdown of Wang Mang's rule.
+
+p. 98: For the understanding of Chinese military colonies in Central
+Asia as well as for the understanding of military organization, civil
+administration and business, the studies of Lao Kan on texts excavated
+in Central Asia and Kansu are of greatest importance.
+
+p. 101: Mazdaistic elements in this rebellion have been mentioned mainly
+by H. H. Dubs. Zoroastrism (Zoroaster born 569 B.C.) and Mazdaism were
+eminently "political" religions from their very beginning on. Most
+scholars admit the presence of Mazdaism in China only from 519 on
+(Ishida Mikinosuke, O. Franke). Dubs's theory can be strengthened by
+astronomical material.--The basic religious text of this group, the
+"Book of the Great Peace" has been studied by W. Eichhron, H. Maspero
+and Ho Ch'ang-ch'ün.
+
+p. 102: For the "church" I rely mainly upon H. Maspero and W. Eichhorn.
+
+p. 103: I use here concepts developed by Cheng Chen-to and especially by
+Jung Chao-tsu.
+
+p. 104: Wang Ch'ung's importance has recently been mentioned again by J.
+Needham.
+
+p. 105: These "court poets" have their direct parallel in Western Asia.
+This trend, however, did not become typical in China.--On the general
+history of paper read A. Kroeber, _Anthropology_, New York 1948, p.
+490f., and Dard Hunter, _Paper Making_, New York 1947 (2nd ed.).
+
+
+_Chapter Seven_
+
+p. 109: The main historical sources for this period have been translated
+by Achilles Fang, _The Chronicle of the Three Kingdoms_, Cambridge,
+Mass. 1952; the epic which describes this time is C. H. Brewitt-Taylor,
+_San Kuo, or Romance of the Three Kingdoms_, Shanghai 1925.
+
+p. 112: For problems of migration and settlement in the South, we relied
+in part upon research by Ch'en Yüan and Wang Yi-t'ung.
+
+p. 114: For the history of the Hsiung-nu I am relying mainly upon my own
+studies.
+
+p. 117: This analysis of tribal structure is based mainly upon my own
+research; it differs in detail from the studies by E. Bacon, _Obok, a
+Study of Social Structure in Eurasia_, New York 1958, B. Vladimirtsov,
+O. Lattimore's _Inner Asian Frontiers of China_, New York 1951 (2nd
+edit.) and the studies by L. M. J. Schram, _The Monguors of the
+Kansu-Tibetan Frontier_, Philadelphia 1954 and 1957.
+
+p. 118: The use of the word "Huns" does not imply that we identify the
+early or the late Hsiung-nu with the European Huns. This question is
+still very much under discussion (O. Maenchen, W. Haussig, W. Henning,
+and others).
+
+p. 119: For the history of the early Hsien-pi states see the monograph
+by G. Schreiber, "The History of the Former Yen Dynasty", in _Monomenta
+Serica_, vol. 14 and 15 (1949-56). For all translations from Chinese
+Dynastic Histories of the period between 220 and 960 the _Catalogue of
+Translations from the Chinese Dynastic Histories for the Period
+220-960_, by Hans H. Frankel, Berkeley 1957, is a reliable guide.
+
+p. 125: For the description of conditions in Turkestan, especially in
+Tunhuang, I rely upon my own studies, but studies by A. von Gabein, L.
+Ligeti, J. R. Ware, O. Franke and Tsukamoto Zenryû have been used, too.
+
+p. 133: These songs have first been studied by Hu Shih, later by Chinese
+folklorists.
+
+p. 134: For problems of Chinese Buddhism see Arthur F. Wright, _Buddhism
+in Chinese History_, Stanford 1959, with further bibliography. I have
+used for this and later periods, in addition to my own sociological
+studies, R. Michihata, J. Gernet, and Tamai Korehiro.--It is interesting
+that the rise of land-owning temples in India occurred at exactly the
+same time (R. S. Sharma in _Journ. Econ. and Soc. Hist. Orient_, vol. 1,
+1958, p. 316). Perhaps even more interesting, but still unstudied, is
+the existence of Buddhist temples in India which owned land and villages
+which were donated by contributions from China.--For the use of foreign
+monks in Chinese bureaucracies, I have used M. Weber's theory as an
+interpretative tool.
+
+p. 135: The important deities of Khotan Buddhism are Vaišramana and
+Kubera, (research by P. Demiéville, R. Stein and others).--Where, how,
+and why Hinayana and Mahayana developed as separate sects, is not yet
+studied. Also, a sociological analysis of the different Buddhist sects
+in China has not even been attempted yet.
+
+p. 136: Such public religious disputations were known also in India.
+
+p. 137: Analysis of the tribal names has been made by L. Bazin.
+
+p. 138-9: The personality type which was the ideal of the Toba
+corresponded closely to the type described by G. Geesemann, _Heroische
+Lebensform_, Berlin 1943.
+
+p. 142: The Toba occur in contemporary Western sources as Tabar, Tabgaç,
+Tafkaç and similar names. The ethnic name also occurs as a title (O.
+Pritsak, P. Pelliot, W. Haussig and others).--On the _chün-t'ien_ system
+cf. the article by Wan Kuo-ting in E-tu Zen Sun, _Chinese Social
+History_, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and
+T'ang Ch'ang-ju.--Census fragments from Tunhuang have been published by
+L. Giles, Niida Noboru and other Japanese scholars.
+
+p. 143: On slaves for the earlier time see M. Wilbur, _Slavery in China
+during the Former Han Dynasty_, Chicago 1943. For our period Wang
+Yi-t'ung and especially Niida Noboru and Ch'ü T'ung-tsu. I used for this
+discussion Niida, Ch'ü and Tamai Korehiro.--For the _pu-ch'ü_ I used in
+addition Yang Chung-i, H. Maspero, E. Balazs, W. Eichhorn. Yang's
+article is translated in E-tu Zen Sun's book, _Chinese Social History_,
+pp. 142-56.--The question of slaves and their importance in Chinese
+society has always been given much attention by Chinese Communist
+authors. I believe that a clear distinction between slaves and serfs is
+very important.
+
+p. 145: The political use of Buddhism has been asserted for Japan as
+well as for Korea and Tibet (H. Hoffmann, _Quellen zur Geschichte der
+tibetischen Bon-Religion_, Mainz 1950, p. 220 f.). A case could be made
+for Burma. In China, Buddhism was later again used as a tool by rulers
+(see below).
+
+p. 146: The first text in which such problems of state versus church are
+mentioned is Mou Tzŭ (P. Pelliot transl.). More recently, some of the
+problems have been studied by R. Michihata and E. Zürcher. Michihata
+also studied the temple slaves. Temple families were slightly different.
+They have been studied mainly by R. Michihata, J. Gernet and Wang
+Yi-t'ung. The information on T'an-yao is mainly in _Wei-shu_ 114
+(transl. J. Ware).--The best work on Yün-kang is now Seiichi Mizuno and
+Toshio Nagahiro, _Yün-kang. The Buddhist Cave-Temples of the Fifth
+Century A.D. in North China_, Kyoto 1951-6, thus far 16 volumes. For
+Chinese Buddhist art, the work by Tokiwa Daijô and Sekino Tadashi,
+_Chinese Buddhist Monuments_, Tokyo 1926-38, 5 volumes, is most
+profusely illustrated.--As a general reader for the whole of Chinese
+art, Alexander Soper and L. Sickman's _The Art and Architecture of
+China_, Baltimore 1956 may be consulted.
+
+p. 147: Zenryû Tsukamoto has analysed one such popular, revolutionary
+Buddhist text from the fifth century A.D. I rely here for the whole
+chapter mainly upon my own research.
+
+p. 150: On the Ephtalites (or Hephtalites) see R. Ghirshman and
+Enoki.--The carpet ceremony has been studied by P. Boodberg, and in a
+comparative way by L. Olschki, _The Myth of Felt_, Berkeley 1949.
+
+p. 151: For Yang Chien and his time see now A. F. Wright, "The Formation
+of Sui Ideology" in John K. Fairbank, _Chinese Thought and
+Institutions_, Chicago 1957, pp. 71-104.
+
+p. 153: The processes described here, have not yet been thoroughly
+analysed. A preliminary review of literature is given by H. Wiens,
+_China's March towards the Tropics_, Hamden 1954. I used Ch'en Yüan,
+Wang Yi-t'ung and my own research.
+
+p. 154: It is interesting to compare such hunting parks with the
+"_paradeisos_" (Paradise) of the Near East and with the "Garden of
+Eden".--Most of the data on gardens and manors have been brought
+together and studied by Japanese scholars, especially by Katō Shigeru,
+some also by Ho Tzû-ch'üan.--The disappearance of "village commons" in
+China should be compared with the same process in Europe; both
+processes, however, developed quite differently. The origin of manors
+and their importance for the social structure of the Far East (China as
+well as Japan) is the subject of many studies in Japan and in modern
+China. This problem is connected with the general problem of feudalism
+East and West. The manor (_chuang_: Japanese _shô_) in later periods has
+been studied by Y. Sudô. H. Maspero also devotes attention to this
+problem. Much more research remains to be done.
+
+p. 158: This popular rebellion by Sun En has been studied by W.
+Eichhorn.
+
+p. 163: On foreign music in China see L. C. Goodrich and Ch'ü T'ung-tsu,
+H. G. Farmer, S. Kishibe and others.--Niida Noboru pointed out that
+musicians belonged to one of the lower social classes, but had special
+privileges because of their close relations to the rulers.
+
+p. 164: Meditative or _Ch'an_ (Japanese: _Zen_) Buddhism in this period
+has been studied by Hu Shih, but further analysis is necessary.--The
+philosophical trends of this period have been analysed by E.
+Balazs.--Mention should also be made of the aesthetic-philosophical
+conversation which was fashionable in the third century, but in other
+form still occurred in our period, the so-called "pure talk"
+(_ch'ing-t'an_) (E. Balazs, H. Wilhelm and others).
+
+
+_Chapter Eight_
+
+p. 167: For genealogies and rules of giving names, I use my own research
+and the study by W. Bauer.
+
+p. 168: For Emperor Wen Ti, I rely mainly upon A. F. Wright's
+above-mentioned article, but also upon O. Franke.
+
+p. 169: The relevant texts concerning the T'u-chüeh are available in
+French (E. Chavannes) and recently also in German translation (Liu
+Mau-tsai, _Die chinesischen Nachrichten zur Geschichte der Ost-Tŭrken_,
+Wiesbaden 1958, 2 vol.).--The Tölös are called T'e-lo in Chinese
+sources; the T'u-yü-hun are called Aza in Central Asian sources (P.
+Pelliot, A. Minorsky, F. W. Thomas, L. Hambis, _et al._). The most
+important text concerning the T'u-yü-hun had been translated by Th. D.
+Caroll, _Account of the T'u-yü-hun in the History of the Chin Dynasty_,
+Berkeley 1953.
+
+p. 171: The transcription of names on this and on the other maps could
+not be adjusted to the transcription of the text for technical reasons.
+
+p. 172: It is possible that I have underestimated the role of Li Yüan. I
+relied here mainly upon O. Franke and upon W. Bingham's _The Founding of
+the T'ang Dynasty_, Baltimore 1941.
+
+p. 173: The best comprehensive study of T'ang economy in a Western
+language is still E. Balazs's work. I relied, however, strongly upon Wan
+Kuo-ting, Yang Chung-i, Katō Shigeru, J. Gernet, T. Naba, Niida Noboru,
+Yoshimi Matsumoto.
+
+p. 173-4: For the description of the administration I used my own
+studies and the work of R. des Rotours; for the military organization I
+used Kikuehi Hideo. A real study of Chinese army organization and
+strategy does not yet exist. The best detailed study, but for the Han
+period, is written by H. Maspero.
+
+p. 174: For the first occurrence of the title _tu-tu_ we used W.
+Eichhorn; in the form _tutuq_ the title occurs since 646 in Central Asia
+(J. Hamilton).
+
+p. 177: The name T'u-fan seems to be a transcription of Tüpöt which, in
+turn, became our Tibet. (J. Hamilton).--The Uigurs are the Hui-ho or
+Hui-hu of Chinese sources.
+
+p. 179: On relations with Central Asia and the West see Ho Chien-min and
+Hsiang Ta, whose classical studies on Ch'ang-an city life have recently
+been strongly criticized by Chinese scholars.--Some authors (J. K.
+Rideout) point to the growing influence of eunuchs in this period.--The
+sources paint the pictures of the Empress Wu in very dark colours. A
+more detailed study of this period seems to be necessary.
+
+p. 180: The best study of "family privileges" (_yin_) in general is by
+E. A. Kracke, _Civil Service in Early Sung China_, Cambridge, Mass. 1953.
+
+p. 180-1: The economic importance of organized Buddhism has been studied
+by many authors, especially J. Gernet, Yang Lien-sheng, Ch'üan
+Han-sheng, K. Tamai and R. Michihata.
+
+p. 182: The best comprehensive study on T'ang prose in English is still
+E. D. Edwards, _Chinese Prose Literature of the T'ang Period_, London
+1937-8, 2 vol. On Li T'ai-po and Po Chü-i we have well-written books by
+A. Waley, _The Poetry and Career of Li Po_, London 1951 and _The Life
+and Times of Po Chü-i_, London 1950.--On the "free poem" (_tz'ŭ_), which
+technically is not a free poem, see A. Hoffmann and Hu Shih. For the
+early Chinese theatre, the classical study is still Wang Kuo-wei's
+analysis, but there is an almost unbelievable number of studies
+constantly written in China and Japan, especially on the later theatre
+and drama.
+
+p. 184: Conditions at the court of Hsüan Tsung and the life of Yang
+Kui-fei have been studied by Howard Levy and others, An Lu-shan's
+importance mainly by E. G. Pulleyblank, _The Background of the Rebellion
+of An Lu-shan_, London 1955.
+
+p. 187: The tax reform of Yang Yen has been studied by K. Hino; the most
+important figures in T'ang economic history are Liu Yen (studied by Chü
+Ch'ing-yüan) and Lu Chih (754-805; studied by E. Balazs and others).
+
+p. 187-8: The conditions at the time of this persecution are well
+described by E. O. Reischauer, _Ennin's Travels in T'ang China_, New York
+1955, on the basis of his _Ennin's Diary. The Record of a Pilgrimage to
+China_, New York 1955. The persecution of Buddhism has been analysed in
+its economic character by Niida Noboru and other Japanese
+scholars.--Metal statues had to be delivered to the Salt and Iron Office
+in order to be converted into cash; iron statues were collected by local
+offices for the production of agricultural implements; figures in gold,
+silver or other rare materials were to be handed over to the Finance
+Office. Figures made of stone, clay or wood were not affected
+(Michihata).
+
+p. 189: It seems important to note that popular movements are often not
+led by simple farmers or members of the lower classes. There are other
+salt merchants and persons of similar status known as leaders.
+
+p. 190: For the Sha-t'o, I am relying upon my own research. Tatars are
+the Ta-tan of the Chinese sources. The term is here used in a narrow
+sense.
+
+p. 195: Many Chinese and Japanese authors have a new period begin with
+the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li
+Chien-nung), while others prefer a cut already in the Middle of the
+T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the
+period which we called "Modern Times" is at best a sub-period within a
+larger period which really started with what we called "Medieval China".
+
+p. 196: For the change in the composition of the gentry, I am using my
+own research.--For clan rules, clan foundations, etc., I used D. C.
+Twitchett, J. Fischer, Hu Hsien-chin, Ch'ü T'ung-tsu, Niida Noboru and
+T. Makino. The best analysis of the clan rules is by Wang Hui-chen in
+D. S. Nivison, _Confucianism in Action_, Stanford 1959, p. 63-96.--I do
+not regard such marriage systems as "survivals" of ancient systems which
+have been studied by M. Granet and systematically analysed by C.
+Lévy-Strauss in his _Les structures élémentaires de la parenté_, Paris
+1949, pp. 381-443. In some cases, the reasons for the establishment of
+such rules can still be recognized.--A detailed study of despotism in
+China still has to be written. K. A. Wittfogel's _Oriental Despotism_,
+New Haven 1957 does not go into the necessary detailed work.
+
+p. 197: The problem of social mobility is now under study, after
+preliminary research by K. A. Wittfogel, E. Kracke, myself and others. E.
+Kracke, Ho Ping-ti, R. M. Marsh and I are now working on this topic.--For
+the craftsmen and artisans, much material has recently been collected by
+Chinese scholars. I have used mainly Li Chien-nung and articles in
+_Li-shih yen-chiu_ 1955, No. 3 and in _Mem. Inst. Orient. Cult._
+1956.--On the origin of guilds see Katō Shigeru; a general study of
+guilds and their function has not yet been made (preliminary work by P.
+Maybon, H. B. Morse, J. St. Burgess, K. A. Wittfogel and others).
+Comparisons with Near-Eastern guilds on the one hand and with Japanese
+guilds on the other, are quite interesting but parallels should not be
+over-estimated. The _tong_ of U. S. Chinatowns (_tang_ in Mandarin) are
+late and organizations of businessmen only (S. Yokoyama and Laai
+Yi-faai). They are not the same as the _hui-kuan_.
+
+p. 198: For the merchants I used Ch'ü T'ung-tsu, Sung Hsi and Wada
+Kiyoshi.--For trade, I used extensively Ch'üan Han-sheng and J.
+Kuwabara.--On labour legislation in early modern times I used Ko
+Ch'ang-chi and especially Li Chien-nung, also my own studies.--On
+strikes I used Katō Shigeru and modern Chinese authors.--The problem of
+"vagrants" has been taken up by Li Chien-nung who always refers to the
+original sources and to modern Chinese research.--The growth of cities,
+perhaps the most striking event in this period, has been studied for the
+earlier part of our period by Katō Shigeru. Li Chien-nung also deals
+extensively with investments in industry and agriculture. The problem as
+to whether China would have developed into an industrial society without
+outside stimulus is much discussed by Marxist authors in China.
+
+p. 199: On money policy see Yang Lien-sheng, Katō Shigeru and others.
+
+p. 200: The history of one of the Southern Dynasties has been translated
+by Ed. H. Schafer, _The Empire of Min_, Tokyo 1954; Schafer's
+annotations provide much detail for the cultural and economic conditions
+of the coastal area.--For tea and its history, I use my own research;
+for tea trade a study by K. Kawakami and an article in the _Frontier
+Studies_, vol. 3, 1943.--Salt consumption according to H. T. Fei,
+_Earthbound China_, 1945, p. 163.
+
+p. 201: For salt I used largely my own research. For porcelain
+production Li Chien-nung and other modern articles.--On paper, the
+classical study is Th. F. Carter, _The Invention of Printing in China_,
+New York 1925 (a revised edition now published by L. C. Goodrich).
+
+p. 202: For paper money in the early period, see Yang Lien-sheng, _Money
+and Credit in China_, Cambridge, Mass., 1952. Although the origin of
+paper money seems to be well established, it is interesting to note that
+already in the third century A.D. money made of paper was produced and
+was burned during funeral ceremonies to serve as financial help for the
+dead. This money was, however, in the form of coins.--On iron money see
+Yang Lien-sheng; I also used an article in _Tung-fang tsa-chih_, vol.
+35, No. 10.
+
+p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K. A.
+Wittfogel and Feng Chia-sheng, _History of Chinese Society. Liao_,
+Philadelphia 1949.
+
+p. 204: For these dynasties, I rely upon my own research.--Niida Noboru
+and Katō Shigeru have studied adoption laws; our specific case has in
+addition been studied by M. Kurihara. This system of adoptions is
+non-Chinese and has its parallels among Turkish tribes (A. Kollantz,
+Abdulkadir Inan, Osman Turan).
+
+p. 207: For the persecution I used K. Tamai and my own research.
+
+p. 211: This is based mainly upon my own research.--The remark on tax
+income is from Ch'üan Han-sheng.
+
+p. 212: Fan Chung-yen has been studied recently by J. Fischer and D.
+Twitchett, but these notes on price policies are based upon my own
+work.--I regard the statement, that it was the gentry which prevented
+the growth of an industrial society--a statement which has often been
+made before--as preliminary, and believe that further research,
+especially in the growth of cities and urban institutions may lead to
+quite different explanations.--On estate management I relied on Y.
+Sudô's work.
+
+p. 213: Research on place names such as mentioned here, has not yet been
+systematically done.--On _i-chuang_ I relied upon the work by T. Makino
+and D. Twitchett.--This process of tax-evasion has been used by K. A.
+Wittfogel (1938) to construct a theory of a crisis cycle in China. I do
+not think that such far-reaching conclusions are warranted.
+
+p. 214: This "law" was developed on the basis of Chinese materials from
+different periods as well as on materials from other parts of Asia.--In
+the study of tenancy, cases should be studied in which wealthier farmers
+rent additional land which gets cultivated by farm labourers. Such cases
+are well known from recent periods, but have not yet been studied in
+earlier periods. At the same time, the problem of farm labourers should
+be investigated. Such people were common in the Sung time. Research
+along these lines could further clarify the importance of the so-called
+"guest families" (_k'o-hu_) which were alluded to in these pages. They
+constituted often one third of the total population in the Sung period.
+The problem of migration and mobility might also be clarified by
+studying the _k'o-hu._
+
+p. 215: For Wang An-shih, the most comprehensive work is still H.
+Williamson's _Wang An-shih_, London 1935, 3 vol., but this work in no
+way exhausts the problems. We have so much personal data on Wang that a
+psychological study could be attempted; and we have since Williamson's
+time much deeper insight into the reforms and theories of Wang. I used,
+in addition to Williamson, O. Franke, and my own research.
+
+p. 216: Based mainly upon Ch'ü T'ung-tsu.--For the social legislation
+see Hsü I-t'ang; for economic problems I used Ch'üan Han-sheng, Ts'en
+Chung-mien and Liu Ming-shu.--Most of these relief measures had their
+precursors in the T'ang period.
+
+p. 217: It is interesting to note that later Buddhism gave up its
+"social gospel" in China. Buddhist circles in Asian countries at the
+present time attempt to revive this attitude.
+
+p. 218: For slaughtering I used A. Hulsewé; for greeting R. Michihata;
+on law Ch'ü T'ung-tsu; on philosophy I adapted ideas from Chan
+Wing-sit.
+
+p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus
+far, we have in English mainly the essays by Feng Yu-lan (transl. and
+annotated by D. Bodde) in the _Harvard Journal of Asiat. Stud._, vol. 7,
+1942. T. Makino emphasized Chu's influence upon the Far East, J. Needham
+his interest in science.
+
+p. 220: For Su Tung-p'o as general introduction see Lin Yutang, _The Gay
+Genius. The Life and Times of Su Tungpo_, New York 1947.--For painting,
+I am using concepts of A. Soper here.
+
+p. 222: For this period the standard work is K. A. Wittfogel and Feng
+Chia-sheng, _History of Chinese Society, Liao_, Philadelphia
+1949.--Po-hai had been in tributary relations with the dynasties of
+North China before its defeat, and resumed these from 932 on; there were
+even relations with one of the South Chinese states; in the same way,
+Kao-li continuously played one state against the other (M. Rogers _et
+al._).
+
+p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.
+
+p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia
+Ssu-tao upon H. Franke.
+
+p. 229: The Ju-chên (Jurchen) are also called Nü-chih and Nü-chen, but
+Ju-chen seems to be correct (_Studia Serica_, vol. 3, No. 2).
+
+
+_Chapter Ten_
+
+p. 233: I use here mainly Meng Ssu-liang, but also others, such as Chü
+Ch'ing-yüan and Li Chien-nung.--The early political developments are
+described by H. D. Martin, _The Rise of Chingis Khan and his Conquest of
+North China_, Baltimore 1950.
+
+p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao
+(Sun K'o-k'uan and especially the study in _Kita Aziya gakuhō_, vol. 2).
+
+pp. 236-7: For taxation and all other economic questions I have relied
+upon Wan Kuo-ting and especially upon H. Franke. The first part of the
+main economic text is translated and annotated by H. F. Schurmann,
+_Economic Structure of the Yüan Dynasty_, Cambridge, Mass., 1956.
+
+p. 237: On migrations see T. Makino and others.--For the system of
+communications during the Mongol time and the privileges of merchants, I
+used P. Olbricht.
+
+p. 238: For the popular rebellions of this time, I used a study in the
+_Bull. Acad. Sinica_, vol. 10, 1948, but also Meng Ssu-liang and others.
+
+p. 239: On the White Lotos Society (Pai-lien-hui) see note to previous
+page and an article by Hagiwara Jumpei.
+
+p. 240: H. Serruys, _The Mongols in China during the Hung-wu Period_,
+Bruges 1959, has studied in this book and in an article the fate of
+isolated Mongol groups in China after the breakdown of the dynasty.
+
+pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A.
+Waley, _The Travels of an Alchemist_, London 1931.
+
+p. 242: _Hsi-hsiang-chi_ has been translated by S. I. Hsiung. _The
+Romance of the Western Chamber_, London 1935. All important analytic
+literature on drama and theatre is written by Chinese and Japanese
+authors, especially by Yoshikawa Kôjirô.--For Bon and early Lamaism, I
+used H. Hoffmann.
+
+p. 243: Lamaism in Mongolia disappeared later, however, and was
+re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the
+sixteenth century. See R. J. Miller, _Monasteries and Culture Change in
+Inner Mongolia_, Wiesbaden 1959.
+
+p. 245: Much more research is necessary to clarify Japanese-Chinese
+relations in this period, especially to determine the size of trade.
+Good material is in the article by S. Iwao. Important is also S. Sakuma
+and an article in _Li-shih yen-chiu_ 1955, No. 3. For the loss of coins,
+I relied upon D. Brown.
+
+p. 246: The necessity of transports of grain and salt was one of the
+reasons for the emergence of the Hsin-an and Hui-chou merchants. The
+importance of these developments is only partially known (studies mainly
+by H. Fujii and in _Li-shih-yen-chiu_ 1955, No. 3). Data are also in an
+unpublished thesis by Ch. Mac Sherry, _The Impairment of the Ming
+Tributary System_, and in an article by Wang Ch'ung-wu.
+
+p. 247: The tax system of the Ming has been studied among others by
+Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in
+the periods before the reform. For the land grants, I used Wan
+Kuo-ting's data.
+
+p. 248: Based mainly upon my own research. On the progress of
+agriculture wrote Li Chien-nung and also Katō Shigeru and others.
+
+p. 250: I believe that further research would discover that the
+"agrarian revolution" was a key factor in the economic and social
+development of China. It probably led to another change in dietary
+habits; it certainly led to a greater labour input per person, i.e. a
+higher number of full working days per year than before. It may be--but
+only further research can try to show this--that the "agrarian
+revolution" turned China away from technology and industry.--On cotton
+and its importance see the studies by M. Amano, and some preliminary
+remarks by P. Pelliot.
+
+p. 250-1: Detailed study of Central Chinese urban centres in this time
+is a great desideratum. My remarks here have to be taken as very
+preliminary. Notice the special character of the industries
+mentioned!--The porcelain centre of Ching-tê-chen was inhabited by
+workers and merchants (70-80 per cent of population); there were more
+than 200 private kilns.--On indented labour see Li Chien-nung, H. Iwami
+and Y. Yamane.
+
+p. 253: On _pien-wen_ I used R. Michihata, and for this general
+discussion R. Irvin, _The Evolution of a Chinese Novel_, Cambridge,
+Mass., 1953, and studies by J. Jaworski and J. Prušek. Many texts of
+_pien-wen_ and related styles have been found in Tunhuang and have been
+recently republished by Chinese scholars.
+
+p. 254: _Shui-hu-chuan_ has been translated by Pearl Buck, _All Men are
+Brothers_. Parts of _Hsi-yu-chi_ have been translated by A. Waley,
+_Monkey_, London 1946. _San-kuo yen-i_ is translated by C. H.
+Brewitt-Taylor, _San Kuo, or Romance of the Three Kingdoms_, Shanghai
+1925 (a new edition just published). A purged translation of
+Chin-p'ing-mei is published by Fr. Kuhn _Chin P'ing Mei_, New York 1940.
+
+p. 255: Even the "murder story" was already known in Ming time. An
+example is R. H. van Gulik, _Dee Gong An. Three Murder Cases solved by
+Judge Dee_, Tokyo 1949.
+
+p. 256: For a special group of block-prints see R. H. van Gulik, _Erotic
+Colour Prints of the Ming Dynasty_, Tokyo 1951. This book is also an
+excellent introduction into Chinese psychology.
+
+p. 257: Here I use work done by David Chan.
+
+p. 258: I use here the research of J. J. L. Duyvendak; the reasons for the
+end of such enterprises, as given here, may not exhaust the problem. It
+may not be without relevance that Cheng came from a Muslim family. His
+father was a pilgrim (_Bull. Chin. Studies_, vol. 3, pp. 131-70).
+Further research is desirable.--Concerning folk-tales, I use my own
+research. The main Buddhist tales are the _Jataka_ stories. They are
+still used by Burmese Buddhists in the same context.
+
+p. 260: The Oirat (Uyrat, Ojrot, Ölöt) were a confederation of four
+tribal groups: Khosud, Dzungar, Dörbet and Turgut.
+
+p. 261: I regard this analysis of Ming political history as
+unsatisfactory, but to my knowledge no large-scale analysis has been
+made.--For Wang Yang-ming I use mainly my own research.
+
+p. 262: For the coastal salt-merchants I used Lo Hsiang-lin's work.
+
+p. 263: On the rifles I used P. Pelliot. There is a large literature on
+the use of explosives and the invention of cannons, especially L. C.
+Goodrich and Feng Chia-sheng in _Isis_, vol. 36, 1946 and 39, 1948; also
+G. Sarton, Li Ch'iao-p'ing, J. Prušek, J. Needham, and M. Ishida; a
+comparative, general study is by K. Huuri, _Studia Orientalia_ vol. 9,
+1941.--For the earliest contacts of Wang with Portuguese, I used Chang
+Wei-hua's monograph.--While there is no satisfactory, comprehensive
+study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i,
+_Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher_, New
+Haven 1944, can be used.
+
+p. 264: For Tao-yen, I used work done by David Chan.--Large parts of the
+_Yung-lo ta-tien_ are now lost (Kuo Po-kung, Yüan T'ung-li studied this
+problem).
+
+p. 265: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the
+Tümet. He is also responsible for the re-introduction of Lamaism into
+Mongolia (1574).--For the border trade I used Hou Jen-chih; for the
+Shansi bankers Ch'en Ch'i-t'ien and P. Maybon. For the beginnings of the
+Manchu see Fr. Michael, _The Origins of Manchu Rule in China_, Baltimore
+1942.
+
+p. 266: M. Ricci's diary (Matthew Ricci, _China in the Sixteenth
+Century_, The Journals of M. Ricci, transl. by L. J. Gallagher, New York
+1953) gives much insight into the life of Chinese officials in this
+period. Recently, J. Needham has tried to show that Ricci and his
+followers did not bring much which was not already known in China, but
+that they actually attempted to prevent the Chinese from learning about
+the Copernican theory.
+
+p. 267: For Coxinga I used M. Eder's study.--The Szechwan rebellion was
+led by Chang Hsien-chung (1606-1647); I used work done by James B.
+Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published
+the important documents concerning all late Ming peasant
+rebellions.--For the Tung-lin academy see Ch. O. Hucker in J. K.
+Fairbank, _Chinese Thought and Institutions_, Chicago 1957. A different
+interpretation is indicated by Shang Yüeh in _Li-shih yen-chiu_ 1955,
+No. 3.
+
+p. 268: Work on the "academies" (shu-yüan) in the earlier time is done
+by Ho Yu-shen.
+
+p. 273-4: Based upon my own, as yet unfinished research.
+
+p. 274: The population of 1953 as given here, includes Chinese outside
+of mainland China. The population of mainland China was 582.6 millions.
+If the rate of increase of about 2 per cent per year has remained the
+same, the population of mainland China in 1960 may be close to 680
+million. In general see P. T. Ho. _Studies on the Population of China,
+1368-1953_, Cambridge, Mass., 1960.
+
+p. 276: Based upon my own research.--A different view of the development
+of Chinese industry is found in Norman Jacobs, _Modern Capitalism and
+Eastern Asia_, Hong Kong 1958. Jacobs attempted a comparison of China
+with Japan and with Europe. Different again is Marion Levy and Shih
+Kuo-heng, _The Rise of the Modern Chinese Business Class_, New York
+1949. Both books are influenced by the sociological theories of T.
+Parsons.
+
+p. 277: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four Ölöt
+(Oirat) groups. I am here using studies by E. Haenisch and W. Fuchs.
+
+p. 278: Tibetan-Chinese relations have been studied by L. Petech, _China
+and Tibet in the Early 18th Century_, Leiden 1950. A collection of data
+is found in M. W. Fisher and L. E. Rose, _England, India, Nepal, Tibet,
+China, 1765-1958_, Berkeley 1959. For diplomatic relations and tributary
+systems of this period, I referred to J. K. Fairbank and Teng Ssu-yü.
+
+p. 279: For Ku Yen-wu, I used the work by H. Wilhelm.--A man who
+deserves special mention in this period is the scholar Huang Tsung-hsi
+(1610-1695) as the first Chinese who discussed the possibility of a
+non-monarchic form of government in his treatise of 1662. For him see
+Lin Mou-sheng, _Men and Ideas_, New York 1942, and especially W. T. de
+Bary in J. K. Fairbank, _Chinese Thought and Institutions_, Chicago 1957.
+
+p. 280-1: On Liang see now J. R. Levenson, _Liang Ch'i-ch'ao and the Mind
+of Modern China_, London 1959.
+
+p. 282: It should also be pointed out that the Yung-cheng emperor was
+personally more inclined towards Lamaism.--The Kalmuks are largely
+identical with the above-mentioned Ölöt.
+
+p. 286: The existence of _hong_ is known since 1686, see P'eng Tse-i and
+Wang Chu-an's recent studies. For details on foreign trade see H. B.
+Morse, _The Chronicles of the East India Company Trading to China
+1635-1834_, Oxford 1926, 4 vols., and J. K. Fairbank, _Trade and
+Diplomacy on the China Coast. The Opening of the Treaty Ports,
+1842-1854_, Cambridge, Mass., 1953, 2 vols.--For Lin I used G. W.
+Overdijkink's study.
+
+p. 287: On customs read St. F. Wright, _Hart and the Chinese Customs_,
+Belfast 1950.
+
+p. 288: For early industry see A. Feuerwerker, _China's Early
+Industrialization: Sheng Hsuan-huai (1844-1916)_, Cambridge, Mass.,
+1958.
+
+p. 289: The Chinese source materials for the Mohammedan revolts have
+recently been published, but an analysis of the importance of the
+revolts still remains to be done.--On T'ai-p'ing much has been
+published, especially in the last years in China, so that all documents
+are now available. I used among other studies, details brought out by Lo
+Hsiang-lin and Jen Yu-wen.
+
+p. 291: For Tsêng Kuo-fan see W. J. Hail, _Tsêng Kuo-fan and the
+T'ai-p'ing Rebellion_, Hew Haven 1927, but new research on him is about
+to be published.--The Nien-fei had some connection with the White Lotos,
+and were known since 1814, see Chiang Siang-tseh, _The Nien Rebellion_,
+Seattle 1954.
+
+p. 292: Little is known about Salars, Dungans and Yakub Beg's rebellion,
+mainly because relevant Turkish sources have not yet been studied. On
+Salars see L. Schram, _The Monguors of Kansu_, Philadelphia 1954, p. 23
+and P. Pelliot; on Dungans see I. Grebe.
+
+p. 293: On Tso Tsung-t'ang see G. Ch'en, _Tso Tung T'ang, Pioneer
+Promotor of the Modern Dockyard and Woollen Mill in China_, Peking 1938,
+and _Yenching Journal of Soc. Studies_, vol. 1.
+
+p. 294: For the T'ung-chih period, see now Mary C. Wright, _The Last
+Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874_,
+Stanford 1957.
+
+p. 295: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of
+this group.--Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese:
+Chao-hsien, Japanese: Chôsen.
+
+p. 297: M. C. Wright has shown the advisers around the ruler before the
+Empress Dowager realized the severity of the situation.--Much research
+is under way to study the beginning of industrialization of Japan, and
+my opinions have changed greatly, due to the research done by Japanese
+scholars and such Western scholars as H. Rosovsky and Th. Smith. The
+eminent role of the lower aristocracy has been established. Similar
+research for China has not even seriously started. My remarks are
+entirely preliminary.
+
+p. 298: For K'ang Yo-wei, I use work done by O. Franke and others. See
+M. E. Cameron, _The Reform Movement in China, 1898-1921_, Stanford 1921.
+The best bibliography for this period is J. K. Fairbank and Liu
+Kwang-ching, _Modern China: A Bibliographical Guide to Chinese Works,
+1898-1937_, Cambridge, Mass., 1950. The political history of the time,
+as seen by a Chinese scholar, is found in Li Chien-nung, _The Political
+History of China 1840-1928_, Princeton 1956.--For the social history of
+this period see Chang Chung-li, _The Chinese Gentry_, Seattle 1955.--For
+the history of Tzŭ Hsi Bland-Backhouse, _China under the Empress
+Dowager_, Peking 1939 (Third ed.) is antiquated, but still used For some
+of K'ang Yo-wei's ideas, see now K'ang Yo-wei: _Ta T'ung Shu. The One
+World Philosophy of K'ang Yu Wei_, London 1957.
+
+
+_Chapter Eleven_
+
+p. 305: I rely here partly upon W. Franke's recent studies. For Sun
+Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P. Linebarger,
+_Sun Yat-sen and the Chinese Republic_, Cambridge, Mass., 1925 and his
+later _The Political Doctrines of Sun Yat-sen_, Baltimore
+1937.--Independently, Atatürk in Turkey developed a similar theory of
+the growth of democracy.
+
+p. 306: On student activities see Kiang Wen-han, _The Ideological
+Background of the Chinese Student Movement_, New York 1948.
+
+p. 307: On Hu Shih see his own _The Chinese Renaissance_, Chicago 1934
+and J. de Francis, _Nationalism and Language Reform in China_, Princeton
+1950.
+
+p. 310: The declaration of Independence of Mongolia had its basis in the
+early treaty of the Mongols with the Manchus (1636): "In case the Tai
+Ch'ing Dynasty falls, you will exist according to previous basic laws"
+(R. J. Miller, _Monasteries and Culture Change in Inner Mongolia_,
+Wiesbaden 1959, p. 4).
+
+p. 315: For the military activities see F. F. Liu, _A Military History of
+Modern China, 1924-1949_, Princeton 1956. A marxist analysis of the 1927
+events is Manabendra Nath Roy, _Revolution and Counter-Revolution in
+China_, Calcutta 1946; the relevant documents are translated in C.
+Brandt, B. Schwartz, J. K. Fairbank, _A Documentary History of Chinese
+Communism_, Cambridge, Mass., 1952.
+
+
+_Chapter Twelve_
+
+For Mao Tse-tung, see B. Schwartz, _Chinese Communism and the Rise of
+Mao_, second ed., Cambridge, Mass., 1958. For Mao's early years; see
+J. E. Rue, _Mao Tse-tung in Opposition, 1927-1935_, Stanford 1966. For
+the civil war, see L. M. Chassin, _The Communist Conquest of China: A
+History of the Civil War, 1945-1949_, Cambridge, Mass., 1965. For
+brief information on communist society, see Franz Schurmann and Orville
+Schell, _The China Reader_, vol. 3, _Communist China_, New York 1967.
+For problems of organization, see Franz Schurmann, _Ideology and
+Organization in Communist China_, Berkeley 1966. For cultural and
+political problems, see Ho Ping-ti, _China in Crisis_, vol. 1, _China's
+Heritage and the Communist Political System_, Chicago 1968. For a
+sympathetic view of rural life in communist China, see J. Myrdal,
+_Report from a Chinese Village_, New York 1965; for Taiwanese village
+life, see Bernard Gallin, _Hsin Hsing, Taiwan: A Chinese Village in
+Change_, Berkeley 1966.
+
+
+
+
+INDEX
+
+
+Abahai, ruler, 269
+
+Abdication, 92-3, 182, 227, 302
+
+Aborigines, 323
+
+Absolutism, 196, 208, 210, 232 ff., 247
+  (_see_ Despotism, Dictator, Emperor,
+  Monarchy)
+
+Academia Sinica, 307
+
+Academies, 221, 255, 267-8, 272
+
+Administration, 64, 82-4, 138 ff, 142, 144, 154, 170, 173-4, 210;
+  provincial, 85
+  (_see_ Army, Feudalism, Bureaucracy)
+
+Adobe (Mud bricks), 16, 19, 32
+
+Adoptions, 204
+
+Afghanistan, 146-7
+
+Africa, 201, 259
+
+Agriculture, development, 54, 198 ff., 249-50, 275;
+  Origin of, 10, 11;
+  of Shang, 21;
+  shifting (denshiring), 32
+  (_see_ Wheat, Millet, Rice, Plough, Irrigation, Manure, Canals,
+  Fallow)
+
+An Ti, ruler of Han, 92
+
+Ainu, tribes, 9
+
+Ala-shan mountain range, 88
+
+Alchemy, 49, 104
+  (_see_) Elixir
+
+Alexander the Great, 146-7
+
+America, 276, 300
+  (_see_) United States
+
+Amithabha, god, 188
+
+Amur, river, 278
+
+An Chi-yeh, rebel, 293
+
+An Lu-shan, rebel, 184 ff., 189, 195
+
+Analphabetism, 65
+
+Anarchists, 47
+
+Ancestor, cult, 24, 32
+
+Aniko, sculptor, 243
+
+Animal style, 17
+
+Annam (Vietnam), 97, 160, 209, 219, 234, 258, 265, 295, 330
+
+Anyang (Yin-ch'ü), 19, 22
+
+Arabia, 258; Arabs, 104, 178, 183, 185, 266
+
+Architecture, 147, 256
+
+Aristocracy, 25, 26, 36, 122, 195
+  (_see_ Nobility, Feudalism)
+
+Army, cost of, 211;
+  organization of, 24, 118, 174, 236;
+  size of, 53;
+  Tibetan, 127
+  (_see_ War, Militia, tu-tu, pu-ch'ü)
+
+Art, Buddhist, 146-7
+  (_see_ Animal style, Architecture, Pottery, Painting, Sculpture,
+  Wood-cut)
+
+Arthashastra, book, attributed to Kautilya, 59
+
+Artisans, 19, 26, 31, 33, 56, 79;
+  Organizations of, 58
+  (_see_ Guilds, Craftsmen)
+
+Assimilation, 144, 152, 166, 244
+  (_see_ Colonization)
+
+Astronomy, 266
+
+Austroasiats, 10, 12
+
+Austronesians, 12
+
+Avars, tribe, 140
+  (_see_ Juan-juan)
+
+Axes, prehistoric, 10
+
+Axis, policy, 51
+
+
+Babylon, 65
+
+Baghdad, city, 201
+
+Balasagun, city, 224
+
+Ballads, 133
+
+Banks, 265, 305
+
+Banner organization, 268, 291
+
+Barbarians (Foreigners), 109, 122, 246, 278
+
+Bastards, 41
+
+Bath, 217
+
+Beg, title, 289
+
+Beggar, 239
+
+Bengal, 250, 283
+
+Boat festival, 23
+
+Bokhara (Bukhara), city, 46
+
+Bon, religion, 242
+
+Bondsmen, 31, 117, 143
+  (_see pu-ch'ü_, Serfs, Feudalism)
+
+Book, printing, 201; B burning, 66
+
+Böttger, inventor, 256
+
+Boxer rebellion, 299
+
+Boycott, 314
+
+Brahmans, Indian caste, 34, 106
+
+Brain drain, 326
+
+Bronze, 17, 20, 22, 29, 33, 40, 106, 180-1
+  (_see_ Metal, Copper)
+
+Brothel (Tea-house), 163, 217
+
+Buddha, 46; Buddhism, 20, 106, 108-9, 125, 127, 133 ff., 145 ff., 150,
+  161, 164, 168, 178, 179 ff., 188, 217, 218, 236, 257, 259, 266, 306
+  (_see_ Ch'an, Vinaya, Sects, Amithabha, Maitreya, Hinayana,
+Mahayana, Monasteries, Church, Pagoda, Monks, Lamaism)
+
+Budget, 168, 175, 209, 210, 215, 261
+  (_see_ Treasury, Inflation, Deflation)
+
+Bullfights, 182
+
+Bureaucracy, 24, 33, 63, 72;
+  religious B, 25
+  (_see_ Administration; Army)
+
+Burgher (_liang-min_), 143, 183, 216
+
+Burma, 12, 146, 234, 248, 265, 269, 283, 318, 319, 322, 329, 330
+
+Businessmen, 64
+  (_see_ Merchants, Trade)
+
+Byzantium, 177
+
+
+Calcutta, city, 283
+
+Caliph (Khaliph), 185
+
+Cambodia, 234, 295
+
+Canals, 170, 246; Imperial C, 168, 235-6
+  (_see_ Irrigation)
+
+Cannons, 232, 263
+
+Canton (Kuang-chou), city, 67, 77, 89, 97, 159, 190, 209, 237, 262, 266,
+  286, 287, 308, 309, 312, 314
+
+Capital of Empire, 144
+  (_see_ Ch'ang-an, Si-an, Lo-yang, etc.)
+
+Capitalism, 180-1, 212, 297, 303
+  (_see_ Investments, Banks, Money, Economy, etc.)
+
+Capitulations (privileges of foreign nations), 273, 287, 290, 312, 316
+
+Caravans, 86, 98, 121, 129, 181
+  (_see_ Silk road, Trade)
+
+Carpet, 243
+
+Castes, 106
+  (_see_ Brahmans)
+
+Castiglione, G., painter, 281
+
+Cattle, breeding, 155
+
+Cavalry, 53
+  (_see_ Horse)
+
+Cave temples, 146-7
+  (_see_ Lung-men, Yün-kang, Tun-huang)
+
+Censorate, 84
+
+Censorship, 254
+
+Census, 143
+  (_see_ Population)
+
+Central Asia, 25, 87-88, 90, 113, 119, 135, 169, 179, 209, 259, 277, 330
+  (_see_ Turkestan, Sinkiang, Tarim, City States)
+
+Champa, State, 249
+
+Ch'an (Zen), meditative Buddhism, 164, 175, 218, 263
+
+Chan-kuo Period (Contending States), 51 ff.
+
+Chancellor, 82
+
+Ch'ang-an, capital of China, 123, 127, 129, 167, 172, 176, 184, 185,
+  190, 207
+  (_see_ Sian)
+
+Chang Ch'ien, ambassador, 88
+
+Chang Chü-chan, teacher, 265
+
+Chang Hsien-chung, rebel, 268, 271
+
+Chang Hsüeh-liang, war lord, 316
+
+Chang Ling, popular leader, 101, 136, 147, 264
+
+Chang Ti, ruler, 99
+
+Chang Tsai, philosopher, 218
+
+Chang Tso-lin, war lord, 312, 316
+
+Chao, state, 53, 63;
+  Earlier Chao, 124;
+  Later Chao, 124
+
+Chao K'uang-yin (T'ai Tsu), ruler, 208, 209
+
+Chao Meng-fu, painter, 243
+
+Charters, 30
+
+Chefoo Convention, 295
+
+Ch'en, dynasty, 162 ff.
+
+Ch'en Pa-hsien, ruler, 162
+
+Ch'en Tu-hsiu, intellectual, 307, 320
+
+Ch'eng Hao, philosopher, 219
+
+Cheng Ho, navy commander, 258
+
+Ch'eng I, philosopher, 219
+
+Cheng-i-chiao, religion, 263-4
+
+Ch'eng Ti, ruler of Han, 92;
+  ruler of Chin, 156
+
+Ch'eng Tsu, ruler of Manchu, 257
+
+Ch'eng-tu, city, 110, 120
+
+Ch'i, state, 40;
+  short dynasty, 190, 225;
+  Northern Ch'i, 148 ff., 149, 150 ff., 161, 162, 168
+
+Ch'i-fu, clan, 129 ff.
+
+Chi-nan, city, 55
+
+Ch'i-tan (_see_ Kitan)
+
+Ch'i Wan-nien, leader, 118
+
+Chia, clan, 120
+
+Chia-ch'ing, period, 285
+
+Chia Ssŭ-tao, politician, 228
+
+Ch'iang, tribes, 21, 118 (_see_ Tanguts)
+
+Chiang Kai-shek, president, 264, 311, 314, 315, 316, 317, 318, 321, 322,
+  324, 326
+
+Ch'ien-lung, period, 272, 282, 284, 285
+
+_ch'ien-min_ (commoners), 143
+
+Chin, dynasty, 229 ff.
+  (_see_ Juchên); dynasty, 114, 115 ff.;
+  Eastern Chin dynasty, 152 ff., 155 ff.;
+  Later Chin dynasty, 139
+
+Ch'in, state, 36;
+  Ch'in, dynasty, 53, 59, 60, 62 ff., 80;
+  Earlier Ch'in dynasty, 126, 157;
+  Later Ch'in dynasty, 129, 139, 159;
+  Western Ch'in dynasty, 129, 140
+
+Ch'in K'ui, politician, 226
+
+Chinese, origin of, 2, 8 ff.
+
+Ching Fang, scholar, 255
+
+Ching-tê (-chen), city, 201, 256
+
+_ching-t'ien_ system, 33
+
+Ching Tsung, Manchu ruler, 260
+
+Ch'in Ying, painter, 255
+
+Chou, dynasty, 29 f., 76;
+  short Chou dynasty, 180;
+  Later Chou dynasty, 206;
+  Northern Chou dynasty, 148, 149, 150 ff., 169, 172
+
+Chou En-lai, politician, 320
+
+Chou-k'ou-tien, archaeological site, 8
+
+Chou-kung (Duke of Chou), 33, 93
+Chou-li, book, 33
+
+Chou Tun-i, philosopher, 218
+
+Christianity, 179, 266, 282, 290
+  (_see_ Nestorians, Jesuits, Missionaries)
+
+Chronology, 7, 335
+
+Ch'u, state, 38, 199 ff., 205
+
+Chu Ch'üan-chung, general and ruler, 190, 191, 203, 204
+
+Chu Hsi, philosopher, 219, 263, 279
+
+Chu-ko Liang, general, 111
+
+Chu Tê general, 321
+
+Chu Tsai-yü, scholar, 255
+
+Chu Yüan-chang (T'ai Tsu), ruler, 239 ff., 243 ff., 246, 247, 256, 257
+
+_chuang_, 181, 212-13, 345
+  (_see_ Manors, Estates)
+
+Chuang Tzŭ;, philosopher, 47-8, 50
+
+Chün-ch'en, ruler, 88
+
+Ch'un-ch'iu, book, 43, 80
+
+_chün-t'ien_ system (land equalization system), 142-3, 173, 187
+
+_chün-tzü_ (gentleman), 42, 44
+
+Chung-ch'ang T'ung, philosopher, 50
+
+Chungking (Ch'ung-ch'ing), city, 38, 110, 318
+
+Church, Buddhistic, 146, 147, 188, 218;
+  Taoistic, 136, 147
+  (_see_ Chang Ling)
+
+Cities, 36, 37;
+  spread and growth of cities, 31, 55-6, 175, 229, 250-1, 252;
+  origin of cities, 19;
+  twin cities, 33
+  (_see_ City states, Ch'ang-an, Sian, Lo-yang, Hankow, etc.)
+
+City States (of Central Asia), 97, 132, 177
+
+Clans, 31, 196
+
+Classes, social classes, 79, 143-4, 207, 216
+  (_see_ Castes, _ch'ien-min_, _liang-min_, Gentry, etc.)
+
+Climate, changes, 9
+
+Cliques, 91, 160, 197, 257, 261
+
+Cloisonné, 256
+
+Cobalt, 221, 256
+
+Coins, 78, 94, 116, 199, 209
+  (_see_ Money)
+
+Colonialism, 278, 283, 329
+  (_see_ Imperialism)
+
+Colonization, 97, 102, 111, 116, 153, 209, 248 ff.
+  (_see_ Migration, Assimilation)
+
+Colour prints, 256
+
+Communes, 331
+
+Communism, 314, 320 ff.
+  (_see_ Marxism, Socialism, Soviets)
+
+Concubines, 100, 227
+
+Confessions, 102
+
+Confucian ritual, 78-9;
+  Confucianism, 93, 136, 145, 150, 163-4, 168, 175, 183-4, 188, 306;
+  Confucian literature, 78;
+  false Confucian literature, 93-4;
+  Confucians, 40 ff., 134
+  (_see_ Neo-Confucianism)
+
+Conquests, 122, 270
+  (_see_ War, Colonialism)
+
+Conservatism, 219
+
+Constitution, 311
+
+Contending States, 40 ff.
+
+Co-operatives, 319
+
+Copper, 17, 211
+  (_see_ Bronze, Metal)
+
+Corruption, 51, 200
+
+Corvée (forced labour), 82, 173, 187, 196, 238
+  (_see_ Labour)
+
+Cotton, 250
+
+Courtesans, 182
+  (_see_ Brothel)
+
+Coxinga, rebel, 267, 271
+
+Craftsmen, 26, 105, 183, 197, 216, 247-8
+  (_see_ Artisans)
+
+Credits, 215
+
+Criminals, 146, 218, 248
+
+Crop rotation, 249
+
+
+Dalai Lama, religious ruler of Tibet, 278, 310
+
+Dance, 105
+
+Deflation, 215
+
+Deities, 23
+  (_see_ Tien, Shang Ti, Maitreya, Amithabha, etc.)
+
+Delft, city, 256
+
+Demands, the twenty-one, 311, 313
+
+Democracy, 305, 301
+
+Denshiring, 12
+
+Despotism, 81, 196
+  (_see_ Absolutism)
+
+Dewey, J., educator, 307
+
+Dialects, 64-5
+  (_see_ Language)
+
+Dialecticians, 59
+
+Dictators, 38, 47
+  (_see_ Despotism)
+
+Dictionaries, 65
+
+Diploma, for monks, 208
+
+Diplomacy, 223, 226
+
+Disarmament, 115, 120
+
+Discriminatory laws, 189, 233 ff., 270
+  (_see_ Double Standard)
+
+Dog, 54
+
+Dorgon, prince, 269
+
+Double standard, legal, 80
+
+Drama, 242, 255, 280
+
+Dress, changes, 53
+
+Dungan, tribes, 292
+
+Dynastic histories
+  (_see_ History), 2
+
+Dzungars, people, 277
+
+
+Eclipses, 43
+
+Economy, 53 ff., 94 ff., 100, 109, 112-13, 142 ff.;
+  Money economy, 198;
+  Natural economy, 107-8, 116
+  (_see_ Agriculture, Nomadism, Industry, Denshiring, Money, Trade,
+  etc.)
+
+Education, 73, 103, 201, 306, 326, 327
+  (_see_ Schools, Universities, Academies, Script, Examination
+  system, etc.)
+
+Elements, the five, 60
+
+Elephants, 26
+
+Elite, 73, 74, 196, 218
+  (_see_ Intellectuals, Students, Gentry)
+
+Elixir, 187 (_see_ Alchemy)
+
+Emperor, position of, 81, 92, 210, 304;
+  Emperor and church, 218
+  (_see_ Despotism, King, Absolutism, Monarchy, etc.)
+
+Empress (_see_ Lü, Wu, Wei, Tzŭ Hsi)
+
+Encyclopaedias, 219, 264, 279
+
+England, 265, 283, 285 (_see_ Great Britain)
+
+Ephtalites, tribe, 150
+
+Epics, 133
+
+Equalization Office, 91, 94 (_see chün-t'ien_)
+
+Erotic literature, 254
+
+Estates (_chuang,_) 154, 175, 181, 212, 236
+
+Ethics, 45
+  (_see_ Confucianism)
+
+Eunuchs, 91, 100, 191, 253, 259-60, 261, 267, 272
+
+Europe, 143, 212; Europeans, 209, 233, 237, 246, 263, 272, 297, 299
+
+Examination system, 74, 78, 85-6, 91, 175, 197, 216, 252-3, 259, 280;
+  Examinations for Buddhists, 207
+
+
+Fables, 259
+
+Factories, 250, 251
+
+Fallow system, 54, 249
+
+Falsifications, 93
+  (_see_ Confucianism)
+
+Family structure, 24, 29, 31, 42, 54, 138-9, 196, 332;
+  Family ethics, 58;
+  Family planning, 331
+
+Fan Chung-yen, politician, 212, 213
+
+Fascism, 264
+
+Federations, tribal, 117
+
+Felt, 33
+
+Fêng Kuo-chang, politician, 312
+
+Fêng Meng-lung, writer, 254, 255
+
+Fêng Tao, politician, 201
+
+Fêng Yü-hsiang, war lord, 312, 315
+
+Ferghana, city, 88
+
+Fertility cults, 23;
+  differential fertility, 73
+
+Fertilizer, 54
+
+Feudalism, 24, 29, 30 ff., 37, 38, 40, 42, 44, 45, 85;
+  end of feudalism, 51, 59, 62-3;
+  late feudalism, 71-2, 77 ff.;
+  new feudalism, 81;
+  nomadic feudalism, 76, 131
+  (_see_ Serfs, Aristocracy, Fiefs, Bondsmen, etc.)
+
+Fiefs, 30, 54, 78, 82
+
+Finances, 209
+  (_see_ Budget, Inflation, Money, Coins)
+
+Fire-arms
+  (_see_ Rifles, Cannons)
+
+Fishing, 94
+
+Folk-tales, 254, 258
+
+Food habits, 54-5, 155
+
+Foreign relations, 84
+  (_see_ Diplomacy, Treaty, Tribute, War)
+
+Forests, 26
+
+Formosa (T'aiwan), 152, 267, 276, 277, 295, 296, 323 ff.
+
+France, 287, 295, 296, 313, 317
+
+Frontier, concept of, 38
+
+Frugality, 58
+
+Fu Chien, ruler, 126 ff., 130, 131, 136, 139, 157-8
+
+Fu-lan-chi (Franks), 263
+
+Fu-lin, Manchu ruler, 269
+
+Fu-yü, country, 141
+
+Fukien, province, 167, 228, 237, 248, 249, 250, 251, 276
+
+
+Galdan, leader, 277
+
+Gandhara, country, 146
+
+Gardens, 154
+
+Geisha (_see_ Courtesans), 217
+
+Genealogy, 52, 167, 196
+
+Genghiz Khan, ruler, 225, 230, 241
+
+Gentry (Upper class), 44, 78, 80, 101, 108, 133, 138, 143, 144, 166,
+  173, 174, 196, 197, 203, 209, 210, 214, 236, 239, 252 ff., 257, 268,
+  272, 297, 303-4, 307;
+  colonial gentry, 163;
+  definition of gentry, 72;
+  gentry state, 71 ff.,
+  southern gentry, 153
+
+Germany, 296, 311, 312, 317
+
+Gök Turks, 149 ff.
+
+Governors, role of, 184 ff.
+
+Grain
+  (_see_ Millet, Rice, Wheat)
+
+Granaries, 216, 290
+
+Great Britain, 285, 293, 294, 295, 310
+  (_see_ England)
+
+Great Leap Forward, 331
+
+Great Proletarian Cultural Revolution, 333
+
+Great Wall, 57
+
+Greeks, 59, 60
+
+Guilds, 58, 197
+
+
+Hakka, ethnic group, 228, 289, 323
+
+Hami, city state, 245
+
+Han, dynasty, 71 ff., 122;
+  Later Han dynasty, 206
+
+Han Fei Tzu, philosopher, 59
+
+Han T'o-wei, politician, 226-7
+
+Han Yü, philosopher, 182, 217, 218
+
+Hankow (Han-k'ou), city, 38, 156, 162, 251, 290, 314
+
+Hangchow (Hang-chou), city, 38, 225, 228
+
+Heaven, 42, 81
+  (_see_ Shang Ti, T'ien)
+
+Hermits, 46 ff.
+  (_see_ Monks, Sages)
+
+Hinayana, religion, 135
+
+Historians, 2
+
+Histories, dynastic, 2, 242;
+  falsification
+  of histories, 43, 52, 93;
+  Historiography, 43, 103-4
+Hitler, Adolf, dictator, 317, 319
+
+Hittites, ethnic group, 25
+
+Ho Ch'eng-t'ien, scholar, 255
+
+Ho-lien P'o-p'o, ruler, 139, 140, 159, 225
+
+Ho Ti, Han ruler, 99
+
+_hong_, association, 286
+
+Hong Kong, colony, 286, 319, 325
+
+Hopei, province, 296
+
+Horse, 11, 90, 186, 223, 237;
+  horse chariot, 25;
+  horse riding, 53;
+  horse trade, 63
+
+Hospitals, 216
+
+Hou Ching, ruler, 161-2
+
+Houses, 19, 33
+  (_see_ Adobe)
+
+Hsi-hsia, kingdom, 214, 221, 223, 224 ff., 231
+
+Hsi-k'ang, Tibet, 310
+
+Hsia, dynasty, 17-18, 21, 25;
+  Hunnic Hsia dynasty, 139
+  (_see_ Hsi-hsia)
+
+Hsia-hou, clan, 113
+
+Hsia Kui, painter, 221
+
+Hsiao Tao-ch'eng, general, 160
+
+Hsiao Wu Ti, Chin ruler, 158
+
+Hsieh, clan, 157
+
+Hsieh Hsüan, general, 128
+
+Hsien-feng, period, 294
+
+Hsien-pi, tribal federation, 98, 102, 114, 116, 117, 119, 120, 121, 123,
+  126, 127, 128 ff., 130, 131, 132, 136, 137, 138, 140, 148, 169
+
+Hsien Ti, Han ruler, 100
+
+Hsien-yün, tribes, 21
+
+Hsin, dynasty, 92
+
+Hsin-an merchants, 251, 263
+
+_Hsin Ch'ing-nien_, journal, 307
+
+Hsiung-nu, tribal federation, 67 ff., 75 ff., 81, 86 ff., 90, 95, 96,
+  97 ff., 102, 108, 113, 114, 116, 117, 118, 224, 226
+  (_see_ Huns)
+
+Hsü Shih-ch'ang, president, 312
+
+Hsüan-tê, period, 259
+
+Hsüan-tsang, Buddhist, 181
+
+Hsüan Tsung, T'ang ruler, 181;
+  Manchu ruler, 259, 288
+
+Hsüan-t'ung, period, 300
+
+Hsün Tzŭ, philosopher, 57-8
+
+Hu, name of tribes, 118
+  (_see_ Huns)
+
+Hu Han-min, politician, 314-15
+
+Hu Shih, scholar and politician, 307, 320
+
+Hu Wei-yung, politician, 257
+
+Huai-nan Tzŭ, philosopher, 50, 104
+
+Huai, Ti, Chin ruler, 123, 124
+
+Huan Hsüan, general, 158, 159
+
+Huan Wen, general, 157-8
+
+Huang Ch'ao, leader of rebellion, 189 ff., 195, 203
+
+Huang Ti, ruler, 52
+
+Huang Tsung-hsi, philosopher, 247, 352
+
+Hui-chou merchants, 251, 254
+
+_hui-kuan_, association, 197
+
+Hui Ti, Chin ruler, 120;
+  Manchu ruler, 257
+
+Hui Tsung, Sung ruler, 221
+
+Hui Tzŭ, philosopher, 59
+
+Human sacrifice, 19, 23
+
+Hung Hsiu-ch'üan, leader of rebellion, 289 ff.
+
+Huns, 57, 118, 119, 120, 121, 124, 125, 126, 127, 130, 131, 136, 139,
+  140, 147, 148, 151, 278
+  (_see_ Hu, Hsiung-nu)
+
+Hunting, 25-6
+
+Hutuktu, religious ruler, 310
+
+Hydraulic society, 56
+
+
+_i-chuang_, clan manors, 213
+
+Ili, river, 282 ff., 293, 330
+
+Imperialism, 76, 265, 285 ff., 294, 295, 329
+  (_see_ Colonialism)
+
+India, 20, 26, 34, 45, 60, 89, 106, 111, 118, 125, 134-5, 145, 146, 164,
+  181, 182, 198, 243, 265, 287, 288, 310, 329
+  (_see_ Brahmans, Bengal, Gandhara, Calcutta, Buddhism)
+
+Indo-China, 234, 258
+  (_see_ Cambodia, Annam, Laos).
+
+Indo-Europeans, language group, 15, 25, 29, 150
+  (_see_ Yüeh-chih, Tocharians, Hittites)
+
+Indonesia, 10, 201, 209, 319
+  (_see_ Java)
+
+Industries, 198, 214, 250 ff.;
+  Industrialization, 275, 325-26, 327-28, 331-32;
+  Industrial society, 212
+  (_see_ Factories)
+
+Inflation, 20, 211, 215, 237
+
+Inheritance, laws of, 24, 54
+
+Intellectuals, 300, 309
+  (_see_ Élite, Students)
+
+Investments, 198, 212, 212-14
+
+Iran (Persia), 60, 61, 234
+
+Iron, 40, 55, 96, 198;
+  Cast iron, 56;
+  Iron money, 202
+  (_see_ Steel)
+
+Irrigation, 56, 62
+
+Islam, 179, 183, 202-3
+  (_see_ Muslims)
+
+Istanbul (Constantinople), 256, 259, 293
+
+Italy, 317
+
+
+Japan, 9, 10, 26, 44, 88, 106, 112, 114, 126, 144, 145, 170, 178, 179,
+  181, 196, 201, 234, 245-6, 254, 256, 258, 263, 264, 265, 275, 294 ff.,
+  297, 298, 300, 308, 309, 311, 312, 313, 314, 316, 317 ff., 322, 323,
+  324, 325
+  (_see_ Meiji, Tada, Tanaka)
+
+Java, 234
+
+Jedzgerd, ruler, 178
+
+Jehol, province, 11, 287
+Jen Tsung, Manchu ruler, 285
+
+Jesuits, 266, 278
+
+Jews, 179
+
+_Ju_ (scribes), 34, 41
+
+Ju-chen (Chin Dynasty, Jurchen), 221-2, 223, 225, 226, 227, 229 ff, 244,
+  265
+
+Juan-juan, tribal federation, 114, 140, 149
+
+Jurchen
+  (_see_ Ju-chen)
+
+
+K'ai-feng, city
+  (_see_ Yeh, Pien-liang), 203, 230
+
+Kalmuk, Mongol tribes, 282, 283, 284
+  (_see_ Ölöt)
+
+Kang-hsi, period, 272, 277, 279
+
+K'ang Yo-wei, politician and scholar, 298-99
+
+Kansu, province, 12, 14, 86, 87, 121, 124, 125, 129, 131, 132, 139, 140,
+  142, 159, 163, 225, 292, 293, 324
+  (_see_ Tun-huang)
+
+Kao-ch'ang, city state, 177
+
+Kao, clan, 148
+
+Kao-li, state, 126, 141, 222
+  (_see_ Korea)
+
+Kao Ming, writer, 242
+
+Kao Tsu, Han ruler, 71, 77
+
+Kao Tsung, T'ang ruler, 179, 180
+
+Kao Yang, ruler, 148
+
+Kapok, textile fibre, 250
+
+Kara Kitai, tribal federation, 223-4
+
+Kashgar, city, 99, 282, 292
+
+Kazak, tribal federation, 282, 283
+
+Khalif (_see_ Caliph), 293
+
+Khamba, Tibetans, 310
+
+Khan, Central Asian title, 149, 169, 176, 177, 186
+
+Khocho, city, 177
+
+Khotan, city, 99, 135, 174
+
+King, position of, 24, 34, 42, 43; first kings, 19;
+  religious character of kingship, 37
+  (_see_ Yao, Shun, Hsia dynasty, Emperor, Wang, Prince)
+
+Kitan (Ch'i-tan), tribal federation, 184, 186, 203, 204, 205, 206, 207,
+  208, 209, 221, 222 ff., 229, 241
+  (_see_ Liao dynasty)
+
+Ko-shu Han, general, 184-5
+
+Korea, 9, 88-89, 112, 126, 169 ff., 178, 181, 201, 219, 222, 265, 268,
+  295, 296, 324, 329
+  (_see_ Kao-li, Pai-chi, Sin-lo)
+
+K'ou Ch'ien-chih, Taoist, 147
+
+Kowloon, city, 287
+
+Ku Yen-wu, geographer, 279
+
+Kuan Han-ch'ing, writer, 242
+
+Kuang-hsü, period, 295 ff.
+
+Kuang-wu Ti, Han ruler, 96 ff.
+
+Kub(i)lai Khan, Mongol ruler, 234, 241
+
+Kung-sun Lung, philosopher, 59
+
+K'ung Tzu (Confucius), 40 ff.
+
+Kuo-min-tang (KMT), party, 313, 321, 323, 324, 325
+
+Kuo Wei, ruler, 206
+
+Kuo Tzŭ-hsing, rebel leader, 239
+
+Kuo Tzŭ-i, loyal general, 184, 186
+
+Kyakhta (Kiachta), city, 278
+
+
+Labour, forced, 235, 237
+  (_see_ Corvée);
+  Labour laws, 198;
+  Labour shortage, 251
+
+Lacquer, 256
+
+Lamaism, religion, 242-3
+
+Land ownership, 31, 32, 54
+  (_see_ Property);
+  Land reform, 94, 142-3, 172-3, 229, 290, 315, 325, 330
+  (_see chün-t'ien, ching-t'ien_)
+
+Landlords, 54, 55, 154, 155, 198, 212, 213, 236-7, 251;
+  temples as landlords, 134
+
+Language, 36, 46;
+  dialects, 64-5, 167;
+  Language reform, 307-8, 324
+
+Lang Shih-ning, painter, 281
+
+La Tzŭ, philosopher, 45 ff., 101, 136
+
+Laos, country, 12
+
+Law codes, 56, 66, 80, 81-2, 93
+  (_see_ Li K'ui, Property law, Inheritance, Legalists)
+
+Leadership, 73-4
+
+League of Nations, 316
+
+Leibniz, philosopher, 281
+
+Legalists (_fa-chia_), 47, 63, 65, 66, 80, 81
+
+Legitimacy of rule, 44, 111
+  (_see_ Abdication)
+
+Lenin, V., 320, 333
+
+Lhasa, city, 278, 329
+
+Li An-shih, economist, 142
+
+Li Chung-yen, governor, 315
+
+Li Hung-chang, politician, 291, 296, 297
+
+Li K'o-yung, ruler, 190, 191, 203, 204
+
+Li Kuang-li, general, 88
+
+Li K'ui, law-maker, 56, 80
+
+Li Li-san, politician, 320
+
+Li Lin-fu, politician, 184
+
+Li Lung-mien, painter, 220
+
+Li Shih-min
+  (_see_ T'ai Tsung), T'ang ruler, 170, 172, 178
+
+Li Ssŭ, politician, 66
+
+Li Ta-chao, librarian, 320
+
+Li T'ai-po, poet, 182
+
+Li Tzŭ-ch'eng, rebel, 268, 269, 271
+
+Li Yu, writer, 280
+
+Li Yu-chen, writer, 280
+
+Li Yüan, ruler, 172
+
+Li Yüan-hung, politician, 301, 302, 312
+
+Liang dynasty, Earlier, 124, 130;
+  Later Liang, 130, 150, 162, 191, 203 ff., 207;
+  Northern Liang, 130 ff., 132, 133, 140;
+  Southern Liang, 132;
+  Western Liang, 131, 140
+
+Liang Ch'i-ch'ao, journalist, 280-1
+
+_liang-min_ (burghers), 143
+
+Liao, tribes, 12;
+  Liao dynasty (_see_ Kitan), 203, 208, 222 ff.;
+  Western Liao dynasty, 224
+
+_Liao-chai chih-i_, short-story collection, 280
+
+Libraries, 66, 201-2
+
+Lin-chin, city, 55
+
+Lin-ch'uan, city, 263
+
+Lin Shu, translator, 280
+
+Lin Tse-hsü, politician, 286
+
+Literati, 73
+  (_see_ Scholars, Confucianists)
+
+Literature, 66, 103 ff., 182 ff., 220, 253 ff.
+  (_see_ _pien-wen_, _pi-chi_, Poetry, Drama, Novels,
+  Epics, Theatre, ballads, Folk-tales, Fables, History, Confucians,
+  Writers, Scholars, Scribes)
+
+Literary revolution, 307, 320
+
+Liu Chi, Han ruler, 68, 71 ff.
+
+Liu Chih-yüan, ruler, 206
+
+Liu Chin, eunuch, 261
+
+Liu Hsiu
+  (_see_ Kuang-wu Ti), Han ruler, 96
+
+Liu Lao-chih, general, 158
+
+_liu-min_ (vagrants), 198
+
+Liu Pang
+  (_see_ Liu Chi)
+
+Liu Pei, general and ruler, 100, 101, 102
+
+Liu Shao-ch'i, political leader, 333
+
+Liu Sung, rebel, 284
+
+Liu Tsung-yüan, writer, 182
+
+Liu Ts'ung, ruler, 123, 124
+
+Liu Yao, ruler, 124
+
+Liu Yü, general, 158, 159;
+  emperor, 225
+
+Liu Yüan, sculptor, 243;
+  emperor, 119, 122, 123, 124, 126, 127, 131, 137, 139
+
+Lo Kuan-chung, writer, 254
+
+Loans, to farmers, 94;
+  foreign, 288
+
+Loess, soil formation, 9
+
+Logic, 46
+
+Long March, 321
+
+Lorcha War, 287, 291
+
+Loyang (Lo-yang), capital of China, 32, 33, 36, 37, 55, 97, 113, 122,
+  127, 142, 144, 145, 148, 149, 150, 160, 168, 176, 180, 184, 185, 215
+
+Lu, state, 41, 43
+
+Lü, empress, 77 ff.
+
+Lu Hsiang-shan, philosopher, 263
+
+Lu Hsün, writer, 320
+
+Lü Kuang, ruler, 130
+
+Lü Pu, general, 100
+
+Lü Pu-wei, politician, 63, 103
+
+Lun, prince, 120
+
+_Lun-heng_, book, 104
+
+Lung-men, place, 150
+
+Lung-shan, excavation site, 14, 15 ff., 19
+
+Lytton Commission, 316
+
+
+Ma Yin, ruler, 199-200
+
+Ma Yüan, general, 97;
+  painter, 221
+
+Macchiavellism, 60, 164, 263-4
+
+Macao, Portuguese colony, 227, 266, 286
+
+Mahayana, Buddhist sect, 135, 145
+
+Maitreya, Buddhist deity, 147, 189
+  (_see_ Messianic movements)
+
+Malacca, state, 263
+
+Malaria, 249
+
+Managers, 212-13
+
+Manchu, tribal federation and dynasty, 76, 232, 265, 267, 270 ff., 301,
+  312, 329, 330
+
+Manchuria, 9, 11, 14, 111, 114, 137, 222, 246, 275, 277, 296, 311, 316,
+  317
+
+Manichaeism, Iranian religion, 46, 179, 187
+
+Manors (_chuang_, _see_ Estates), 154
+
+Mao Tun, Hsiung-nu ruler, 75, 76, 119, 122, 139, 170
+
+Mao Tse-tung, party leader, 320, 321, 333
+
+Marco Polo, businessman, 238, 317
+
+Market, 56;
+  Market control, 85
+
+Marriage systems, 73-5, 167, 196, 332
+
+Marxism, 304, 306, 322, 331, 333;
+  Marxist theory of history, 75
+  (_see_ Materialism, Communism, Lenin, Mao Tse-tung)
+
+Materialism, 58, 164
+
+Mathematics, 61
+
+Matrilinear societies, 24
+
+Mazdaism, Iranian religion, 101, 179, 187, 342
+
+May Fourth Movement, 307, 320
+
+Medicine, 219;
+  Medical doctors, 144, 216-17
+
+Meditation
+  (_see_ Ch'an)
+
+Megalithic culture, 20
+
+Meiji, Japanese ruler, 294
+
+Melanesia, 10
+
+Mencius (Meng Tzŭ), philosopher, 57
+
+Merchants, 31, 55, 56, 62, 63, 65, 79, 90-1, 104-5, 134, 160, 163, 179,
+  189, 198, 200, 201, 202, 212, 215-16, 247-8, 251, 276-7, 297;
+  foreign merchants, 190, 234, 237, 281-2
+  (_see_ Trade, Salt, Caravans, Businessmen)
+
+Messianic movements, 61, 147
+
+Metal, 15, 20
+  (_see_ Bronze, Copper, Iron)
+
+Mi Fei, painter, 220
+
+Middle Class, 195, 254, 297, 304, 309, 310, 314
+  (_see_ Burgher, Merchant, Craftsmen, Artisans)
+
+Middle East
+  (_see_ Near East)
+
+Migrations, 54, 116, 120 ff., 130, 142, 152 ff., 228, 237, 248, 275-6, 294;
+  forced migrations, 54, 167
+  (_see_ Colonization, Assimilation, Settlement)
+
+Militarism, 63
+
+Militia, 174, 215, 291
+
+Millet, 11, 21, 32
+
+Mills, 181, 213
+
+Min, state in Fukien, 205
+
+Ming dynasty, 243 ff.
+
+Ming Jui, general, 283
+
+Min Ti, Chin ruler, 123
+
+Ming Ti, Han ruler, 99;
+  Wei ruler, 114;
+  Later T'ang ruler, 204
+
+Minorate, 24
+
+Missionaries, Christian, 266, 281, 287, 289
+  (_see_ Jesuits)
+
+Mo Ti, philosopher, 58
+
+Modernization, 296-7
+
+Mohammedan rebellions, 292 ff.
+  (_see_ Muslim)
+
+Mon-Khmer tribes, 10
+
+Monarchy, 47, 247, 281
+  (_see_ King, Emperor, Absolutism, Despotism)
+
+Monasteries, Buddhist, 144, 207, 236;
+  economic importance, 125, 134, 180-1, 187 ff.
+
+Money, 20, 55, 180-1;
+  Money economy, 56, 58, 107-8;
+  Origin of money, 40;
+  paper money, 202, 211, 347
+  (_see_ Coins, Paper, Silver)
+
+Mongolia, 8, 9, 11, 98, 283, 317
+
+Mongols, tribes, tribal federation, dynasty, 17, 40, 53, 57, 76, 102,
+  114, 117, 119, 120, 137, 140, 175, 220, 225, 227, 228, 230 ff.,
+  232 ff., 240, 243, 244, 257, 259, 264, 266, 268, 270, 277, 281, 284,
+  291, 329, 330
+  (_see_ Yüan dynasty, Kalmuk, Tümet, Oirat, Ölöt, Naiman, Turgut,
+  Timur, Genghiz, Kublai)
+
+Monks, Buddhist, 134, 146, 164, 188, 207, 218, 239, 246, 253-4
+
+Monopolies, 85, 91, 200, 215
+
+Mound-dwellers, 16
+
+Mu-jung, tribes, 119, 126, 128-9
+
+Mu Ti, East Chin ruler, 157
+
+Mu Tsung, Manchu ruler, 294
+
+Mulberries, 143
+
+Munda tribes, 10
+
+Music, 163, 182-3, 255
+  (_see_ Theatre, Dance, Geisha)
+
+Muslims, 179, 233, 278, 289;
+  Muslim rebellions, 289, 292 ff.
+  (_see_ Islam, Mohammedans)
+
+Mysticism, 46
+
+
+Naiman, Mongol tribe, 233
+
+Nan-chao, state, 171
+
+Nan-yang, city, 96
+
+Nanking (Nan-ching), capital of China, 38, 121, 156, 162, 225, 228, 235,
+  246, 250, 254, 257, 262, 263, 266, 270, 286, 287, 290, 291, 302, 315,
+  316, 318;
+  Nanking regime, 314 ff.
+
+Nationalism, 76, 131, 233, 284-5
+  (_see_ Kuo-min-tang)
+
+Nature, 46;
+  Nature philosophers, 60
+
+Navy, 258
+
+Near East, 16, 81, 106, 109, 111, 140, 146, 221, 238
+  (_see_ Arabs, Iran, etc.)
+
+Neo-Confucianism, 218 ff., 263
+
+Neolithicum, 9
+
+Nepal, 243, 283
+
+Nerchinsk, place, 278
+
+Nestorian Christianity, 187
+
+Ni Tsan, painter, 243
+
+Nien Fei, rebels, 291-2
+
+Niu Seng-yu, politician, 188
+
+Nobility, 31, 80, 124, 131, 138;
+  Nomadic nobility, 76
+  (_see_ Aristocracy)
+
+Nomadism, 10, 40, 67, 222-3;
+  Economy of nomads, 35-6, 137;
+  Nomadic society structure, 75
+
+Novels, 254 ff., 280
+
+
+Oil, 294
+
+Oirat, Mongol tribes, 260
+
+Okinawa (_see_ Ryukyu)
+
+Ölöt, Mongol tribes, 277
+
+Opera, 242, 255-6
+
+Opium, 276, 286;
+  Opium War, 286
+
+Oracle bones, 22, 24
+
+Ordos, area, 9, 17, 20, 67, 86, 125, 129, 133, 148, 170, 225
+
+Orenburg, city, 282
+
+Organizations, 58
+  (_see hui-kuan_ Guilds, _hong_, Secret Societies)
+
+Orphanages, 218
+
+Ottoman (Turkish) Empire, 293
+
+Ou-yang Hsiu, writer, 254
+
+Outer Mongolia, 310-11, 330
+
+
+Pagoda, 243
+
+Pai-chi (Paikche), state in Korea, 141
+
+Pai-lien-hui (_see_ White Lotos) 239
+
+Painting, 56, 105, 183, 220 ff., 243, 255, 281
+
+Palaeolithicum, 8 ff.
+
+Pan Ch'ao, general, 99, 100
+
+_pao-chia_, security system, 173
+
+Paper, 105, 183, 251;
+  Paper money, 202, 228, 237
+  (_see_ Money)
+
+Parliament, 300-1
+
+Party (_see_ Kuo-min-tang, Communists)
+
+Pearl Harbour, 319
+
+Peasant rebellions, 238 ff.
+  (_see_ Rebellions)
+
+Peking, city, 169, 184, 197, 207, 208, 221, 223, 235, 239, 246, 256,
+  257, 262, 264, 265, 266, 268, 269, 272, 278, 283, 287, 290, 291, 297,
+  299, 305, 307, 308, 309, 311, 312, 313, 318;
+  Peking Man, 8
+
+Pensions, 217, 247
+
+People's Democracy, 294
+
+Persecution, religious, 147, 188, 207
+
+Persia (Iran), 256, 258, 259;
+  Persian language, 234
+
+Peruz, ruler, 178
+
+Philippines, state, 295, 323, 325
+
+Philosophy, 44, 217 ff., 263 ff.
+  (_see_ Confucius, Lao Tzŭ, Chuang Tzŭ, Huai-nan Tzŭ,
+  Hsün Tzŭ, Mencius, Hui Tzŭ, Mo Ti, Kung-sun Lung, Shang
+  Tzŭ, Han Fei Tzŭ, Tsou Yen, Legalists, Chung-ch'ang,
+  T'ung, Yüan Chi, Liu Ling, Chu Hsi, Ch'eng Hao, Lu Hsiang-shan,
+  Wang Yang-ming, etc.)
+
+_pi-chi_, literary form, 220
+
+_pieh-yeh (see_ Manor), 154
+
+Pien-liang, city (_see_ K'ai-feng), 230
+
+_pien-wen_, literary form, 253
+
+Pig, 54, 199
+
+Pilgrims, 245
+
+P'ing-ch'eng, city, 122
+
+Pirates, 245, 263
+
+Plantation economy, 154
+
+Plough, 54
+
+Po Chü-i, poet, 182, 220
+
+Po-hai, state, 171, 222, 229
+
+Poetry, 48, 163, 175, 182 ff., 227, 241, 255;
+  Court Poetry, 105;
+  Northern Poetry, 133
+
+Poets, 219 ff.
+  (_see_ T'ao Ch'ien, Po Chü-i, Li T'ai-po, Tu Fu, etc.)
+
+Politicians, migratory, 52
+
+Pontic migration, 16
+
+Population changes, 21, 55, 62, 78, 108, 236, 238, 273-4;
+  Population decrease, 107
+  (_see_ Census, Fertility)
+
+Porcelain, 20, 183, 201, 221, 251, 256, 281
+
+Port Arthur, city, 296
+
+Portsmouth, treaty, 296
+
+Portuguese 262, 263
+  (_see_ Fu-lan-chi, Macao)
+
+Potter, 32;
+  Pottery, 14, 15 ff., 20;
+  black pottery, 16
+  (_see_ Porcelain)
+
+Price controls, 212
+
+Priests, 24, 34
+  (_see_ Shamans, Ju, Monks)
+
+Primogeniture, 54
+
+Princes, 115, 120, 123
+
+Printing, 201-2
+  (_see_ Colour, Book)
+
+Privileges of gentry, 173
+
+Proletariate, 305, 320
+  (_see_ Labour)
+
+Propaganda, 93
+
+Property relations, 31, 54, 196
+  (_see_ Laws, Inheritance, Primogeniture)
+
+Protectorate, 82
+
+Provinces, administration, 85
+
+_pu-ch'ü,_ bondsmen, 143, 174
+
+Pu-ku Huai-en, general, 185, 186
+
+P'u Sung-lin, writer, 280
+
+P'u Yi, Manchu ruler, 300, 312
+
+Puppet plays, 255
+
+
+Railways, 301, 324; Manchurian Railway, 296
+
+Rebellions, 95-6, 156, 158, 184 ff., 189 ff., 238 ff., 261 ff., 267 ff.,
+  284, 289 ff., 291 ff., 299, 301
+  (_see_ Peasants, Secret Societies, Revolutions)
+
+Red Eyebrows, peasant movement, 95 ff.
+
+Red Guards, 333
+
+Reforms, 298, 299;
+  Reform of language, 307-9
+  (_see_ Land reform)
+
+Regents, 89
+
+Religion, 8, 22-4, 37, 42, 44, 48, 135-6;
+  popular religion, 101
+  (_see_ Bon, Shintoism, Persecution, Sacrifice, Ancestor cult,
+  Fertility cults, Deities, Temples, Monasteries, Christianity,
+  Islam, Buddhism, Mazdaism, Manichaeism, Messianic religions,
+  Secret societies, Soul, Shamanism, State religion)
+
+Republic, 303 ff.
+
+Revolutions, 244;
+  legitimization of revolution, 57
+  (_see_ Rebellions)
+
+Ricci, Matteo, missionary, 266
+
+Rice, 12, 155, 219, 235, 249
+
+Rifles, 263
+
+Ritualism, 34, 42
+
+Roads, 30, 56, 65
+
+Roman Empire, 31, 51, 107, 144, 210
+
+Roosevelt, F.D., president, 322
+
+Russia, 246, 259, 278, 282, 283, 284, 293, 294, 296, 298, 300, 310,
+  311, 313-14, 315, 317, 320, 321, 322, 323, 328-29, 330, 333, 334
+  (_see_ Soviet Republics)
+
+Ryukyu (Liu-ch'iu), islands, 295
+
+
+Sacrifices, 19, 23, 26
+
+Sages, 47
+
+Sakhalin (Karafuto), island, 295, 296
+
+Salar, ethnic group, 292
+
+Salary, 213, 227
+
+Salt, 40;
+  Salt merchants, 189, 238, 248-9, 262;
+  Salt trade, 200-1
+
+Samarkand, city, 45, 183, 241
+
+_San-min chu-i,_ book, 305
+
+Sang Hung-yang, economist, 91
+
+Sassanids, Iranian dynasty, 178
+
+Scholars (_Ju_), 34, 41, 52, 59, 60, 100
+  (_see_ Literati, Scribes, Intellectuals, Confucianists)
+
+Schools, 79, 196, 324-25
+  (_see_ Education)
+
+Science, 60-1, 104-5, 219, 281
+  (_see_ Mathematics, Astronomy, Nature)
+
+Scribes, 34
+
+Script, Chinese, 22, 29, 65, 225, 308
+
+Sculpture, 19-20, 106, 147, 183, 243;
+  Buddhist sculptures, 146
+
+_sê-mu_ (auxiliary troops), 233
+
+Seal, imperial, 92-3
+
+Secret societies, 61, 95 ff., 289
+  (_see_ Red Eyebrows, Yellow Turbans, White Lotos, Boxer,
+     Rebellions)
+
+Sects, 135;
+  Buddhist sects, 188
+
+Seng-ko-lin-ch'in, general, 291
+
+Serfs, 21, 26, 31, 32, 33, 53-4, 72, 143, 197, 216
+  (_see_ Slaves, Servants, Bondsmen)
+
+Servants, 32
+
+Settlement, of foreigners, 177;
+  military, 248
+  (_see_ Colonization)
+
+Sha-t'o, tribal federation, 187, 190, 203, 204, 206, 207, 222, 230
+
+Shadow theatre, 255
+
+Shahruk, ruler, 258
+
+Shamans, 160, 184;
+  Shamanism, 34, 242, 135 ff., 146
+
+Shan tribes of South East Asia, 12
+
+_Shan-hai-ching_, book, 103
+
+Shan-yü, title of nomadic ruler, 88, 89, 90, 95, 103, 119, 125, 151
+
+Shang dynasty, 19 ff., 41
+
+Shang Ti, deity, 23, 24, 25
+
+Shang Tzŭ, philosopher (Shang Yang), 59
+
+Shanghai, city 246, 250, 287, 288, 301, 305, 308, 314-15, 316, 318
+
+Shao Yung, philosopher, 220
+
+Sheep, 54, 118
+
+Shen Nung, mythical figure, 52
+
+Shen Tsung, Sung ruler, 196;
+  Manchu ruler, 265, 267
+
+Sheng Tsu, Manchu ruler, 272
+
+_Shih-chi_, book, 103
+
+Shih Ching-t'ang, ruler, 204, 222
+
+Shih Ch'ung, writer, 49
+
+Shih Hêng, soldier, 260
+
+Shih Hu, ruler, 125 ff.
+
+Shih Huang-ti, ruler, 63 ff., 78
+
+Shih Lo, ruler, 123, 124, 125, 126
+
+Shih-pi, ruler, 170
+
+Shih Ssŭ-ming, 185
+
+Shih Tsung, Manchu ruler, 264, 282
+
+Shih-wei, Mongol tribes, 141
+
+Shintoism, Japanese religion, 44
+
+Ships, 168 (_see_ Navy)
+
+Short stories, 255
+
+Shoulder axes, 10
+
+Shu (Szechwan), area and/or state, 219
+
+Shu-Han dynasty, 108, 110, 111, 115
+
+Shun, dynasty, 268;
+  mythical ruler, 17
+
+Shun-chih, reign period, 270
+
+Sian (Hsi-an, Ch'ang-an), city, 31, 33, 35, 97
+
+Siao Ho (Hsiao Ho), jurist, 80
+
+Silk, 20-1, 56, 90-1, 105, 116, 143, 185, 186, 209, 214, 276, 289, 303;
+  Silk road, 86
+
+Silver, 211, 251-2, 276
+
+Sin-lo (Hsin-lo, Silla), state of Korea, 141
+
+Sinanthropos, 8
+
+Sinkiang (Hsin-Chiang, Turkestan), 14, 248, 294, 329, 330
+
+Slash and burn agriculture (denshiring), 12
+
+Slaves, 26, 32, 79, 94, 123, 137-8, 143;
+  Slave society, 26;
+  Temple slaves, 146
+
+Social mobility, 73-4, 196, 197, 218-19;
+  Social structure of tribes, 117
+
+Socialism, 93 ff., 291
+  (_see_ Marxism, Communism)
+
+Sogdiana, country in Central Asia, 45, 60, 134-5, 163, 174, 184
+
+Soul, concept of soul, 32
+
+South-East Asia, 9, 10, 14, 198, 201 250, 275, 324
+  (_see_ Burma, Champa, Cambodia, Annam, Laos, Vietnam,
+     Tonking, Indonesia, Philippines, Thailand, Mon-Khmer)
+
+Soviet Republics, 294, 312, 328
+  (_see_ Russia)
+
+Speculations, financial, 227
+
+Ssŭ-ma, clan, 113-14
+
+Ssŭ-ma Ch'ien, historian, 103-4
+
+Ssŭ-ma Kuang, historian, 220
+
+Ssŭ-ma Yen, ruler, 114, 115
+
+Standardization, 64 ff.
+
+States, territorial and national, 37, 51;
+  State religion, 145-6, 180
+
+Statistics, 83
+  (_see_ Population)
+
+Steel, 56, 198
+
+Steppe, 9
+
+Stone age, 8 ff.
+
+Stratification, social, 29
+  (_see_ Classes, Social mobility)
+
+Strikes, 198
+
+Students, 304-5, 306, 320
+
+Su Chün, rebel, 156
+
+Su Tsung, T'ang ruler, 185
+
+Su Tung-p'o, poet, 219
+
+_su-wang_ (uncrowned king), 43
+
+Sui, dynasty, 151
+
+Sun Ts'ê, ruler, 100, 101
+Sun Yat-sen (Sun I-hsien), revolutionary leader, president, 280,
+  299, 300, 302, 305, 309, 311, 312, 313, 315, 318, 321
+
+Sung, dynasty, 207, 208 ff., 238;
+  Liu-Sung dynasty, 159 ff.
+
+Szechwan (Ssŭ-ch'uan), province, 101, 139, 156, 157, 159, 185,
+  190, 199, 200, 202, 207, 214, 215, 219, 262, 301
+  (_see_ Shu)
+
+
+Ta-tan (Tatars), tribal federation, 233
+
+Tada, Japanese militarist, 295
+
+Tai, tribes, 17, 19, 21, 111, 152
+  (_see_ Thailand)
+
+Tai Chen, philosopher, 279
+
+Tai Ch'ing dynasty (Manchu), 267
+
+T'ai P'ing, state, 274, 289 ff., 333
+
+T'ai Tsu, Sung ruler, 209; Manchu ruler, 257
+
+T'ai Tsung, T'ang ruler 174, 178
+  (_see_ Li Shih-min)
+
+Taiwan (T'ai-wan, _see_ Formosa), 323 ff, 334
+
+T'an-yao, priest, 146
+
+Tanaka, Japanese militarist, 295
+
+T'ang, dynasty, 83-4, 144, 147, 172 ff.;
+  Later T'ang dynasty, 204 ff.
+
+T'ang Hsien-tsu, writer, 255
+
+T'ang Yin, painter, 255
+
+Tanguts, Tibetan tribal federation and/or state, 99, 102, 118, 224-5,
+  233
+  (_see_ Ch'iang)
+
+Tao, philosophical term, 42, 46, 47
+
+Tao-kuang, reign period, 285 ff., 288
+
+_Tao-tê-ching,_ book, 46
+
+T'ao-t'ieh, mythical emblem, 22
+
+Tao-yen, monk, 264
+
+Taoism, religion, 101-2, 133, 136, 150, 183, 188, 236, 266; Taoists, 46,
+  61, 104, 241, 263-4
+  (_see_ Lao Tzŭ, Chuang Tzŭ, Chang Ling, etc.)
+
+Tarim basin, 89, 179
+
+Tatars (Ta-tan) Mongolian tribal federation, 190, 230, 233
+
+Taxation, 33, 55, 65, 78, 143, 154, 173, 175, 178, 210, 211, 212, 213,
+  247, 252;
+  Tax collectors, 55, 74, 116;
+  Tax evasion, 214, 226, 246;
+  Tax exemptions, 188, 213, 236;
+  Taxes for monks, 208;
+  Tax reform, 187
+
+Tê Tsung, Manchu ruler, 295, 299
+
+Tea, 276; Tea trade, 200; Tea house
+  (_see_ Brothel), 182
+
+Teachers, 74
+  (_see_ Schools)
+
+Technology, 219
+
+Tell, archaeological term, 16
+
+Temples, 101, 183
+  (_see_ Monasteries)
+
+Tengri khan, ruler, 186
+
+Textile industry, 198
+  (_see_ Silk, Cotton)
+
+Thailand, state, 12, 248, 265
+  (_see_ Tai tribes)
+
+Theatre, 182-3, 242
+  (_see_ Shadow, Puppet, Opera)
+
+Throne, accession to, 150
+  (_see_ Abdication, Legitimacy)
+
+Ti, Tibetan tribes, 21, 118
+
+Tibet, 12, 15, 19, 29, 30, 35, 102, 110, 116, 118-19, 120, 121, 126,
+  127, 130, 131, 132, 135, 139, 145, 169, 174, 177, 179, 181, 186, 187,
+  200, 224-5, 242, 273, 278, 283, 284, 293, 310, 329
+  (_see_ Ch'iang, Ti, T'u-fan, T'u-yü-hun, Lhasa Tanguts)
+
+T'ien, deity, 32
+
+Tientsin (T'ien-chin), city, 287, 290, 299
+
+Timur, ruler, 258
+
+Tin, 17
+
+Ting-ling, tribal federation, 89, 102
+
+T'o-pa
+  (_see_ Toba)
+
+T'o-t'o, writer, 241-2
+
+Toba, Turkish tribal federation, 76, 116, 117, 118, 119, 120, 123, 126,
+  127, 132, 136 ff., 159, 160, 161, 168, 169, 172, 173, 174, 177, 214,
+  222, 224
+
+Tocharians, Central Asian ethnic group, 150
+
+Tokto (_see_ T'o-t'o)
+
+Tölös, Turkish tribal group, 169, 178, 185
+
+Tombs, 19, 34
+
+Tonking, state, 10, 54, 295, 330
+
+Tortoise, 22, 47-8
+
+Totalitarianism, 80
+  (_see_ Dictatorship, Fascism, Communism)
+
+Tou Ku, general, 99
+
+T'ou-man, ruler, 67
+
+Towns
+  (_see_ City)
+
+Trade, 88-9, 90, 99, 127;
+  barter trade, 57;
+  international trade, 60, 62, 86, 127-8, 139, 178, 179, 198, 209, 223,
+  245, 258, 264-5, 276, 286
+  (_see_ Merchants, Commerce, Caravans, Silk road)
+
+Translations, 135, 182, 280, 307
+
+Transportation, 56, 168, 235, 247, 283
+  (_see_ Roads, Canals, Ships, Post, Caravans, Horses)
+
+Travels of emperors, 66
+
+Treasury, 84, 206
+
+Treaty, international, 77, 226, 278, 286, 290-1, 293, 295, 296
+
+Tribal organization, 76, 223, 224
+  (_see_ Banner, Army, Nomads)
+
+Tribes, disappearance of, 133, 151-2;
+  social organization, 117;
+  military organization, 149
+
+Tribute (_kung_), 33, 88, 209, 214, 226, 230, 248
+
+_tsa-hu,_ social class, 144
+
+Tsai T'ien, prince, 295
+
+Ts'ai Yüan-p'ei, scholar, 307
+
+Ts'ao Chih, poet, 48
+
+Ts'ao Hsüeh-ch'in, writer, 280
+
+Ts'ao K'un, politician, 312
+
+Ts'ao P'ei, ruler, 102, 109, 113
+
+Ts'ao Ts'ao, general, 100, 101, 102
+
+Tsewang Rabdan, general, 277
+
+Tseng Kuo-fan, general, 291
+
+Tso Tsung-t'ang, general, 293
+
+Tsou Yen, philosopher, 60-1
+
+Ts'ui, clan, 113, 147, 181
+
+T'u-chüeh, Gök Turk tribes, 149
+  (_see_ Turks)
+
+Tu Fu, poet, 182
+
+T'u-fan, Tibetan tribal group, 171, 177, 205
+
+Tu-ku, Turkish tribe, 124, 151
+
+_T'u-shu chi-ch'eng_, encyclopaedia, 279
+
+_tu-tu_, title, 174
+
+T'u-yü-hun, Tibetan tribal federation, 130, 141, 169, 177
+
+Tuan Ch'i-jui, president, 312
+
+Tümet, Mongol tribal group, 265
+
+Tung Ch'i-ch'ang, painter, 255
+
+T'ung-chien kang-mu, historical encyclopaedia, 43
+
+T'ung-chih, reign period, 294
+
+Tung Chung-shu, thinker, 80, 104
+
+Tung Fu-hsiang, politician, 298
+
+Tung-lin academy, 267
+
+Tungus tribes, 11, 19, 117, 222, 229, 265
+  (_see_ Ju-chen, Po-hai, Manchu)
+
+Tunhuang (Tun-huang), city, 85, 324
+
+Turfan, city state, 245
+
+Turgut, Mongol tribal federation, 283
+
+Turkestan, 45, 60, 62, 85, 86 ff., 88, 95, 97, 99, 113, 114, 125,
+  127, 130, 132, 134, 135, 139, 141, 142, 146, 147, 159, 163,
+  176, 177, 178, 187, 220, 224, 241, 245, 259, 273, 277, 278,
+  282, 289, 293, 294
+  (_see_ Central Asia, Tarim, Turfan, Sinkiang, Khotan,
+  Ferghana, Samarkand, Khotcho, Tocharians, Yüeh-chih, Sogdians,
+  etc.)
+
+Turkey, 259
+
+Turks, 11, 15, 17, 25, 29, 30, 32, 35, 53, 57, 108, 109, 117, 119,
+  122, 127, 133, 135, 137, 140, 146 ff., 149 ff., 169 ff., 174,
+  176 ff., 179, 180, 181, 184, 185, 203, 206, 230, 282, 294, 329
+  (_see_ Gök Turks, T'u-chüeh, Toba, Tölös, Ting-ling, Uighur,
+  Sha-t'o, etc.)
+
+Tzŭ Hsi, empress, 294 ff., 296 ff.
+
+
+Uighurs, Turkish federation, 171, 174, 176, 177, 178, 181, 185, 186
+  ff., 190, 233, 234, 278
+
+United States, 287, 304, 309, 313, 322, 342
+  (_see_ America)
+
+Ungern-Sternberg, general, 311
+
+Urbanization, 31, 250
+  (_see_ City)
+
+Urga, city, 310
+
+University, 304-5, 306, 307, 318, 320
+
+Usury, 94
+
+
+Vagrants (_liu-min_), 198, 213
+
+Vietnam, 330, 334
+  (_see_ Annam)
+
+Village, 23;
+  Village commons, 94, 154
+
+Vinaya Buddhism, 188
+
+Voltaire, writer, 242
+
+
+Walls, 57;
+  Great Wall, 57, 67, 256
+
+Wan-li, reign period, 265, 266
+
+_Wang (king), 38_
+
+Wang An-shih, statesman, 215 ff., 217-18, 254
+
+Wang Chen, eunuch, 260
+
+Wang Ching-wei, collaborator, 315, 318
+
+Wang Ch'ung, philosopher 104-5
+
+Wang Hsien-chih, peasant leader, 189-90
+
+Wang Kung, general, 158
+
+Wang Mang, ruler, 92 ff., 97, 100, 101
+
+Wang Shih-chen, writer, 255
+
+Wang Shih-fu, writer, 242
+
+Wang Tao-k'un, writer, 254
+
+Wang Tun, rebel, 156-7
+
+Wang Yang-ming, general and philosopher, 261 ff.
+
+War, 82;
+  size of wars, 21, 53;
+  War-chariot, 25, 29, 30, 53;
+  cost of wars, 90;
+  War lords, 309 ff.;
+  Warrior-nomads, 36
+  (_see_ Army, World War, Opium War, Lorcha War, Fire-Arms)
+
+Washington, conference, 313
+
+Wei, dynasty, 102, 113 ff.;
+  small state, 40;
+  empress, 180
+
+Wei Chung-hsien, eunuch, 267-8
+
+Wei T'o, ruler in South China, 77
+
+Welfare state, 215 ff.
+
+Well-field system (_ching-t'ien_), 33
+
+Wen Ti, Han ruler, 78, 79, 80, 81, 86;
+  Wei ruler 113;
+  Toba ruler, 144;
+  Sui ruler, 167 ff.
+
+Wen Tsung, Manchu ruler, 294
+
+Whampoa, military academy, 314
+
+Wheat, 11, 21, 32
+
+White Lotos sect (Pai-lien), 239, 267, 284-5
+
+Wholesalers, 200
+
+Wine, 21
+
+Wood-cut, 251, 256
+  (_see_ Colour print)
+
+Wool, 21, 33, 286
+  (_see_ Felt)
+
+World Wars, 295, 310, 311, 312, 317
+
+Women rights, 280, 332
+
+Writing, invention, 18, 22
+  (_see_ Script)
+
+Wu, empress, 179 ff.;
+  state, 38, 111-12, 115, 121
+
+Wu-ch'ang, city, 301
+  (_see_ Hankow)
+
+Wu Ching-tzŭ, writer, 280
+
+Wu-huan, tribal federation, 98, 102, 114
+
+Wu P'ei-fu, war lord, 312
+
+Wu San-Kui, general, 269, 271, 272, 277
+
+Wu Shih-fan, ruler, 271
+
+Wu-sun, tribal group, 89
+
+Wu Tai (Five Dynasties period), 199 ff.
+
+Wu Tao-tzŭ, painter, 183
+
+Wu(Ti), Han ruler, 86, 89, 91;
+  Chin ruler, 115;
+  Liang ruler, 161, 164
+
+Wu Tsung, Manchu ruler, 261, 264
+
+Wu Wang, Chou ruler, 30
+
+_wu-wei,_ philosophical term, 47
+
+
+Yakub beg, ruler, 293
+
+Yamato, part of Japan, 112
+
+Yang, clan, 119, 120
+
+Yang Chien, ruler, 151, 163, 166 ff.
+  (_see_ Wen Ti)
+
+Yang (Kui-fei), concubine, 184
+
+Yang-shao, archaeological site, 12 ff., 29
+
+Yang Ti, Sui ruler, 168, 178
+
+Yao, mythical ruler, 17;
+  tribes in South China, 12, 16, 19, 21, 111, 152
+
+Yarkand, city in Turkestan, 97, 98, 282
+
+Yeh (K'ai-feng), city, 125, 148
+
+Yeh-ta (_see_ Ephtalites)
+
+Yehe-Nara, tribe, 294
+
+Yellow Turbans, secret society, 101, 158
+
+Yeh-lü Ch'u-ts'ai, politician, 241
+
+Yen, state, 114;
+  dynasty, 112;
+  Earlier Yen dynasty, 126, 127;
+  Later Yen dynasty 127, 128 ff.;
+  Western Yen dynasty, 129
+
+Yen-an, city, 321-2
+
+Yen Fu, translator, 280
+
+Yen Hsi-shan, war lord, 315
+
+Yen-ta (Altan), ruler, 264-5
+
+_Yen-t'ieh-lun_ (Discourses on Salt and Iron), book, 91
+
+Yin Chung-k'an, general, 158
+
+Yin-ch'ü, city, 21
+
+Yin and Yang, philosophical terms, 60
+
+Ying Tsung, Manchu ruler, 259, 260
+
+Yo Fei, general, 226
+
+Yü Liang, general, 156, 157
+
+Yü-wen, tribal group, 119, 148, 169, 172
+
+Yüan Chen, 182
+
+Yüan Chi, philosopher, 50
+
+Yüan Mei, writer, 280
+
+Yüan Shao, general, 100
+
+Yüan Shih-k'ai, general and president, 298, 299, 300, 301, 302, 309,
+     310, 311, 312
+
+Yüan Ti, Han ruler, 92;
+  Chin ruler, 152, 156
+
+Yüeh, tribal group and area, 12, 16, 38, 77, 152
+
+Yüeh-chih, Indo-European-speaking ethnic group, 75, 88, 118, 150
+
+Yün-kang, caves, 146-7, 344
+
+Yünnan, (Yün-nan), province, 10, 89, 97, 110, 248, 258, 275, 292
+
+Yung-cheng, reign period, 278, 282
+
+Yung-lo, reign period, 257, 264
+
+
+Zen Buddhism
+  (_see_ Ch'an), 164
+
+Zoroaster, founder of religion, 342
+
+
+
+Transcriber's Notes
+
+Most typos/misspellings were left as in the original text. In some
+obvious cases they are noted here. There are cases of American and UK
+English. There are cases of unusual hyphenation. There are more than one
+spelling of Chinese proper nouns. There are cases, like Marxism, which
+are not capitalized. There are cases of double words, like 'had had'.
+These are correctly used.
+
+Additionally, the author has spelled the following words inconsistently.
+Those have not been changed, but are listed here:
+
+Northwestern
+Southwards
+Programme
+re-introduced
+practise
+Lotos
+Ju-Chên
+cooperate
+life-time
+man-power
+favor
+advise
+
+Page 25. (conceived as a kind of celestrial court) This should be
+celestial court.
+
+Page 25. (the middle of the second millenium B.C.). Normally 'millenium'
+is spelled 'millennium', with a double n.
+
+Page 26. (they re-settled the captured). Normally 're-settled' is
+spelled without a hyphen.
+
+Page 80. ("Collected Statues of the Manchu Dynasty") This is likely a
+typo for "Collected Statutes of the Manchu Dynasty".
+
+Page 197. (allowed to enter the state examina) This may be a typo for
+state examinations.
+
+Page 209. (accounted for 25 per cent cent) I removed the duplicate cent.
+
+Page 255. ("The Peony Pavillion") Pavillion/Pavilion is spelled with one
+'l' in other places thoughout this work.
+
+Page 264. (Ling's church Taosim.) This may be Taoism, but I left as was
+printed.
+
+Page 275. (could allevitate the pressure) Alleviate was probably meant.
+
+Page 278. (particulary in regard) Typo for particularly.
+
+Pages 335 and 336. The spelling of J. G. Andersoon/Andersson is not
+consistent. Johan Gunnar Andersson appears to be associated with studies
+of China.
+
+Page 342. The name W. Eichhorn is apparently misspelled here as Eichhron.
+
+Page 323. Equipped is spelled equiped.
+
+Page 337. (and when it florished,) Typo for flourished.
+
+Index and page 60. Machiavellism/Machiavellian is spelled with 2 'c's.
+Machiavelism is more common as Machiavellianism.
+
+
+
+
+
+End of the Project Gutenberg EBook of A history of China., [3d ed. rev. and
+enl.], by Wolfram Eberhard
+
+*** END OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+***** This file should be named 17695-0.txt or 17695-0.zip *****
+This and all associated files of various formats will be found in:
+        http://www.gutenberg.org/1/7/6/9/17695/
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+Updated editions will replace the previous one--the old editions
+will be renamed.
+
+Creating the works from public domain print editions means that no
+one owns a United States copyright in these works, so the Foundation
+(and you!) can copy and distribute it in the United States without
+permission and without paying copyright royalties.  Special rules,
+set forth in the General Terms of Use part of this license, apply to
+copying and distributing Project Gutenberg-tm electronic works to
+protect the PROJECT GUTENBERG-tm concept and trademark.  Project
+Gutenberg is a registered trademark, and may not be used if you
+charge for the eBooks, unless you receive specific permission.  If you
+do not charge anything for copies of this eBook, complying with the
+rules is very easy.  You may use this eBook for nearly any purpose
+such as creation of derivative works, reports, performances and
+research.  They may be modified and printed and given away--you may do
+practically ANYTHING with public domain eBooks.  Redistribution is
+subject to the trademark license, especially commercial
+redistribution.
+
+
+
+*** START: FULL LICENSE ***
+
+THE FULL PROJECT GUTENBERG LICENSE
+PLEASE READ THIS BEFORE YOU DISTRIBUTE OR USE THIS WORK
+
+To protect the Project Gutenberg-tm mission of promoting the free
+distribution of electronic works, by using or distributing this work
+(or any other work associated in any way with the phrase "Project
+Gutenberg"), you agree to comply with all the terms of the Full Project
+Gutenberg-tm License (available with this file or online at
+http://gutenberg.org/license).
+
+
+Section 1.  General Terms of Use and Redistributing Project Gutenberg-tm
+electronic works
+
+1.A.  By reading or using any part of this Project Gutenberg-tm
+electronic work, you indicate that you have read, understand, agree to
+and accept all the terms of this license and intellectual property
+(trademark/copyright) agreement.  If you do not agree to abide by all
+the terms of this agreement, you must cease using and return or destroy
+all copies of Project Gutenberg-tm electronic works in your possession.
+If you paid a fee for obtaining a copy of or access to a Project
+Gutenberg-tm electronic work and you do not agree to be bound by the
+terms of this agreement, you may obtain a refund from the person or
+entity to whom you paid the fee as set forth in paragraph 1.E.8.
+
+1.B.  "Project Gutenberg" is a registered trademark.  It may only be
+used on or associated in any way with an electronic work by people who
+agree to be bound by the terms of this agreement.  There are a few
+things that you can do with most Project Gutenberg-tm electronic works
+even without complying with the full terms of this agreement.  See
+paragraph 1.C below.  There are a lot of things you can do with Project
+Gutenberg-tm electronic works if you follow the terms of this agreement
+and help preserve free future access to Project Gutenberg-tm electronic
+works.  See paragraph 1.E below.
+
+1.C.  The Project Gutenberg Literary Archive Foundation ("the Foundation"
+or PGLAF), owns a compilation copyright in the collection of Project
+Gutenberg-tm electronic works.  Nearly all the individual works in the
+collection are in the public domain in the United States.  If an
+individual work is in the public domain in the United States and you are
+located in the United States, we do not claim a right to prevent you from
+copying, distributing, performing, displaying or creating derivative
+works based on the work as long as all references to Project Gutenberg
+are removed.  Of course, we hope that you will support the Project
+Gutenberg-tm mission of promoting free access to electronic works by
+freely sharing Project Gutenberg-tm works in compliance with the terms of
+this agreement for keeping the Project Gutenberg-tm name associated with
+the work.  You can easily comply with the terms of this agreement by
+keeping this work in the same format with its attached full Project
+Gutenberg-tm License when you share it without charge with others.
+
+1.D.  The copyright laws of the place where you are located also govern
+what you can do with this work.  Copyright laws in most countries are in
+a constant state of change.  If you are outside the United States, check
+the laws of your country in addition to the terms of this agreement
+before downloading, copying, displaying, performing, distributing or
+creating derivative works based on this work or any other Project
+Gutenberg-tm work.  The Foundation makes no representations concerning
+the copyright status of any work in any country outside the United
+States.
+
+1.E.  Unless you have removed all references to Project Gutenberg:
+
+1.E.1.  The following sentence, with active links to, or other immediate
+access to, the full Project Gutenberg-tm License must appear prominently
+whenever any copy of a Project Gutenberg-tm work (any work on which the
+phrase "Project Gutenberg" appears, or with which the phrase "Project
+Gutenberg" is associated) is accessed, displayed, performed, viewed,
+copied or distributed:
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+1.E.2.  If an individual Project Gutenberg-tm electronic work is derived
+from the public domain (does not contain a notice indicating that it is
+posted with permission of the copyright holder), the work can be copied
+and distributed to anyone in the United States without paying any fees
+or charges.  If you are redistributing or providing access to a work
+with the phrase "Project Gutenberg" associated with or appearing on the
+work, you must comply either with the requirements of paragraphs 1.E.1
+through 1.E.7 or obtain permission for the use of the work and the
+Project Gutenberg-tm trademark as set forth in paragraphs 1.E.8 or
+1.E.9.
+
+1.E.3.  If an individual Project Gutenberg-tm electronic work is posted
+with the permission of the copyright holder, your use and distribution
+must comply with both paragraphs 1.E.1 through 1.E.7 and any additional
+terms imposed by the copyright holder.  Additional terms will be linked
+to the Project Gutenberg-tm License for all works posted with the
+permission of the copyright holder found at the beginning of this work.
+
+1.E.4.  Do not unlink or detach or remove the full Project Gutenberg-tm
+License terms from this work, or any files containing a part of this
+work or any other work associated with Project Gutenberg-tm.
+
+1.E.5.  Do not copy, display, perform, distribute or redistribute this
+electronic work, or any part of this electronic work, without
+prominently displaying the sentence set forth in paragraph 1.E.1 with
+active links or immediate access to the full terms of the Project
+Gutenberg-tm License.
+
+1.E.6.  You may convert to and distribute this work in any binary,
+compressed, marked up, nonproprietary or proprietary form, including any
+word processing or hypertext form.  However, if you provide access to or
+distribute copies of a Project Gutenberg-tm work in a format other than
+"Plain Vanilla ASCII" or other format used in the official version
+posted on the official Project Gutenberg-tm web site (www.gutenberg.org),
+you must, at no additional cost, fee or expense to the user, provide a
+copy, a means of exporting a copy, or a means of obtaining a copy upon
+request, of the work in its original "Plain Vanilla ASCII" or other
+form.  Any alternate format must include the full Project Gutenberg-tm
+License as specified in paragraph 1.E.1.
+
+1.E.7.  Do not charge a fee for access to, viewing, displaying,
+performing, copying or distributing any Project Gutenberg-tm works
+unless you comply with paragraph 1.E.8 or 1.E.9.
+
+1.E.8.  You may charge a reasonable fee for copies of or providing
+access to or distributing Project Gutenberg-tm electronic works provided
+that
+
+- You pay a royalty fee of 20% of the gross profits you derive from
+     the use of Project Gutenberg-tm works calculated using the method
+     you already use to calculate your applicable taxes.  The fee is
+     owed to the owner of the Project Gutenberg-tm trademark, but he
+     has agreed to donate royalties under this paragraph to the
+     Project Gutenberg Literary Archive Foundation.  Royalty payments
+     must be paid within 60 days following each date on which you
+     prepare (or are legally required to prepare) your periodic tax
+     returns.  Royalty payments should be clearly marked as such and
+     sent to the Project Gutenberg Literary Archive Foundation at the
+     address specified in Section 4, "Information about donations to
+     the Project Gutenberg Literary Archive Foundation."
+
+- You provide a full refund of any money paid by a user who notifies
+     you in writing (or by e-mail) within 30 days of receipt that s/he
+     does not agree to the terms of the full Project Gutenberg-tm
+     License.  You must require such a user to return or
+     destroy all copies of the works possessed in a physical medium
+     and discontinue all use of and all access to other copies of
+     Project Gutenberg-tm works.
+
+- You provide, in accordance with paragraph 1.F.3, a full refund of any
+     money paid for a work or a replacement copy, if a defect in the
+     electronic work is discovered and reported to you within 90 days
+     of receipt of the work.
+
+- You comply with all other terms of this agreement for free
+     distribution of Project Gutenberg-tm works.
+
+1.E.9.  If you wish to charge a fee or distribute a Project Gutenberg-tm
+electronic work or group of works on different terms than are set
+forth in this agreement, you must obtain permission in writing from
+both the Project Gutenberg Literary Archive Foundation and Michael
+Hart, the owner of the Project Gutenberg-tm trademark.  Contact the
+Foundation as set forth in Section 3 below.
+
+1.F.
+
+1.F.1.  Project Gutenberg volunteers and employees expend considerable
+effort to identify, do copyright research on, transcribe and proofread
+public domain works in creating the Project Gutenberg-tm
+collection.  Despite these efforts, Project Gutenberg-tm electronic
+works, and the medium on which they may be stored, may contain
+"Defects," such as, but not limited to, incomplete, inaccurate or
+corrupt data, transcription errors, a copyright or other intellectual
+property infringement, a defective or damaged disk or other medium, a
+computer virus, or computer codes that damage or cannot be read by
+your equipment.
+
+1.F.2.  LIMITED WARRANTY, DISCLAIMER OF DAMAGES - Except for the "Right
+of Replacement or Refund" described in paragraph 1.F.3, the Project
+Gutenberg Literary Archive Foundation, the owner of the Project
+Gutenberg-tm trademark, and any other party distributing a Project
+Gutenberg-tm electronic work under this agreement, disclaim all
+liability to you for damages, costs and expenses, including legal
+fees.  YOU AGREE THAT YOU HAVE NO REMEDIES FOR NEGLIGENCE, STRICT
+LIABILITY, BREACH OF WARRANTY OR BREACH OF CONTRACT EXCEPT THOSE
+PROVIDED IN PARAGRAPH F3.  YOU AGREE THAT THE FOUNDATION, THE
+TRADEMARK OWNER, AND ANY DISTRIBUTOR UNDER THIS AGREEMENT WILL NOT BE
+LIABLE TO YOU FOR ACTUAL, DIRECT, INDIRECT, CONSEQUENTIAL, PUNITIVE OR
+INCIDENTAL DAMAGES EVEN IF YOU GIVE NOTICE OF THE POSSIBILITY OF SUCH
+DAMAGE.
+
+1.F.3.  LIMITED RIGHT OF REPLACEMENT OR REFUND - If you discover a
+defect in this electronic work within 90 days of receiving it, you can
+receive a refund of the money (if any) you paid for it by sending a
+written explanation to the person you received the work from.  If you
+received the work on a physical medium, you must return the medium with
+your written explanation.  The person or entity that provided you with
+the defective work may elect to provide a replacement copy in lieu of a
+refund.  If you received the work electronically, the person or entity
+providing it to you may choose to give you a second opportunity to
+receive the work electronically in lieu of a refund.  If the second copy
+is also defective, you may demand a refund in writing without further
+opportunities to fix the problem.
+
+1.F.4.  Except for the limited right of replacement or refund set forth
+in paragraph 1.F.3, this work is provided to you 'AS-IS' WITH NO OTHER
+WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO
+WARRANTIES OF MERCHANTIBILITY OR FITNESS FOR ANY PURPOSE.
+
+1.F.5.  Some states do not allow disclaimers of certain implied
+warranties or the exclusion or limitation of certain types of damages.
+If any disclaimer or limitation set forth in this agreement violates the
+law of the state applicable to this agreement, the agreement shall be
+interpreted to make the maximum disclaimer or limitation permitted by
+the applicable state law.  The invalidity or unenforceability of any
+provision of this agreement shall not void the remaining provisions.
+
+1.F.6.  INDEMNITY - You agree to indemnify and hold the Foundation, the
+trademark owner, any agent or employee of the Foundation, anyone
+providing copies of Project Gutenberg-tm electronic works in accordance
+with this agreement, and any volunteers associated with the production,
+promotion and distribution of Project Gutenberg-tm electronic works,
+harmless from all liability, costs and expenses, including legal fees,
+that arise directly or indirectly from any of the following which you do
+or cause to occur: (a) distribution of this or any Project Gutenberg-tm
+work, (b) alteration, modification, or additions or deletions to any
+Project Gutenberg-tm work, and (c) any Defect you cause.
+
+
+Section  2.  Information about the Mission of Project Gutenberg-tm
+
+Project Gutenberg-tm is synonymous with the free distribution of
+electronic works in formats readable by the widest variety of computers
+including obsolete, old, middle-aged and new computers.  It exists
+because of the efforts of hundreds of volunteers and donations from
+people in all walks of life.
+
+Volunteers and financial support to provide volunteers with the
+assistance they need, is critical to reaching Project Gutenberg-tm's
+goals and ensuring that the Project Gutenberg-tm collection will
+remain freely available for generations to come.  In 2001, the Project
+Gutenberg Literary Archive Foundation was created to provide a secure
+and permanent future for Project Gutenberg-tm and future generations.
+To learn more about the Project Gutenberg Literary Archive Foundation
+and how your efforts and donations can help, see Sections 3 and 4
+and the Foundation web page at http://www.pglaf.org.
+
+
+Section 3.  Information about the Project Gutenberg Literary Archive
+Foundation
+
+The Project Gutenberg Literary Archive Foundation is a non profit
+501(c)(3) educational corporation organized under the laws of the
+state of Mississippi and granted tax exempt status by the Internal
+Revenue Service.  The Foundation's EIN or federal tax identification
+number is 64-6221541.  Its 501(c)(3) letter is posted at
+http://pglaf.org/fundraising.  Contributions to the Project Gutenberg
+Literary Archive Foundation are tax deductible to the full extent
+permitted by U.S. federal laws and your state's laws.
+
+The Foundation's principal office is located at 4557 Melan Dr. S.
+Fairbanks, AK, 99712., but its volunteers and employees are scattered
+throughout numerous locations.  Its business office is located at
+809 North 1500 West, Salt Lake City, UT 84116, (801) 596-1887, email
+business@pglaf.org.  Email contact links and up to date contact
+information can be found at the Foundation's web site and official
+page at http://pglaf.org
+
+For additional contact information:
+     Dr. Gregory B. Newby
+     Chief Executive and Director
+     gbnewby@pglaf.org
+
+
+Section 4.  Information about Donations to the Project Gutenberg
+Literary Archive Foundation
+
+Project Gutenberg-tm depends upon and cannot survive without wide
+spread public support and donations to carry out its mission of
+increasing the number of public domain and licensed works that can be
+freely distributed in machine readable form accessible by the widest
+array of equipment including outdated equipment.  Many small donations
+($1 to $5,000) are particularly important to maintaining tax exempt
+status with the IRS.
+
+The Foundation is committed to complying with the laws regulating
+charities and charitable donations in all 50 states of the United
+States.  Compliance requirements are not uniform and it takes a
+considerable effort, much paperwork and many fees to meet and keep up
+with these requirements.  We do not solicit donations in locations
+where we have not received written confirmation of compliance.  To
+SEND DONATIONS or determine the status of compliance for any
+particular state visit http://pglaf.org
+
+While we cannot and do not solicit contributions from states where we
+have not met the solicitation requirements, we know of no prohibition
+against accepting unsolicited donations from donors in such states who
+approach us with offers to donate.
+
+International donations are gratefully accepted, but we cannot make
+any statements concerning tax treatment of donations received from
+outside the United States.  U.S. laws alone swamp our small staff.
+
+Please check the Project Gutenberg Web pages for current donation
+methods and addresses.  Donations are accepted in a number of other
+ways including checks, online payments and credit card donations.
+To donate, please visit: http://pglaf.org/donate
+
+
+Section 5.  General Information About Project Gutenberg-tm electronic
+works.
+
+Professor Michael S. Hart is the originator of the Project Gutenberg-tm
+concept of a library of electronic works that could be freely shared
+with anyone.  For thirty years, he produced and distributed Project
+Gutenberg-tm eBooks with only a loose network of volunteer support.
+
+
+Project Gutenberg-tm eBooks are often created from several printed
+editions, all of which are confirmed as Public Domain in the U.S.
+unless a copyright notice is included.  Thus, we do not necessarily
+keep eBooks in compliance with any particular paper edition.
+
+
+Most people start at our Web site which has the main PG search facility:
+
+     http://www.gutenberg.org
+
+This Web site includes information about Project Gutenberg-tm,
+including how to make donations to the Project Gutenberg Literary
+Archive Foundation, how to help produce our new eBooks, and how to
+subscribe to our email newsletter to hear about new eBooks.
diff --git a/17695-0.zip b/17695-0.zip
new file mode 100644
index 0000000..5bc1205
--- /dev/null
+++ b/17695-0.zip
diff --git a/17695-8.txt b/17695-8.txt
new file mode 100644
index 0000000..5f4292f
--- /dev/null
+++ b/17695-8.txt
@@ -0,0 +1,18156 @@
+The Project Gutenberg EBook of A history of China., [3d ed. rev. and enl.], by 
+Wolfram Eberhard
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+
+Title: A history of China., [3d ed. rev. and enl.]
+
+Author: Wolfram Eberhard
+
+Release Date: February 7, 2006 [EBook #17695]
+
+Language: English
+
+Character set encoding: ISO-8859-1
+
+*** START OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+
+
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+
+
+
+
+A
+HISTORY OF CHINA
+
+by
+WOLFRAM EBERHARD
+_of the University of California_
+
+_Illustrated_
+
+UNIVERSITY OF CALIFORNIA PRESS
+Berkeley and Los Angeles 1969
+
+
+
+First published in U.�S.�A. by
+_University of California Press_
+_Berkeley and Los Angeles_
+_California_
+
+Second printing 1955
+Third printing 1956
+Second edition (revised by the author
+and reset) 1960
+Reprinted 1966
+Third edition (revised
+and enlarged) 1969
+
+
+
+_To My Wife_
+
+
+
+
+CONTENTS
+
+
+INTRODUCTION                                                         1
+
+_THE EARLIEST TIMES_
+
+
+Chapter I: PREHISTORY
+
+1 Sources for the earliest history                                   7
+2 The Peking Man                                                     8
+3 The Palaeolithic Age                                               8
+4 The Neolithic Age                                                  9
+5 The eight principal prehistoric cultures                          10
+6 The Yang-shao culture                                             12
+7 The Lung-shan culture                                             15
+8 The first petty States in Shansi                                  16
+
+
+Chapter II: THE SHANG DYNASTY
+(_c._ 1600-1028 B.C.)
+
+1 Period, origin, material culture                                  19
+2 Writing and Religion                                              22
+3 Transition to feudalism                                           24
+
+
+_ANTIQUITY_
+
+
+Chapter III: THE CHOU DYNASTY (_c._ 1028-257 B.C.)
+
+1 Cultural origin of the Chou and end of the Shang dynasty          29
+2 Feudalism in the new empire                                       30
+3 Fusion of Chou and Shang                                          32
+4 Limitation of the imperial power                                  36
+5 Changes in the relative strength of the feudal states             38
+6 Confucius                                                         40
+7 Lao Tzu                                                           45
+
+
+Chapter IV: THE CONTENDING STATES (481-256 B.C.):
+
+DISSOLUTION OF THE FEUDAL SYSTEM
+
+1 Social and military changes                                       51
+2 Economic changes                                                  53
+3 Cultural changes                                                  57
+
+
+Chapter V: THE CHIN DYNASTY (256-207 B.C.)
+
+1 Towards the unitary State                                         62
+2 Centralization in every field                                     64
+3 Frontier Defence. Internal collapse                               67
+
+
+_THE MIDDLE AGES_
+
+
+Chapter VI: THE HAN DYNASTY (206 B.C.-A.D. 220)
+
+1 Development of the gentry-state                                   71
+2 Situation of the Hsiung-nu empire; its relation to the
+  Han empire. Incorporation of South China                          75
+3 Brief feudal reaction. Consolidation of the gentry                77
+4 Turkestan policy. End of the Hsiung-nu empire                     86
+5 Impoverishment. Cliques. End of the Dynasty                       90
+6 The pseudo-socialistic dictatorship. Revolt of the "Red
+  Eyebrows"                                                         93
+7 Reaction and Restoration: the Later Han dynasty                   96
+8 Hsiung-nu policy                                                  97
+9 Economic situation. Rebellion of the "Yellow Turbans".
+  Collapse of the Han dynasty                                       99
+10 Literature and Art                                              103
+
+
+Chapter VII: THE EPOCH OF THE FIRST DIVISION
+OF CHINA (A.D. 220-580)
+
+(A) _The three kingdoms_ (A.D. 220-265)
+
+1 Social, intellectual, and economic problems during the
+  period of the first division                                     107
+2 Status of the two southern Kingdoms                              109
+3 The northern State of Wei                                        113
+
+(B) _The Western Chin dynasty_ (265-317)
+
+1 Internal situation in the Chin empire                            115
+2 Effect on the frontier peoples                                   116
+3 Struggles for the throne                                         119
+4 Migration of Chinese                                             120
+5 Victory of the Huns. The Hun Han dynasty (later renamed
+  the Earlier Chao dynasty)                                        121
+
+(C) _The alien empires in North China, down to the Toba_
+(A.D. 317-385)
+
+1 The Later Chao dynasty in eastern North China (Hun; 329-352)     123
+2 Earlier Yen dynasty in the north-east (proto-Mongol;
+  352-370), and the Earlier Ch'in dynasty in all north
+  China (Tibetan; 351-394)                                         126
+3 The fragmentation of north China                                 128
+4 Sociological analysis of the two great alien empires             131
+5 Sociological analysis of the petty States                        132
+6 Spread of Buddhism                                               133
+
+(D) _The Toba empire in North China_ (A.D. 385-550)
+
+1 The rise of the Toba State                                       136
+2 The Hun kingdom of the Hsia (407-431)                            139
+3 Rise of the Toba to a great power                                139
+4 Economic and social conditions                                   142
+5 Victory and retreat of Buddhism                                  145
+
+(E) _Succession States of the Toba_ (A.D. 550-580):
+_Northern Ch'i dynasty, Northern Chou dynasty_
+
+1 Reasons for the splitting of the Toba empire                     148
+2 Appearance of the (G�k) Turks                                    149
+3 The Northern Ch'i dynasty; the Northern Chou dynasty             150
+
+(F) _The southern empires_
+
+1 Economic and social situation in the south                       152
+2 Struggles between cliques under the Eastern Chin
+  dynasty (A.D. 317-419)                                           155
+3 The Liu-Sung dynasty (A.D. 420-478) and the Southern
+  Ch'i dynasty (A.D. 479-501)                                      159
+4 The Liang dynasty (A.D. 502-556)                                 161
+5 The Ch'en dynasty (A.D. 557-588) and its ending by the
+  Sui                                                              162
+6 Cultural achievements of the south                               163
+
+
+Chapter VIII: THE EMPIRES OF THE SUI AND
+THE T'ANG
+
+(A) _The Sui dynasty_ (A.D. 580-618)
+
+1 Internal situation in the newly unified empire                   166
+2 Relations with Turks and with Korea                              169
+3 Reasons for collapse                                             170
+
+(B) _The Tang dynasty_ (A.D. 618-906)
+
+1 Reforms and decentralization                                     172
+2 Turkish policy                                                   176
+3 Conquest of Turkestan and Korea. Summit of power                 177
+4 The reign of the empress Wu: Buddhism and capitalism             179
+5 Second blossoming of T'ang culture                               182
+6 Revolt of a military governor                                    184
+7 The role of the Uighurs. Confiscation of the capital of the
+  monasteries                                                      186
+8 First successful peasant revolt. Collapse of the empire          189
+
+
+_MODERN TIMES_
+
+
+Chapter IX: THE EPOCH OF THE SECOND
+DIVISION OF CHINA
+
+(A) _The period of the Five Dynasties_ (906-960)
+
+1 Beginning of a new epoch                                         195
+2 Political situation in the tenth century                         199
+3 Monopolistic trade in South China. Printing and paper
+  money in the north                                               200
+4 Political history of the Five Dynasties                          202
+
+(B) _Period of Moderate Absolutism_
+
+(1) _The Northern Sung dynasty_
+
+1 Southward expansion                                              208
+2 Administration and army. Inflation                               210
+3 Reforms and Welfare schemes                                      215
+4 Cultural situation (philosophy, religion, literature, painting)  217
+5 Military collapse                                                221
+
+(2) _The Liao (Kitan) dynasty in the north_ (937-1125)
+
+1 Sociological structure. Claim to the Chinese imperial
+  throne                                                           222
+2 The State of the Kara-Kitai                                      223
+
+(3) _The Hsi-Hsia State in the north_ (1038-1227)
+
+1 Continuation of Turkish traditions                               224
+
+(4) _The empire of the Southern Sung dynasty_ (1127-1279)
+
+1 Foundation                                                       225
+2 Internal situation                                               226
+3 Cultural situation; reasons for the collapse                     227
+
+(5) _The empire of the Juch�n in the north_ (1115-1234)
+
+1 Rapid expansion from northern Korea to the Yangtze               229
+2 United front of all Chinese                                      229
+3 Start of the Mongol empire                                       230
+
+
+Chapter X: THE PERIOD OF ABSOLUTISM
+
+(A) _The Mongol Epoch_ (1280-1368)
+
+1 Beginning of new foreign rules                                   232
+2 "Nationality legislation"                                        233
+3 Military position                                                234
+4 Social situation                                                 235
+5 Popular risings: National rising                                 238
+6 Cultural                                                         241
+
+(B) _The Ming Epoch_ (1368-1644)
+
+1 Start. National feeling                                          243
+2 Wars against Mongols and Japanese                                244
+3 Social legislation within the existing order                     246
+4 Colonization and agricultural developments                       248
+5 Commercial and industrial developments                           250
+6 Growth of the small gentry                                       252
+7 Literature, art, crafts                                          253
+8 Politics at court                                                256
+9 Navy. Southward expansion                                        258
+10 Struggles between cliques                                       259
+11 Risings                                                         262
+12 Machiavellism                                                   263
+13 Foreign relations in the sixteenth century                      264
+14 External and internal perils                                    266
+
+(C) _The Manchu Dynasty_ (1644-1911)
+
+1 Installation of the Manchus                                      270
+2 Decline in the eighteenth century                                272
+3 Expansion in Central Asia; the first State treaty                277
+4 Culture                                                          279
+5 Relations with the outer world                                   282
+6 Decline; revolts                                                 284
+7 European Imperialism in the Far East                             285
+8 Risings in Turkestan and within China: the T'ai P'ing Rebellion  288
+9 Collision with Japan; further Capitulations                      294
+10 Russia in Manchuria                                             296
+11 Reform and reaction: The Boxer Rising                           296
+12 End of the dynasty                                              299
+
+
+Chapter XI: THE REPUBLIC (1912-1948)
+
+1 Social and intellectual position                                 303
+2 First period of the Republic: The warlords                       309
+3 Second period of the Republic: Nationalist China                 314
+4 The Sino-Japanese war (1937-1945)                                317
+
+
+Chapter XII: PRESENT-DAY CHINA
+
+1 The growth of communism                                          320
+2 Nationalist China in Taiwan                                      323
+3 Communist China                                                  327
+
+
+Notes and References                                               335
+
+Index                                                              355
+
+
+
+
+ILLUSTRATIONS
+
+
+1 Painted pottery from Kansu: Neolithic. _Facing page_              48
+_In the collection of the Museum f�r V�lkerkunde, Berlin_.
+
+2 Ancient bronze tripod found at Anyang.                            49
+_From G.�Ecke: Fr�he chinesische Bronzen aus der Sammlung
+Oskar Trautmann, Peking 1939 plate 3._
+
+3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style.                                  64
+_From V.�Griessmaier: Sammlung Baron Eduard von der
+Heydt, Vienna 1936, illustration No. 6._
+
+4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz'u.                                                      64
+_From a print in the author's possession_.
+
+5 Part of the "Great Wall".                                         65
+_Photo Eberhard._
+
+6 Sun Ch'�an, ruler of Wu.                                         144
+_From a painting by Yen Li-pen (c. 640-680)._
+
+7 General view of the Buddhist cave-temples of Y�n-kang.
+In the foreground, the present village; in the background
+the rampart.                                                       145
+_Photo H.�Hammer-Morrisson._
+
+8 Detail from the Buddhist cave-reliefs of Lungmen.                160
+_From a print in the author's possession._
+
+9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the "Great Buddha Temple" at Chengting (Hopei).                    161
+_Photo H.�Hammer-Morrisson._
+
+10 Ladies of the Court: Clay models which accompanied
+the dead person to the grave. T'ang period.                        208
+_In the collection of the Museum f�r V�lkerkunde, Berlin._
+
+11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan.                                                209
+_Museum f�r V�lkerkunde, Berlin. No. 1B 4524, illustration
+B 408._
+
+12 Ancient tiled pagoda at Chengting (Hopei).                      224
+_Photo H.�Hammer-Morrisson._
+
+13 Horse-training. Painting by Li Lung-mien. Late Sung
+period.                                                            225
+_Manchu Royal House Collection._
+
+14 Aborigines of South China, of the "Black Miao" tribe,
+at a festival. China-ink drawing of the eighteenth
+century.                                                           272
+_Collection of the Museum f�r V�lkerkunde, Berlin. No. 1D
+8756, 68._
+
+15 Pavilion on the "Coal Hill" at Peking, in which the last
+Ming emperor committed suicide.                                    273
+_Photo Eberhard._
+
+16 The imperial summer palace of the Manchu rulers, at
+Jehol.                                                             288
+_Photo H.�Hammer-Morrisson._
+
+17 Tower on the city wall of Peking.                               289
+_Photo H.�Hammer-Morrisson._
+
+
+
+
+MAPS
+
+
+1 Regions of the principal local cultures in prehistoric
+times                                                               13
+
+2 The principal feudal States in the feudal epoch (roughly
+722-481 B.C.)                                                       39
+
+3 China in the struggle with the Huns or Hsiung-nu
+(roughly 128-100 B.C.)                                              87
+
+4 The Toba empire (about A.D. 500)                                 141
+
+5 The T'ang realm (about A.D. 750)                                 171
+
+6 The State of the Later T'ang dynasty (923-935)                   205
+
+
+
+
+INTRODUCTION
+
+
+There are indeed enough Histories of China already: why yet another one?
+Because the time has come for new departures; because we need to clear
+away the false notions with which the general public is constantly being
+fed by one author after another; because from time to time syntheses
+become necessary for the presentation of the stage reached by research.
+
+Histories of China fall, with few exceptions, into one or the other of
+two groups, pro-Chinese and anti-Chinese: the latter used to
+predominate, but today the former type is much more frequently found. We
+have no desire to show that China's history is the most glorious or her
+civilization the oldest in the world. A claim to the longest history
+does not establish the greatness of a civilization; the importance of a
+civilization becomes apparent in its achievements. A thousand years ago
+China's civilization towered over those of the peoples of Europe. Today
+the West is leading; tomorrow China may lead again. We need to realize
+how China became what she is, and to note the paths pursued by the
+Chinese in human thought and action. The lives of emperors, the great
+battles, this or the other famous deed, matter less to us than the
+discovery of the great forces that underlie these features and govern
+the human element. Only when we have knowledge of those forces and
+counter-forces can we realize the significance of the great
+personalities who have emerged in China; and only then will the history
+of China become intelligible even to those who have little knowledge of
+the Far East and can make nothing of a mere enumeration of dynasties and
+campaigns.
+
+Views on China's history have radically changed in recent years. Until
+about thirty years ago our knowledge of the earliest times in China
+depended entirely on Chinese documents of much later date; now we are
+able to rely on many excavations which enable us to check the written
+sources. Ethnological, anthropological, and sociological research has
+begun for China and her neighbours; thus we are in a position to write
+with some confidence about the making of China, and about her ethnical
+development, where formerly we could only grope in the dark. The claim
+that "the Chinese race" produced the high Chinese civilization entirely
+by its own efforts, thanks to its special gifts, has become just as
+untenable as the other theory that immigrants from the West, some
+conceivably from Europe, carried civilization to the Far East. We know
+now that in early times there was no "Chinese race", there were not even
+"Chinese", just as there were no "French" and no "Swiss" two thousand
+years ago. The "Chinese" resulted from the amalgamation of many separate
+peoples of different races in an enormously complicated and
+long-drawn-out process, as with all the other high civilizations of the
+world.
+
+The picture of ancient and medieval China has also been entirely changed
+since it has been realized that the sources on which reliance has always
+been placed were not objective, but deliberately and emphatically
+represented a particular philosophy. The reports on the emperors and
+ministers of the earliest period are not historical at all, but served
+as examples of ideas of social policy or as glorifications of particular
+noble families. Myths such as we find to this day among China's
+neighbours were made into history; gods were made men and linked
+together by long family trees. We have been able to touch on all these
+things only briefly, and have had to dispense with any account of the
+complicated processes that have taken place here.
+
+The official dynastic histories apply to the course of Chinese history
+the criterion of Confucian ethics; for them history is a textbook of
+ethics, designed to show by means of examples how the man of high
+character should behave or not behave. We have to go deeper, and try to
+extract the historic truth from these records. Many specialized studies
+by Chinese, Japanese, and Western scholars on problems of Chinese
+history are now available and of assistance in this task. However, some
+Chinese writers still imagine that they are serving their country by yet
+again dishing up the old fables for the foreigner as history; and some
+Europeans, knowing no better or aiming at setting alongside the
+unedifying history of Europe the shining example of the conventional
+story of China, continue in the old groove. To this day, of course, we
+are far from having really worked through every period of Chinese
+history; there are long periods on which scarcely any work has yet been
+done. Thus the picture we are able to give today has no finality about
+it and will need many modifications. But the time has come for a new
+synthesis, so that criticism may proceed along the broadest possible
+front and push our knowledge further forward.
+
+The present work is intended for the general reader and not for the
+specialist, who will devote his attention to particular studies and to
+the original texts. In view of the wide scope of the work, I have had to
+confine myself to placing certain lines of thought in the foreground and
+paying less attention to others. I have devoted myself mainly to showing
+the main lines of China's social and cultural development down to the
+present day. But I have also been concerned not to leave out of account
+China's relations with her neighbours. Now that we have a better
+knowledge of China's neighbours, the Turks, Mongols, Tibetans, Tunguses,
+Tai, not confined to the narratives of Chinese, who always speak only of
+"barbarians", we are better able to realize how closely China has been
+associated with her neighbours from the first day of her history to the
+present time; how greatly she is indebted to them, and how much she has
+given them. We no longer see China as a great civilization surrounded by
+barbarians, but we study the Chinese coming to terms with their
+neighbours, who had civilizations of quite different types but
+nevertheless developed ones.
+
+It is usual to split up Chinese history under the various dynasties that
+have ruled China or parts thereof. The beginning or end of a dynasty
+does not always indicate the beginning or the end of a definite period
+of China's social or cultural development. We have tried to break
+China's history down into the three large periods--"Antiquity", "The
+Middle Ages", and "Modern Times". This does not mean that we compare
+these periods with periods of the same name in Western history although,
+naturally, we find some similarities with the development of society and
+culture in the West. Every attempt towards periodization is to some
+degree arbitrary: the beginning and end of the Middle Ages, for
+instance, cannot be fixed to a year, because development is a continuous
+process. To some degree any periodization is a matter of convenience,
+and it should be accepted as such.
+
+The account of Chinese history here given is based on a study of the
+original documents and excavations, and on a study of recent research
+done by Chinese, Japanese and Western scholars, including my own
+research. In many cases, these recent studies produced new data or
+arranged new data in a new way without an attempt to draw general
+conclusions. By putting such studies together, by fitting them into the
+pattern that already existed, new insights into social and cultural
+processes have been gained. The specialist in the field will, I hope,
+easily recognize the sources, primary or secondary, on which such new
+insights represented in this book are based. Brief notes are appended
+for each chapter; they indicate the most important works in English and
+provide the general reader with an opportunity of finding further
+information on the problems touched on. For the specialist brief hints
+to international research are given, mainly in cases in which different
+interpretations have been proposed.
+
+Chinese words are transcribed according to the Wade-Giles system with
+the exception of names for which already a popular way of transcription
+exists (such as Peking). Place names are written without hyphen, if they
+remain readable.
+
+
+
+
+THE EARLIEST TIMES
+
+
+
+
+Chapter One
+
+PREHISTORY
+
+
+1 _Sources for the earliest history_
+
+Until recently we were dependent for the beginnings of Chinese history
+on the written Chinese tradition. According to these sources China's
+history began either about 4000 B.C. or about 2700 B.C. with a
+succession of wise emperors who "invented" the elements of a
+civilization, such as clothing, the preparation of food, marriage, and a
+state system; they instructed their people in these things, and so
+brought China, as early as in the third millennium B.C., to an
+astonishingly high cultural level. However, all we know of the origin of
+civilizations makes this of itself entirely improbable; no other
+civilization in the world originated in any such way. As time went on,
+Chinese historians found more and more to say about primeval times. All
+these narratives were collected in the great imperial history that
+appeared at the beginning of the Manchu epoch. That book was translated
+into French, and all the works written in Western languages until recent
+years on Chinese history and civilization have been based in the last
+resort on that translation.
+
+Modern research has not only demonstrated that all these accounts are
+inventions of a much later period, but has also shown _why_ such
+narratives were composed. The older historical sources make no mention
+of any rulers before 2200 B.C., no mention even of their names. The
+names of earlier rulers first appear in documents of about 400 B.C.; the
+deeds attributed to them and the dates assigned to them often do not
+appear until much later. Secondly, it was shown that the traditional
+chronology is wrong and another must be adopted, reducing all the dates
+for the more ancient history, before 900 B.C. Finally, all narratives
+and reports from China's earliest period have been dealt a mortal blow
+by modern archaeology, with the excavations of recent years. There was
+no trace of any high civilization in the third millennium B.C., and,
+indeed, we can only speak of a real "Chinese civilization" from 1300
+B.C. onward. The peoples of the China of that time had come from the
+most varied sources; from 1300 B.C. they underwent a common process of
+development that welded them into a new unity. In this sense and
+emphasizing the cultural aspects, we are justified in using from then on
+a new name, "Chinese", for the peoples of China. Those sections,
+however, of their ancestral populations who played no part in the
+subsequent cultural and racial fusion, we may fairly call "non-Chinese".
+This distinction answers the question that continually crops up, whether
+the Chinese are "autochthonons". They are autochthonons in the sense
+that they formed a unit in the Far East, in the geographical region of
+the present China, and were not immigrants from the Middle East.
+
+
+2 _The Peking Man_
+
+Man makes his appearance in the Far East at a time when remains in other
+parts of the world are very rare and are disputed. He appears as the
+so-called "Peking Man", whose bones were found in caves of
+Chou-k'ou-tien south of Peking. The Peking Man is vastly different from
+the men of today, and forms a special branch of the human race, closely
+allied to the Pithecanthropus of Java. The formation of later races of
+mankind from these types has not yet been traced, if it occurred at all.
+Some anthropologists consider, however, that the Peking Man possessed
+already certain characteristics peculiar to the yellow race.
+
+The Peking Man lived in caves; no doubt he was a hunter, already in
+possession of very simple stone implements and also of the art of making
+fire. As none of the skeletons so far found are complete, it is assumed
+that he buried certain bones of the dead in different places from the
+rest. This burial custom, which is found among primitive peoples in
+other parts of the world, suggests the conclusion that the Peking Man
+already had religious notions. We have no knowledge yet of the length of
+time the Peking Man may have inhabited the Far East. His first traces
+are attributed to a million years ago, and he may have flourished in
+500,000 B.C.
+
+
+3 _The Palaeolithic Age_
+
+After the period of the Peking Man there comes a great gap in our
+knowledge. All that we know indicates that at the time of the Peking Man
+there must have been a warmer and especially a damper climate in North
+China and Inner Mongolia than today. Great areas of the Ordos region,
+now dry steppe, were traversed in that epoch by small rivers and lakes
+beside which men could live. There were elephants, rhinoceroses, extinct
+species of stag and bull, even tapirs and other wild animals. About
+50,000 B.C. there lived by these lakes a hunting people whose stone
+implements (and a few of bone) have been found in many places. The
+implements are comparable in type with the palaeolithic implements of
+Europe (Mousterian type, and more rarely Aurignacian or even
+Magdalenian). They are not, however, exactly like the European
+implements, but have a character of their own. We do not yet know what
+the men of these communities looked like, because as yet no indisputable
+human remains have been found. All the stone implements have been found
+on the surface, where they have been brought to light by the wind as it
+swept away the loess. These stone-age communities seem to have lasted a
+considerable time and to have been spread not only over North China but
+over Mongolia and Manchuria. It must not be assumed that the stone age
+came to an end at the same time everywhere. Historical accounts have
+recorded, for instance, that stone implements were still in use in
+Manchuria and eastern Mongolia at a time when metal was known and used
+in western Mongolia and northern China. Our knowledge about the
+palaeolithic period of Central and South China is still extremely
+limited; we have to wait for more excavations before anything can be
+said. Certainly, many implements in this area were made of wood or more
+probably bamboo, such as we still find among the non-Chinese tribes of
+the south-west and of South-East Asia. Such implements, naturally, could
+not last until today.
+
+About 25,000 B.C. there appears in North China a new human type, found
+in upper layers in the same caves that sheltered Peking Man. This type
+is beyond doubt not Mongoloid, and may have been allied to the Ainu, a
+non-Mongol race still living in northern Japan. These, too, were a
+palaeolithic people, though some of their implements show technical
+advance. Later they disappear, probably because they were absorbed into
+various populations of central and northern Asia. Remains of them have
+been found in badly explored graves in northern Korea.
+
+
+4 _The Neolithic age_
+
+In the period that now followed, northern China must have gradually
+become arid, and the formation of loess seems to have steadily advanced.
+There is once more a great gap in our knowledge until, about 4000 B.C.,
+we can trace in North China a purely Mongoloid people with a neolithic
+culture. In place of hunters we find cattle breeders, who are even to
+some extent agriculturists as well. This may seem an astonishing
+statement for so early an age. It is a fact, however, that pure pastoral
+nomadism is exceptional, that normal pastoral nomads have always added a
+little farming to their cattle-breeding, in order to secure the needed
+additional food and above all fodder, for the winter.
+
+At this time, about 4000 B.C., the other parts of China come into view.
+The neolithic implements of the various regions of the Far East are far
+from being uniform; there are various separate cultures. In the
+north-west of China there is a system of cattle-breeding combined with
+agriculture, a distinguishing feature being the possession of finely
+polished axes of rectangular section, with a cutting edge. Farther east,
+in the north and reaching far to the south, is found a culture with axes
+of round or oval section. In the south and in the coastal region from
+Nanking to Tonking, Y�nnan to Fukien, and reaching as far as the coasts
+of Korea and Japan, is a culture with so-called shoulder-axes. Szechwan
+and Y�nnan represented a further independent culture.
+
+All these cultures were at first independent. Later the shoulder-axe
+culture penetrated as far as eastern India. Its people are known to
+philological research as Austroasiatics, who formed the original stock
+of the Australian aborigines; they survived in India as the Munda
+tribes, in Indo-China as the Mon-Khmer, and also remained in pockets on
+the islands of Indonesia and especially Melanesia. All these peoples had
+migrated from southern China. The peoples with the oval-axe culture are
+the so-called Papuan peoples in Melanesia; they, too, migrated from
+southern China, probably before the others. Both groups influenced the
+ancient Japanese culture. The rectangular-axe culture of north-west
+China spread widely, and moved southward, where the Austronesian peoples
+(from whom the Malays are descended) were its principal constituents,
+spreading that culture also to Japan.
+
+Thus we see here, in this period around 4000 B.C., an extensive mutual
+penetration of the various cultures all over the Far East, including
+Japan, which in the palaeolithic age was apparently without or almost
+without settlers.
+
+
+5 _The eight principal prehistoric cultures_
+
+In the period roughly around 2500 B.C. the general historical view
+becomes much clearer. Thanks to a special method of working, making use
+of the ethnological sources available from later times together with the
+archaeological sources, much new knowledge has been gained in recent
+years. At this time there is still no trace of a Chinese realm; we find
+instead on Chinese soil a considerable number of separate local
+cultures, each developing on its own lines. The chief of these cultures,
+acquaintance with which is essential to a knowledge of the whole later
+development of the Far East, are as follows:
+
+(a) _The north-east culture_, centred in the present provinces of Hopei
+(in which Peking lies), Shantung, and southern Manchuria. The people of
+this culture were ancestors of the Tunguses, probably mixed with an
+element that is contained in the present-day Paleo-Siberian tribes.
+These men were mainly hunters, but probably soon developed a little
+primitive agriculture and made coarse, thick pottery with certain basic
+forms which were long preserved in subsequent Chinese pottery (for
+instance, a type of the so-called tripods). Later, pig-breeding became
+typical of this culture.
+
+(b) _The northern culture_ existed to the west of that culture, in the
+region of the present Chinese province of Shansi and in the province of
+Jehol in Inner Mongolia. These people had been hunters, but then became
+pastoral nomads, depending mainly on cattle. The people of this culture
+were the tribes later known as Mongols, the so-called proto-Mongols.
+Anthropologically they belonged, like the Tunguses, to the Mongol race.
+
+(c) The people of the culture farther west, the _north-west culture_,
+were not Mongols. They, too, were originally hunters, and later became a
+pastoral people, with a not inconsiderable agriculture (especially
+growing wheat and millet). The typical animal of this group soon became
+the horse. The horse seems to be the last of the great animals to be
+domesticated, and the date of its first occurrence in domesticated form
+in the Far East is not yet determined, but we can assume that by 2500
+B.C. this group was already in the possession of horses. The horse has
+always been a "luxury", a valuable animal which needed special care. For
+their economic needs, these tribes depended on other animals, probably
+sheep, goats, and cattle. The centre of this culture, so far as can be
+ascertained from Chinese sources, were the present provinces of Shensi
+and Kansu, but mainly only the plains. The people of this culture were
+most probably ancestors of the later Turkish peoples. It is not
+suggested, of course, that the original home of the Turks lay in the
+region of the Chinese provinces of Shensi and Kansu; one gains the
+impression, however, that this was a border region of the Turkish
+expansion; the Chinese documents concerning that period do not suffice
+to establish the centre of the Turkish territory.
+
+(d) In the _west_, in the present provinces of Szechwan and in all the
+mountain regions of the provinces of Kansu and Shensi, lived the
+ancestors of the Tibetan peoples as another separate culture. They were
+shepherds, generally wandering with their flocks of sheep and goats on
+the mountain heights.
+
+(e) In the _south_ we meet with four further cultures. One is very
+primitive, the Liao culture, the peoples of which are the Austroasiatics
+already mentioned. These are peoples who never developed beyond the
+stage of primitive hunters, some of whom were not even acquainted with
+the bow and arrow. Farther east is the Yao culture, an early
+Austronesian culture, the people of which also lived in the mountains,
+some as collectors and hunters, some going over to a simple type of
+agriculture (denshiring). They mingled later with the last great culture
+of the south, the Tai culture, distinguished by agriculture. The people
+lived in the valleys and mainly cultivated rice.
+
+The origin of rice is not yet known; according to some scholars, rice
+was first cultivated in the area of present Burma and was perhaps at
+first a perennial plant. Apart from the typical rice which needs much
+water, there were also some strains of dry rice which, however, did not
+gain much importance. The centre of this Tai culture may have been in
+the present provinces of Kuangtung and Kuanghsi. Today, their
+descendants form the principal components of the Tai in Thailand, the
+Shan in Burma and the Lao in Laos. Their immigration into the areas of
+the Shan States of Burma and into Thailand took place only in quite
+recent historical periods, probably not much earlier than A.D. 1000.
+
+Finally there arose from the mixture of the Yao with the Tai culture, at
+a rather later time, the Y�eh culture, another early Austronesian
+culture, which then spread over wide regions of Indonesia, and of which
+the axe of rectangular section, mentioned above, became typical.
+
+Thus, to sum up, we may say that, quite roughly, in the middle of the
+third millennium we meet in the _north_ and west of present-day China
+with a number of herdsmen cultures. In the _south_ there were a number
+of agrarian cultures, of which the Tai was the most powerful, becoming
+of most importance to the later China. We must assume that these
+cultures were as yet undifferentiated in their social composition, that
+is to say that as yet there was no distinct social stratification, but
+at most beginnings of class-formation, especially among the nomad
+herdsmen.
+
+
+6 _The Yang-shao culture_
+
+The various cultures here described gradually penetrated one another,
+especially at points where they met. Such a process does not yield a
+simple total of the cultural elements involved; any new combination
+produces entirely different conditions with corresponding new results
+which, in turn, represent the characteristics of the culture that
+supervenes. We can no longer follow this process of penetration in
+detail; it need not by any means have been always warlike. Conquest of
+one group by another was only one way of mutual cultural penetration. In
+other cases, a group which occupied the higher altitudes and practised
+hunting or slash-and-burn agriculture came into closer contacts with
+another group in the valleys which practised some form of higher
+agriculture; frequently, such contacts resulted in particular forms of
+division of labour in a unified and often stratified new form of
+society. Recent and present developments in South-East Asia present a
+number of examples for such changes. Increase of population is certainly
+one of the most important elements which lead to these developments. The
+result, as a rule, was a stratified society being made up of at least
+one privileged and one ruled stratum. Thus there came into existence
+around 2000 B.C. some new cultures, which are well known
+archaeologically. The most important of these are the Yang-shao culture
+in the west and the Lung-shan culture in the east. Our knowledge of both
+these cultures is of quite recent date and there are many enigmas still
+to be cleared up.
+
+[Illustration: Map 1. Regions of the principal local cultures in
+prehistoric times. _Local cultures of minor importance have not been
+shown._]
+
+The _Yang-shao culture_ takes its name from a prehistoric settlement in
+the west of the present province of Honan, where Swedish investigators
+discovered it. Typical of this culture is its wonderfully fine pottery,
+apparently used as gifts to the dead. It is painted in three colours,
+white, red, and black. The patterns are all stylized, designs copied
+from nature being rare. We are now able to divide this painted pottery
+into several sub-types of specific distribution, and we know that this
+style existed from _c_. 2200 B.C. on. In general, it tends to disappear
+as does painted pottery in other parts of the world with the beginning
+of urban civilization and the invention of writing. The typical
+Yang-shao culture seems to have come to an end around 1600 or 1500 B.C.
+It continued in some more remote areas, especially of Kansu, perhaps to
+about 700 B.C. Remnants of this painted pottery have been found over a
+wide area from Southern Manchuria, Hopei, Shansi, Honan, Shensi to
+Kansu; some pieces have also been discovered in Sinkiang. Thus far, it
+seems that it occurred mainly in the mountainous parts of North and
+North-West China. The people of this culture lived in villages near to
+the rivers and creeks. They had various forms of houses, including
+underground dwellings and animal enclosures. They practised some
+agriculture; some authors believe that rice was already known to them.
+They also had domesticated animals. Their implements were of stone with
+rare specimens of bone. The axes were of the rectangular type. Metal was
+as yet unknown, but seems to have been introduced towards the end of the
+period. They buried their dead on the higher elevations, and here the
+painted pottery was found. For their daily life, they used predominantly
+a coarse grey pottery.
+
+After the discovery of this culture, its pottery was compared with the
+painted pottery of the West, and a number of resemblances were found,
+especially with the pottery of the Lower Danube basin and that of Anau,
+in Turkestan. Some authors claim that such resemblances are fortuitous
+and believe that the older layers of this culture are to be found in the
+eastern part of its distribution and only the later layers in the west.
+It is, they say, these later stages which show the strongest
+resemblances with the West. Other authors believe that the painted
+pottery came from the West where it occurs definitely earlier than in
+the Far East; some investigators went so far as to regard the
+Indo-Europeans as the parents of that civilization. As we find people
+who spoke an Indo-European language in the Far East in a later period,
+they tend to connect the spread of painted pottery with the spread of
+Indo-European-speaking groups. As most findings of painted pottery in
+the Far East do not stem from scientific excavations it is difficult to
+make any decision at this moment. We will have to wait for more and
+modern excavations.
+
+From our knowledge of primeval settlement in West and North-West China
+we know, however, that Tibetan groups, probably mixed with Turkish
+elements, must have been the main inhabitants of the whole region in
+which this painted pottery existed. Whatever the origin of the painted
+pottery may be, it seems that people of these two groups were the main
+users of it. Most of the shapes of their pottery are not found in later
+Chinese pottery.
+
+
+7 _The Lung-shan culture_
+
+While the Yang-shao culture flourished in the mountain regions of
+northern and western China around 2000 B.C., there came into existence
+in the plains of eastern China another culture, which is called the
+Lung-shan culture, from the scene of the principal discoveries.
+Lung-shan is in the province of Shantung, near Chinan-fu. This culture,
+discovered only about twenty-five years ago, is distinguished by a black
+pottery of exceptionally fine quality and by a similar absence of metal.
+The pottery has a polished appearance on the exterior; it is never
+painted, and mostly without decoration; at most it may have incised
+geometrical patterns. The forms of the vessels are the same as have
+remained typical of Chinese pottery, and of Far Eastern pottery in
+general. To that extent the Lung-shan culture may be described as one of
+the direct predecessors of the later Chinese civilization.
+
+As in the West, we find in Lung-shan much grey pottery out of which
+vessels for everyday use were produced. This simple corded or matted
+ware seems to be in connection with Tunguse people who lived in the
+north-east. The people of the Lung-shan culture lived on mounds produced
+by repeated building on the ruins of earlier settlements, as did the
+inhabitants of the "Tells" in the Near East. They were therefore a
+long-settled population of agriculturists. Their houses were of mud, and
+their villages were surrounded with mud walls. There are signs that
+their society was stratified. So far as is known at present, this
+culture was spread over the present provinces of Shantung, Kiangsu,
+Chekiang, and Anhui, and some specimens of its pottery went as far as
+Honan and Shansi, into the region of the painted pottery. This culture
+lasted in the east until about 1600 B.C., with clear evidence of rather
+longer duration only in the south. As black pottery of a similar
+character occurs also in the Near East, some authors believe that it has
+been introduced into the Far East by another migration (Pontic
+migration) following that migration which supposedly brought the painted
+pottery. This theory has not been generally accepted because of the fact
+that typical black pottery is limited to the plains of East China; if it
+had been brought in from the West, we should expect to find it in
+considerable amounts also in West China. Ordinary black pottery can be
+simply the result of a special temperature in the pottery kiln; such
+pottery can be found almost everywhere. The typical thin, fine black
+pottery of Lung-shan, however, is in the Far East an eastern element,
+and migrants would have had to pass through the area of the painted
+pottery people without leaving many traces and without pushing their
+predecessors to the East. On the basis of our present knowledge we
+assume that the peoples of the Lung-shan culture were probably of Tai
+and Yao stocks together with some Tunguses.
+
+Recently, a culture of mound-dwellers in Eastern China has been
+discovered, and a southern Chinese culture of people with impressed or
+stamped pottery. This latter seems to be connected with the Y�eh tribes.
+As yet, no further details are known.
+
+
+8 _The first petty States in Shansi_
+
+At the time in which, according to archaeological research, the painted
+pottery flourished in West China, Chinese historical tradition has it
+that the semi-historical rulers, Yao and Shun, and the first official
+dynasty, the Hsia dynasty ruled over parts of China with a centre in
+southern Shansi. While we dismiss as political myths the Confucianist
+stories representing Yao and Shun as models of virtuous rulers, it may
+be that a small state existed in south-western Shansi under a chieftain
+Yao, and farther to the east another small state under a chieftain Shun,
+and that these states warred against each other until Yao's state was
+destroyed. These first small states may have existed around 2000 B.C.
+
+On the cultural scene we first find an important element of progress:
+bronze, in traces in the middle layers of the Yang-shao culture, about
+1800 B.C.; that element had become very widespread by 1400 B.C. The
+forms of the oldest weapons and their ornamentation show similarities
+with weapons from Siberia; and both mythology and other indications
+suggest that the bronze came into China from the north and was not
+produced in China proper. Thus, from the present state of our knowledge,
+it seems most correct to say that the bronze was brought to the Far East
+through the agency of peoples living north of China, such as the Turkish
+tribes who in historical times were China's northern neighbours (or
+perhaps only individual families or clans, the so-called smith families
+with whom we meet later in Turkish tradition), reaching the Chinese
+either through these people themselves or through the further agency of
+Mongols. At first the forms of the weapons were left unaltered. The
+bronze vessels, however, which made their appearance about 1450 B.C. are
+entirely different from anything produced in other parts of Asia; their
+ornamentation shows, on the one hand, elements of the so-called "animal
+style" which is typical of the steppe people of the Ordos area and of
+Central Asia. But most of the other elements, especially the "filling"
+between stylized designs, is recognizably southern (probably of the Tai
+culture), no doubt first applied to wooden vessels and vessels made from
+gourds, and then transferred to bronze. This implies that the art of
+casting bronze very soon spread from North China, where it was first
+practised by Turkish peoples, to the east and south, which quickly
+developed bronze industries of their own. There are few deposits of
+copper and tin in North China, while in South China both metals are
+plentiful and easily extracted, so that a trade in bronze from south to
+north soon set in.
+
+The origin of the Hsia state may have been a consequence of the progress
+due to bronze. The Chinese tradition speaks of the Hsia _dynasty_, but
+can say scarcely anything about it. The excavations, too, yield no
+clear conclusions, so that we can only say that it flourished at the
+time and in the area in which the painted pottery occurred, with a
+centre in south-west Shansi. We date this dynasty now somewhere between
+2000 and 1600 B.C. and believe that it was an agrarian culture with
+bronze weapons and pottery vessels but without the knowledge of the art
+of writing.
+
+
+
+
+Chapter Two
+
+THE SHANG DYNASTY (_c._ 1600-1028 B.C.)
+
+
+1 _Period, origin, material culture_
+
+About 1600 B.C. we come at last into the realm of history. Of the Shang
+dynasty, which now followed, we have knowledge both from later texts and
+from excavations and the documents they have brought to light. The Shang
+civilization, an evident off-shoot of the Lung-shan culture (Tai, Yao,
+and Tunguses), but also with elements of the Hsia culture (with Tibetan
+and Mongol and/or Turkish elements), was beyond doubt a high
+civilization. Of the origin of the Shang _State_ we have no details, nor
+do we know how the Hsia culture passed into the Shang culture.
+
+The central territory of the Shang realm lay in north-western Honan,
+alongside the Shansi mountains and extending into the plains. It was a
+peasant civilization with towns. One of these towns has been excavated.
+It adjoined the site of the present town of Anyang, in the province of
+Honan. The town, the Shang capital from _c._ 1300 to 1028 B.C., was
+probably surrounded by a mud wall, as were the settlements of the
+Lung-shan people. In the centre was what evidently was the ruler's
+palace. Round this were houses probably inhabited by artisans; for the
+artisans formed a sort of intermediate class, as dependents of the
+ruling class. From inscriptions we know that the Shang had, in addition
+to their capital, at least two other large cities and many smaller
+town-like settlements and villages. The rectangular houses were built in
+a style still found in Chinese houses, except that their front did not
+always face south as is now the general rule. The Shang buried their
+kings in large, subterranean, cross-shaped tombs outside the city, and
+many implements, animals and human sacrifices were buried together with
+them. The custom of large burial mounds, which later became typical of
+the Chou dynasty, did not yet exist.
+
+The Shang had sculptures in stone, an art which later more or less
+completely disappeared and which was resuscitated only in post-Christian
+times under the influence of Indian Buddhism. Yet, Shang culture cannot
+well be called a "megalithic" culture. Bronze implements and especially
+bronze vessels were cast in the town. We even know the trade marks of
+some famous bronze founders. The bronze weapons are still similar to
+those from Siberia, and are often ornamented in the so-called "animal
+style", which was used among all the nomad peoples between the Ordos
+region and Siberia until the beginning of the Christian era. On the
+other hand, the famous bronze vessels are more of southern type, and
+reveal an advanced technique that has scarcely been excelled since.
+There can be no doubt that the bronze vessels were used for religious
+service and not for everyday life. For everyday use there were
+earthenware vessels. Even in the middle of the first millennium B.C.,
+bronze was exceedingly dear, as we know from the records of prices.
+China has always suffered from scarcity of metal. For that reason metal
+was accumulated as capital, entailing a further rise in prices; when
+prices had reached a sufficient height, the stocks were thrown on the
+market and prices fell again. Later, when there was a metal coinage,
+this cycle of inflation and deflation became still clearer. The metal
+coinage was of its full nominal value, so that it was possible to coin
+money by melting down bronze implements. As the money in circulation was
+increased in this way, the value of the currency fell. Then it paid to
+turn coin into metal implements. This once more reduced the money in
+circulation and increased the value of the remaining coinage. Thus
+through the whole course of Chinese history the scarcity of metal and
+insufficiency of production of metal continually produced extensive
+fluctuations of the stocks and the value of metal, amounting virtually
+to an economic law in China. Consequently metal implements were never
+universally in use, and vessels were always of earthenware, with the
+further result of the early invention of porcelain. Porcelain vessels
+have many of the qualities of metal ones, but are cheaper.
+
+The earthenware vessels used in this period are in many cases already
+very near to porcelain: there was a pottery of a brilliant white,
+lacking only the glaze which would have made it into porcelain. Patterns
+were stamped on the surface, often resembling the patterns on bronze
+articles. This ware was used only for formal, ceremonial purposes. For
+daily use there was also a perfectly simple grey pottery.
+
+Silk was already in use at this time. The invention of sericulture must
+therefore have dated from very ancient times in China. It undoubtedly
+originated in the south of China, and at first not only the threads
+spun by the silkworm but those made by other caterpillars were also
+used. The remains of silk fabrics that have been found show already an
+advanced weaving technique. In addition to silk, various plant fibres,
+such as hemp, were in use. Woollen fabrics do not seem to have been yet
+used.
+
+The Shang were agriculturists, but their implements were still rather
+primitive. There was no real plough yet; hoes and hoe-like implements
+were used, and the grain, mainly different kinds of millet and some
+wheat, was harvested with sickles. The materials, from which these
+implements were made, were mainly wood and stone; bronze was still too
+expensive to be utilized by the ordinary farmer. As a great number of
+vessels for wine in many different forms have been excavated, we can
+assume that wine, made from special kinds of millet, was a popular
+drink.
+
+The Shang state had its centre in northern Honan, north of the Yellow
+river. At various times, different towns were made into the capital
+city; Yin-ch'�, their last capital and the only one which has been
+excavated, was their sixth capital. We do not know why the capitals were
+removed to new locations; it is possible that floods were one of the
+main reasons. The area under more or less organized Shang control
+comprised towards the end of the dynasty the present provinces of Honan,
+western Shantung, southern Hopei, central and south Shansi, east Shensi,
+parts of Kiangsu and Anhui. We can only roughly estimate the size of the
+population of the Shang state. Late texts say that at the time of the
+annihilation of the dynasty, some 3.1 million free men and 1.1 million
+serfs were captured by the conquerors; this would indicate a population
+of at least some 4-5 millions. This seems a possible number, if we
+consider that an inscription of the tenth century B.C. which reports
+about an ordinary war against a small and unimportant western neighbour,
+speaks of 13,081 free men and 4,812 serfs taken as prisoners.
+
+Inscriptions mention many neighbours of the Shang with whom they were in
+more or less continuous state of war. Many of these neighbours can now
+be identified. We know that Shansi at that time was inhabited by Ch'iang
+tribes, belonging to the Tibetan culture, as well as by Ti tribes,
+belonging to the northern culture, and by Hsien-y�n and other tribes,
+belonging to the north-western culture; the centre of the Ch'iang tribes
+was more in the south-west of Shansi and in Shensi. Some of these tribes
+definitely once formed a part of the earlier Hsia state. The
+identification of the eastern neighbours of the Shang presents more
+difficulties. We might regard them as representatives of the Tai and Yao
+cultures.
+
+
+2 _Writing and Religion_
+
+Not only the material but also the intellectual level attained in the
+Shang period was very high. We meet for the first time with
+writing--much later than in the Middle East and in India. Chinese
+scholars have succeeded in deciphering some of the documents discovered,
+so that we are able to learn a great deal from them. The writing is a
+rudimentary form of the present-day Chinese script, and like it a
+pictorial writing, but also makes use, as today, of many phonetic signs.
+There were, however, a good many characters that no longer exist, and
+many now used are absent. There were already more than 3,000 characters
+in use of which some 1,000 can now be read. (Today newspapers use some
+3,000 characters; scholars have command of up to 8,000; the whole of
+Chinese literature, ancient and modern, comprises some 50,000
+characters.) With these 3,000 characters the Chinese of the Shang period
+were able to express themselves well.
+
+The still existing fragments of writing of this period are found almost
+exclusively on tortoiseshells or on other bony surfaces, and they
+represent oracles. As early as in the Lung-shan culture there was
+divination by means of "oracle bones", at first without written
+characters. In the earliest period any bones of animals (especially
+shoulder-bones) were used; later only tortoiseshell. For the purpose of
+the oracle a depression was burnt in the shell so that cracks were
+formed on the other side, and the future was foretold from their
+direction. Subsequently particular questions were scratched on the
+shells, and the answers to them; these are the documents that have come
+down to us. In Anyang tens of thousands of these oracle bones with
+inscriptions have been found. The custom of asking the oracle and of
+writing the answers on the bones spread over the borders of the Shang
+state and continued in some areas after the end of the dynasty.
+
+The bronze vessels of later times often bear long inscriptions, but
+those of the Shang period have only very brief texts. On the other hand,
+they are ornamented with pictures, as yet largely unintelligible, of
+countless deities, especially in the shape of animals or birds--pictures
+that demand interpretation. The principal form on these bronzes is that
+of the so-called T'ao-t'ieh, a hybrid with the head of a water-buffalo
+and tiger's teeth.
+
+The Shang period had a religion with many nature deities, especially
+deities of fertility. There was no systematized pantheon, different
+deities being revered in each locality, often under the most varied
+names. These various deities were, however, similar in character, and
+later it occurred often that many of them were combined by the priests
+into a single god. The composite deities thus formed were officially
+worshipped. Their primeval forms lived on, however, especially in the
+villages, many centuries longer than the Shang dynasty. The sacrifices
+associated with them became popular festivals, and so these gods or
+their successors were saved from oblivion; some of them have lived on in
+popular religion to the present day. The supreme god of the official
+worship was called Shang Ti; he was a god of vegetation who guided all
+growth and birth and was later conceived as a forefather of the races of
+mankind. The earth was represented as a mother goddess, who bore the
+plants and animals procreated by Shang Ti. In some parts of the Shang
+realm the two were conceived as a married couple who later were parted
+by one of their children. The husband went to heaven, and the rain is
+the male seed that creates life on earth. In other regions it was
+supposed that in the beginning of the world there was a world-egg, out
+of which a primeval god came, whose body was represented by the earth:
+his hair formed the plants, and his limbs the mountains and valleys.
+Every considerable mountain was also itself a god and, similarly, the
+river god, the thunder god, cloud, lightning, and wind gods, and many
+others were worshipped.
+
+In order to promote the fertility of the earth, it was believed that
+sacrifices must be offered to the gods. Consequently, in the Shang realm
+and the regions surrounding it there were many sorts of human
+sacrifices; often the victims were prisoners of war. One gains the
+impression that many wars were conducted not as wars of conquest but
+only for the purpose of capturing prisoners, although the area under
+Shang control gradually increased towards the west and the south-east, a
+fact demonstrating the interest in conquest. In some regions men lurked
+in the spring for people from other villages; they slew them, sacrificed
+them to the earth, and distributed portions of the flesh of the
+sacrifice to the various owners of fields, who buried them. At a later
+time all human sacrifices were prohibited, but we have reports down to
+the eleventh century A.D., and even later, that such sacrifices were
+offered secretly in certain regions of central China. In other regions a
+great boat festival was held in the spring, to which many crews came
+crowded in long narrow boats. At least one of the boats had to capsize;
+the people who were thus drowned were a sacrifice to the deities of
+fertility. This festival has maintained its fundamental character to
+this day, in spite of various changes. The same is true of other
+festivals, customs, and conceptions, vestiges of which are contained at
+least in folklore.
+
+In addition to the nature deities which were implored to give fertility,
+to send rain, or to prevent floods and storms, the Shang also
+worshipped deceased rulers and even dead ministers as a kind of
+intermediaries between man and the highest deity, Shang Ti. This
+practice may be regarded as the forerunner of "ancestral worship" which
+became so typical of later China.
+
+
+3 _Transition to feudalism_
+
+At the head of the Shang state was a king, posthumously called a "Ti",
+the same word as in the name of the supreme god. We have found on bones
+the names of all the rulers of this dynasty and even some of their
+pre-dynastic ancestors. These names can be brought into agreement with
+lists of rulers found in the ancient Chinese literature. The ruler seems
+to have been a high priest, too; and around him were many other priests.
+We know some of them now so well from the inscriptions that their
+biographies could be written. The king seems to have had some kind of
+bureaucracy. There were "ch'en", officials who served the ruler
+personally, as well as scribes and military officials. The basic army
+organization was in units of one hundred men which were combined as
+"right", "left" and "central" units into an army of 300 men. But it
+seems that the central power did not extend very far. In the more
+distant parts of the realm were more or less independent lords, who
+recognized the ruler only as their supreme lord and religious leader. We
+may describe this as an early, loose form of the feudal system, although
+the main element of real feudalism was still absent. The main
+obligations of these lords were to send tributes of grain, to
+participate with their soldiers in the wars, to send tortoise shells to
+the capital to be used there for oracles, and to send occasionally
+cattle and horses. There were some thirty such dependent states.
+Although we do not know much about the general population, we know that
+the rulers had a patrilinear system of inheritance. After the death of
+the ruler his brothers followed him on the throne, the older brothers
+first. After the death of all brothers, the sons of older or younger
+brothers became rulers. No preference was shown to the son of the oldest
+brother, and no preference between sons of main or of secondary wives is
+recognizable. Thus, the Shang patrilinear system was much less extreme
+than the later system. Moreover, the deceased wives of the rulers played
+a great role in the cult, another element which later disappeared. From
+these facts and from the general structure of Shang religion it has been
+concluded that there was a strong matrilinear strain in Shang culture.
+Although this cannot be proved, it seems quite plausible because we know
+of matrilinear societies in the South of China at later times.
+
+About the middle of the Shang period there occurred interesting changes,
+probably under the influence of nomad peoples from the north-west.
+
+In religion there appears some evidence of star-worship. The deities
+seem to have been conceived as a kind of celestrial court of Shang Ti,
+as his "officials". In the field of material culture, horse-breeding
+becomes more and more evident. Some authors believe that the art of
+riding was already known in late Shang times, although it was certainly
+not yet so highly developed that cavalry units could be used in war.
+With horse-breeding the two-wheeled light war chariot makes its
+appearance. The wheel was already known in earlier times in the form of
+the potter's wheel. Recent excavations have brought to light burials in
+which up to eighteen chariots with two or four horses were found
+together with the owners of the chariots. The cart is not a Chinese
+invention but came from the north, possibly from Turkish peoples. It has
+been contended that it was connected with the war chariot of the Near
+East: shortly before the Shang period there had been vast upheavals in
+western Asia, mainly in connection with the expansion of peoples who
+spoke Indo-European languages (Hittites, etc.) and who became successful
+through the use of quick, light, two-wheeled war-chariots. It is
+possible, but cannot be proved, that the war-chariot spread through
+Central Asia in connection with the spread of such
+Indo-European-speaking groups or by the intermediary of Turkish tribes.
+We have some reasons to believe that the first Indo-European-speaking
+groups arrived in the Far East in the middle of the second millenium
+B.C. Some authors even connect the Hsia with these groups. In any case,
+the maximal distribution of these people seems to have been to the
+western borders of the Shang state. As in Western Asia, a Shang-time
+chariot was manned by three men: the warrior who was a nobleman, his
+driver, and his servant who handed him arrows or other weapons when
+needed. There developed a quite close relationship between the nobleman
+and his chariot-driver. The chariot was a valuable object, manufactured
+by specialists; horses were always expensive and rare in China, and in
+many periods of Chinese history horses were directly imported from
+nomadic tribes in the North or West. Thus, the possessors of vehicles
+formed a privileged class in the Shang realm; they became a sort of
+nobility, and the social organization began to move in the direction of
+feudalism. One of the main sports of the noblemen in this period, in
+addition to warfare, was hunting. The Shang had their special hunting
+grounds south of the mountains which surround Shansi province, along the
+slopes of the T'ai-hang mountain range, and south to the shores of the
+Yellow river. Here, there were still forests and swamps in Shang time,
+and boars, deer, buffaloes and other animals, as well as occasional
+rhinoceros and elephants, were hunted. None of these wild animals was
+used as a sacrifice; all sacrificial animals, such as cattle, pigs,
+etc., were domesticated animals.
+
+Below the nobility we find large numbers of dependent people; modern
+Chinese scholars call them frequently "slaves" and speak of a "slave
+society". There is no doubt that at least some farmers were "free
+farmers"; others were what we might call "serfs": families in hereditary
+group dependence upon some noble families and working on land which the
+noble families regarded as theirs. Families of artisans and craftsmen
+also were hereditary servants of noble families--a type of social
+organization which has its parallels in ancient Japan and in later India
+and other parts of the world. There were also real slaves: persons who
+were the personal property of noblemen. The independent states around
+the Shang state also had serfs. When the Shang captured neighbouring
+states, they re-settled the captured foreign aristocracy by attaching
+them as a group to their own noblemen. The captured serfs remained under
+their masters and shared their fate. The same system was later practised
+by the Chou after their conquest of the Shang state.
+
+The conquests of late Shang added more territory to the realm than could
+be coped with by the primitive communications of the time. When the last
+ruler of Shang made his big war which lasted 260 days against the tribes
+in the south-east, rebellions broke out which lead to the end of the
+dynasty, about 1028 B.C. according to the new chronology (1122 B.C. old
+chronology).
+
+
+
+
+ANTIQUITY
+
+
+
+
+Chapter Three
+
+THE CHOU DYNASTY (_c._ 1028-257 B.C.)
+
+
+1 _Cultural origin of the Chou and end of the Shang dynasty_
+
+The Shang culture still lacked certain things that were to become
+typical of "Chinese" civilization. The family system was not yet the
+strong patriarchal system of the later Chinese. The religion, too, in
+spite of certain other influences, was still a religion of agrarian
+fertility. And although Shang society was strongly stratified and showed
+some tendencies to develop a feudal system, feudalism was still very
+primitive. Although the Shang script was the precursor of later Chinese
+script, it seemed to have contained many words which later disappeared,
+and we are not sure whether Shang language was the same as the language
+of Chou time. With the Chou period, however, we enter a period in which
+everything which was later regarded as typically "Chinese" began to
+emerge.
+
+During the time of the Shang dynasty the Chou formed a small realm in
+the west, at first in central Shensi, an area which even in much later
+times was the home of many "non-Chinese" tribes. Before the beginning of
+the eleventh century B.C. they must have pushed into eastern Shensi, due
+to pressures of other tribes which may have belonged to the Turkish
+ethnic group. However, it is also possible that their movement was
+connected with pressures from Indo-European groups. An analysis of their
+tribal composition at the time of the conquest seems to indicate that
+the ruling house of the Chou was related to the Turkish group, and that
+the population consisted mainly of Turks and Tibetans. Their culture was
+closely related to that of Yang-shao, the previously described
+painted-pottery culture, with, of course, the progress brought by time.
+They had bronze weapons and, especially, the war-chariot. Their eastward
+migration, however, brought them within the zone of the Shang culture,
+by which they were strongly influenced, so that the Chou culture lost
+more and more of its original character and increasingly resembled the
+Shang culture. The Chou were also brought into the political sphere of
+the Shang, as shown by the fact that marriages took place between the
+ruling houses of Shang and Chou, until the Chou state became nominally
+dependent on the Shang state in the form of a dependency with special
+prerogatives. Meanwhile the power of the Chou state steadily grew, while
+that of the Shang state diminished more and more through the disloyalty
+of its feudatories and through wars in the East. Finally, about 1028
+B.C., the Chou ruler, named Wu Wang ("the martial king"), crossed his
+eastern frontier and pushed into central Honan. His army was formed by
+an alliance between various tribes, in the same way as happened again
+and again in the building up of the armies of the rulers of the steppes.
+Wu Wang forced a passage across the Yellow River and annihilated the
+Shang army. He pursued its vestiges as far as the capital, captured the
+last emperor of the Shang, and killed him. Thus was the Chou dynasty
+founded, and with it we begin the actual history of China. The Chou
+brought to the Shang culture strong elements of Turkish and also Tibetan
+culture, which were needed for the release of such forces as could
+create a new empire and maintain it through thousands of years as a
+cultural and, generally, also a political unit.
+
+
+2 _Feudalism in the new empire_
+
+A natural result of the situation thus produced was the turning of the
+country into a feudal state. The conquerors were an alien minority, so
+that they had to march out and spread over the whole country. Moreover,
+the allied tribal chieftains expected to be rewarded. The territory to
+be governed was enormous, but the communications in northern China at
+that time were similar to those still existing not long ago in southern
+China--narrow footpaths from one settlement to another. It is very
+difficult to build roads in the loess of northern China; and the
+war-chariots that required roads had only just been introduced. Under
+such conditions, the simplest way of administering the empire was to
+establish garrisons of the invading tribes in the various parts of the
+country under the command of their chieftains. Thus separate regions of
+the country were distributed as fiefs. If a former subject of the Shang
+surrendered betimes with the territory under his rule, or if there was
+one who could not be overcome by force, the Chou recognized him as a
+feudal lord.
+
+We find in the early Chou time the typical signs of true feudalism:
+fiefs were given in a ceremony in which symbolically a piece of earth
+was handed over to the new fiefholder, and his instalment, his rights
+and obligations were inscribed in a "charter". Most of the fiefholders
+were members of the Chou ruling family or members of the clan to which
+this family belonged; other fiefs were given to heads of the allied
+tribes. The fiefholder (feudal lord) regarded the land of his fief, as
+far as he and his clan actually used it, as "clan" land; parts of this
+land he gave to members of his own branch-clan for their use without
+transferring rights of property, thus creating new sub-fiefs and
+sub-lords. In much later times the concept of landed property of a
+_family_ developed, and the whole concept of "clan" disappeared. By 500
+B.C., most feudal lords had retained only a dim memory that they
+originally belonged to the Chi clan of the Chou or to one of the few
+other original clans, and their so-called sub-lords felt themselves as
+members of independent noble families. Slowly, then, the family names of
+later China began to develop, but it took many centuries until, at the
+time of the Han Dynasty, all citizens (slaves excluded) had accepted
+family names. Then, reversely, families grew again into new clans.
+
+Thus we have this picture of the early Chou state: the imperial central
+power established in Shensi, near the present Sian; over a thousand
+feudal states, great and small, often consisting only of a small
+garrison, or sometimes a more considerable one, with the former
+chieftain as feudal lord over it. Around these garrisons the old
+population lived on, in the north the Shang population, farther east and
+south various other peoples and cultures. The conquerors' garrisons were
+like islands in a sea. Most of them formed new towns, walled, with a
+rectangular plan and central crossroads, similar to the European towns
+subsequently formed out of Roman encampments. This town plan has been
+preserved to the present day.
+
+This upper class in the garrisons formed the nobility; it was sharply
+divided from the indigenous population around the towns. The conquerors
+called the population "the black-haired people", and themselves "the
+hundred families". The rest of the town populations consisted often of
+urban Shang people: Shang noble families together with their bondsmen
+and serfs had been given to Chou fiefholders. Such forced resettlements
+of whole populations have remained typical even for much later periods.
+By this method new cities were provided with urban, refined people and,
+most important, with skilled craftsmen and businessmen who assisted in
+building the cities and in keeping them alive. Some scholars believe
+that many resettled Shang urbanites either were or became businessmen;
+incidentally, the same word "Shang" means "merchant", up to the present
+time. The people of the Shang capital lived on and even attempted a
+revolt in collaboration with some Chou people. The Chou rulers
+suppressed this revolt, and then transferred a large part of this
+population to Loyang. They were settled there in a separate community,
+and vestiges of the Shang population were still to be found there in the
+fifth century A.D.: they were entirely impoverished potters, still
+making vessels in the old style.
+
+
+3 _Fusion of Chou and Shang_
+
+The conquerors brought with them, for their own purposes to begin with,
+their rigid patriarchate in the family system and their cult of Heaven
+(t'ien), in which the worship of sun and stars took the principal place;
+a religion most closely related to that of the Turkish peoples and
+derived from them. Some of the Shang popular deities, however, were
+admitted into the official Heaven-worship. Popular deities became
+"feudal lords" under the Heaven-god. The Shang conceptions of the soul
+were also admitted into the Chou religion: the human body housed two
+souls, the personality-soul and the life-soul. Death meant the
+separation of the souls from the body, the life-soul also slowly dying.
+The personality-soul, however, could move about freely and lived as long
+as there were people who remembered it and kept it from hunger by means
+of sacrifices. The Chou systematized this idea and made it into the
+ancestor-worship that has endured down to the present time.
+
+The Chou officially abolished human sacrifices, especially since, as
+former pastoralists, they knew of better means of employing prisoners of
+war than did the more agrarian Shang. The Chou used Shang and other
+slaves as domestic servants for their numerous nobility, and Shang serfs
+as farm labourers on their estates. They seem to have regarded the land
+under their control as "state land" and all farmers as "serfs". A slave,
+here, must be defined as an individual, a piece of property, who was
+excluded from membership in human society but, in later legal texts, was
+included under domestic animals and immobile property, while serfs as a
+class depended upon another class and had certain rights, at least the
+right to work on the land. They could change their masters if the land
+changed its master, but they could not legally be sold individually.
+Thus, the following, still rather hypothetical, picture of the land
+system of the early Chou time emerges: around the walled towns of the
+feudal lords and sub-lords, always in the plains, was "state land" which
+produced millet and more and more wheat. Cultivation was still largely
+"shifting", so that the serfs in groups cultivated more or less
+standardized plots for a year or more and then shifted to other plots.
+During the growing season they lived in huts on the fields; during the
+winter in the towns in adobe houses. In this manner the yearly life
+cycle was divided into two different periods. The produce of the serfs
+supplied the lords, their dependants and the farmers themselves.
+Whenever the lord found it necessary, the serfs had to perform also
+other services for the lord. Farther away from the towns were the
+villages of the "natives", nominally also subjects of the lord. In most
+parts of eastern China, these, too, were agriculturists. They
+acknowledged their dependence by sending "gifts" to the lord in the
+town. Later these gifts became institutionalized and turned into a form
+of tax. The lord's serfs, on the other hand, tended to settle near the
+fields in villages of their own because, with growing urban population,
+the distances from the town to many of the fields became too great. It
+was also at this time of new settlements that a more intensive
+cultivation with a fallow system began. At latest from the sixth century
+B.C. on, the distinctions between both land systems became unclear; and
+the pure serf-cultivation, called by the old texts the "well-field
+system" because eight cultivating families used one common well,
+disappeared in practice.
+
+The actual structure of early Chou administration is difficult to
+ascertain. The "Duke of Chou", brother of the first ruler, Wu Wang,
+later regent during the minority of Wu Wang's son, and certainly one of
+the most influential persons of this time, was the alleged creator of
+the book _Chou-li_ which contains a detailed table of the bureaucracy of
+the country. However, we know now from inscriptions that the bureaucracy
+at the beginning of the Chou period was not much more developed than in
+late Shang time. The _Chou-li_ gave an ideal picture of a bureaucratic
+state, probably abstracted from actual conditions in feudal states
+several centuries later.
+
+The Chou capital, at Sian, was a twin city. In one part lived the
+master-race of the Chou with the imperial court, in the other the
+subjugated population. At the same time, as previously mentioned, the
+Chou built a second capital, Loyang, in the present province of Honan.
+Loyang was just in the middle of the new state, and for the purposes of
+Heaven-worship it was regarded as the centre of the universe, where it
+was essential that the emperor should reside. Loyang was another twin
+city: in one part were the rulers' administrative buildings, in the
+other the transferred population of the Shang capital, probably artisans
+for the most part. The valuable artisans seem all to have been taken
+over from the Shang, for the bronze vessels of the early Chou age are
+virtually identical with those of the Shang age. The shapes of the
+houses also remained unaltered, and probably also the clothing, though
+the Chou brought with them the novelties of felt and woollen fabrics,
+old possessions of their earlier period. The only fundamental material
+change was in the form of the graves: in the Shang age house-like tombs
+were built underground; now great tumuli were constructed in the fashion
+preferred by all steppe peoples.
+
+One professional class was severely hit by the changed
+circumstances--the Shang priesthood. The Chou had no priests. As with
+all the races of the steppes, the head of the family himself performed
+the religious rites. Beyond this there were only shamans for certain
+purposes of magic. And very soon Heaven-worship was combined with the
+family system, the ruler being declared to be the Son of Heaven; the
+mutual relations within the family were thus extended to the religious
+relations with the deity. If, however, the god of Heaven is the father
+of the ruler, the ruler as his son himself offers sacrifice, and so the
+priest becomes superfluous. Thus the priests became "unemployed". Some
+of them changed their profession. They were the only people who could
+read and write, and as an administrative system was necessary they
+obtained employment as scribes. Others withdrew to their villages and
+became village priests. They organized the religious festivals in the
+village, carried out the ceremonies connected with family events, and
+even conducted the exorcism of evil spirits with shamanistic dances;
+they took charge, in short, of everything connected with customary
+observances and morality. The Chou lords were great respecters of
+propriety. The Shang culture had, indeed, been a high one with an
+ancient and highly developed moral system, and the Chou as rough
+conquerors must have been impressed by the ancient forms and tried to
+imitate them. In addition, they had in their religion of Heaven a
+conception of the existence of mutual relations between Heaven and
+Earth: all that went on in the skies had an influence on earth, and vice
+versa. Thus, if any ceremony was "wrongly" performed, it had an evil
+effect on Heaven--there would be no rain, or the cold weather would
+arrive too soon, or some such misfortune would come. It was therefore of
+great importance that everything should be done "correctly". Hence the
+Chou rulers were glad to call in the old priests as performers of
+ceremonies and teachers of morality similar to the ancient Indian rulers
+who needed the Brahmans for the correct performance of all rites. There
+thus came into existence in the early Chou empire a new social group,
+later called "scholars", men who were not regarded as belonging to the
+lower class represented by the subjugated population but were not
+included in the nobility; men who were not productively employed but
+belonged to a sort of independent profession. They became of very great
+importance in later centuries.
+
+In the first centuries of the Chou dynasty the ruling house steadily
+lost power. Some of the emperors proved weak, or were killed at war;
+above all, the empire was too big and its administration too
+slow-moving. The feudal lords and nobles were occupied with their own
+problems in securing the submission of the surrounding villages to their
+garrisons and in governing them; they soon paid little attention to the
+distant central authority. In addition to this, the situation at the
+centre of the empire was more difficult than that of its feudal states
+farther east. The settlements around the garrisons in the east were
+inhabited by agrarian tribes, but the subjugated population around the
+centre at Sian was made up of nomadic tribes of Turks and Mongols
+together with semi-nomadic Tibetans. Sian lies in the valley of the
+river Wei; the riverside country certainly belonged, though perhaps only
+insecurely, to the Shang empire and was specially well adapted to
+agriculture; but its periphery--mountains in the south, steppes in the
+north--was inhabited (until a late period, to some extent to the present
+day) by nomads, who had also been subjugated by the Chou. The Chou
+themselves were by no means strong, as they had been only a small tribe
+and their strength had depended on auxiliary tribes, which had now
+spread over the country as the new nobility and lived far from the Chou.
+The Chou emperors had thus to hold in check the subjugated but warlike
+tribes of Turks and Mongols who lived quite close to their capital. In
+the first centuries of the dynasty they were more or less successful,
+for the feudal lords still sent auxiliary forces. In time, however,
+these became fewer and fewer, because the feudal lords pursued their own
+policy; and the Chou were compelled to fight their own battles against
+tribes that continually rose against them, raiding and pillaging their
+towns. Campaigns abroad also fell mainly on the shoulders of the Chou,
+as their capital lay near the frontier.
+
+It must not be simply assumed, as is often done by the Chinese and some
+of the European historians, that the Turkish and Mongolian tribes were
+so savage or so pugnacious that they continually waged war just for the
+love of it. The problem is much deeper, and to fail to recognize this is
+to fail to understand Chinese history down to the Middle Ages. The
+conquering Chou established their garrisons everywhere, and these
+garrisons were surrounded by the quarters of artisans and by the
+villages of peasants, a process that ate into the pasturage of the
+Turkish and Mongolian nomads. These nomads, as already mentioned,
+pursued agriculture themselves on a small scale, but it occurred to them
+that they could get farm produce much more easily by barter or by
+raiding. Accordingly they gradually gave up cultivation and became pure
+nomads, procuring the needed farm produce from their neighbours. This
+abandonment of agriculture brought them into a precarious situation: if
+for any reason the Chinese stopped supplying or demanded excessive
+barter payment, the nomads had to go hungry. They were then virtually
+driven to get what they needed by raiding. Thus there developed a mutual
+reaction that lasted for centuries. Some of the nomadic tribes living
+between garrisons withdrew, to escape from the growing pressure, mainly
+into the province of Shansi, where the influence of the Chou was weak
+and they were not numerous; some of the nomad chiefs lost their lives in
+battle, and some learned from the Chou lords and turned themselves into
+petty rulers. A number of "marginal" states began to develop; some of
+them even built their own cities. This process of transformation of
+agro-nomadic tribes into "warrior-nomadic" tribes continued over many
+centuries and came to an end in the third or second century B.C.
+
+The result of the three centuries that had passed was a symbiosis
+between the urban aristocrats and the country-people. The rulers of the
+towns took over from the general population almost the whole vocabulary
+of the language which from now on we may call "Chinese". They naturally
+took over elements of the material civilization. The subjugated
+population had, meanwhile, to adjust itself to its lords. In the
+organism that thus developed, with its unified economic system, the
+conquerors became an aristocratic ruling class, and the subjugated
+population became a lower class, with varied elements but mainly a
+peasantry. From now on we may call this society "Chinese"; it has
+endured to the middle of the twentieth century. Most later essential
+societal changes are the result of internal development and not of
+aggression from without.
+
+
+4 _Limitation of the imperial power_
+
+In 771 B.C. an alliance of northern feudal states had attacked the ruler
+in his western capital; in a battle close to the city they had overcome
+and killed him. This campaign appears to have set in motion considerable
+groups from various tribes, so that almost the whole province of Shensi
+was lost. With the aid of some feudal lords who had remained loyal, a
+Chou prince was rescued and conducted eastward to the second capital,
+Loyang, which until then had never been the ruler's actual place of
+residence. In this rescue a lesser feudal prince, ruler of the feudal
+state of Ch'in, specially distinguished himself. Soon afterwards this
+prince, whose domain had lain close to that of the ruler, reconquered a
+great part of the lost territory, and thereafter regarded it as his own
+fief. The Ch'in family resided in the same capital in which the Chou
+had lived in the past, and five hundred years later we shall meet with
+them again as the dynasty that succeeded the Chou.
+
+The new ruler, resident now in Loyang, was foredoomed to impotence. He
+was now in the centre of the country, and less exposed to large-scale
+enemy attacks; but his actual rule extended little beyond the town
+itself and its immediate environment. Moreover, attacks did not entirely
+cease; several times parts of the indigenous population living between
+the Chou towns rose against the towns, even in the centre of the
+country.
+
+Now that the emperor had no territory that could be the basis of a
+strong rule and, moreover, because he owed his position to the feudal
+lords and was thus under an obligation to them, he ruled no longer as
+the chief of the feudal lords but as a sort of sanctified overlord; and
+this was the position of all his successors. A situation was formed at
+first that may be compared with that of Japan down to the middle of the
+nineteenth century. The ruler was a symbol rather than an exerciser of
+power. There had to be a supreme ruler because, in the worship of Heaven
+which was recognized by all the feudal lords, the supreme sacrifices
+could only be offered by the Son of Heaven in person. There could not be
+a number of sons of heaven because there were not a number of heavens.
+The imperial sacrifices secured that all should be in order in the
+country, and that the necessary equilibrium between Heaven and Earth
+should be maintained. For in the religion of Heaven there was a close
+parallelism between Heaven and Earth, and every omission of a sacrifice,
+or failure to offer it in due form, brought down a reaction from Heaven.
+For these religious reasons a central ruler was a necessity for the
+feudal lords. They needed him also for practical reasons. In the course
+of centuries the personal relationship between the various feudal lords
+had ceased. Their original kinship and united struggles had long been
+forgotten. When the various feudal lords proceeded to subjugate the
+territories at a distance from their towns, in order to turn their city
+states into genuine territorial states, they came into conflict with
+each other. In the course of these struggles for power many of the small
+fiefs were simply destroyed. It may fairly be said that not until the
+eighth and seventh centuries B.C. did the old garrison towns became real
+states. In these circumstances the struggles between the feudal states
+called urgently for an arbiter, to settle simple cases, and in more
+difficult cases either to try to induce other feudal lords to intervene
+or to give sanction to the new situation. These were the only governing
+functions of the ruler from the time of the transfer to the second
+capital.
+
+
+5 _Changes in the relative strength of the feudal states_
+
+In these disturbed times China also made changes in her outer frontiers.
+When we speak of frontiers in this connection, we must take little
+account of the European conception of a frontier. No frontier in that
+sense existed in China until her conflict with the European powers. In
+the dogma of the Chinese religion of Heaven, all the countries of the
+world were subject to the Chinese emperor, the Son of Heaven. Thus there
+could be no such thing as other independent states. In practice the
+dependence of various regions on the ruler naturally varied: near the
+centre, that is to say near the ruler's place of residence, it was most
+pronounced; then it gradually diminished in the direction of the
+periphery. The feudal lords of the inner territories were already rather
+less subordinated than at the centre, and those at a greater distance
+scarcely at all; at a still greater distance were territories whose
+chieftains regarded themselves as independent, subject only in certain
+respects to Chinese overlordship. In such a system it is difficult to
+speak of frontiers. In practice there was, of course, a sort of
+frontier, where the influence of the outer feudal lords ceased to exist.
+The development of the original feudal towns into feudal states with
+actual dominion over their territories proceeded, of course, not only in
+the interior of China but also on its borders, where the feudal
+territories had the advantage of more unrestricted opportunities of
+expansion; thus they became more and more powerful. In the south (that
+is to say, in the south of the Chou empire, in the present central
+China) the garrisons that founded feudal states were relatively small
+and widely separated; consequently their cultural system was largely
+absorbed into that of the aboriginal population, so that they developed
+into feudal states with a character of their own. Three of these
+attained special importance--(1) Ch'u, in the neighbourhood of the
+present Chungking and Hankow; (2) Wu, near the present Nanking; and (3)
+Y�eh, near the present Hangchow. In 704 B.C. the feudal prince of Wu
+proclaimed himself "Wang". "Wang", however was the title of the ruler of
+the Chou dynasty. This meant that Wu broke away from the old Chou
+religion of Heaven, according to which there could be only one ruler
+(_wang_) in the world.
+
+At the beginning of the seventh century it became customary for the
+ruler to unite with the feudal lord who was most powerful at the time.
+This feudal lord became a dictator, and had the military power in his
+hands, like the shoguns in nineteenth-century Japan. If there was a
+disturbance of the peace, he settled the matter by military means. The
+first of these dictators was the feudal lord of the state of Ch'i, in
+the present province of Shantung. This feudal state had grown
+considerably through the conquest of the outer end of the peninsula of
+Shantung, which until then had been independent. Moreover, and this was
+of the utmost importance, the state of Ch'i was a trade centre. Much of
+the bronze, and later all the iron, for use in northern China came from
+the south by road and in ships that went up the rivers to Ch'i, where it
+was distributed among the various regions of the north, north-east, and
+north-west. In addition to this, through its command of portions of the
+coast, Ch'i had the means of producing salt, with which it met the needs
+of great areas of eastern China. It was also in Ch'i that money was
+first used. Thus Ch'i soon became a place of great luxury, far
+surpassing the court of the Chou, and Ch'i also became the centre of the
+most developed civilization.
+
+[Illustration: Map 2: The principal feudal States in the feudal epoch.
+(_roughly 722-481 B.C._)]
+
+After the feudal lord of Ch'i, supported by the wealth and power of his
+feudal state, became dictator, he had to struggle not only against other
+feudal lords, but also many times against risings among the most various
+parts of the population, and especially against the nomad tribes in the
+southern part of the present province of Shansi. In the seventh century
+not only Ch'i but the other feudal states had expanded. The regions in
+which the nomad tribes were able to move had grown steadily smaller, and
+the feudal lords now set to work to bring the nomads of their country
+under their direct rule. The greatest conflict of this period was the
+attack in 660 B.C. against the feudal state of Wei, in northern Honan.
+The nomad tribes seem this time to have been Proto-Mongols; they made a
+direct attack on the garrison town and actually conquered it. The
+remnant of the urban population, no more than 730 in number, had to flee
+southward. It is clear from this incident that nomads were still living
+in the middle of China, within the territory of the feudal states, and
+that they were still decidedly strong, though no longer in a position to
+get rid entirely of the feudal lords of the Chou.
+
+The period of the dictators came to an end after about a century,
+because it was found that none of the feudal states was any longer
+strong enough to exercise control over all the others. These others
+formed alliances against which the dictator was powerless. Thus this
+period passed into the next, which the Chinese call the period of the
+Contending States.
+
+
+6 _Confucius_
+
+After this survey of the political history we must consider the
+intellectual history of this period, for between 550 and 280 B.C. the
+enduring fundamental influences in the Chinese social order and in the
+whole intellectual life of China had their original. We saw how the
+priests of the earlier dynasty of the Shang developed into the group of
+so-called "scholars". When the Chou ruler, after the move to the second
+capital, had lost virtually all but his religious authority, these
+"scholars" gained increased influence. They were the specialists in
+traditional morals, in sacrifices, and in the organization of festivals.
+The continually increasing ritualism at the court of the Chou called for
+more and more of these men. The various feudal lords also attracted
+these scholars to their side, employed them as tutors for their
+children, and entrusted them with the conduct of sacrifices and
+festivals.
+
+China's best-known philosopher, Confucius (Chinese: K'ung Tzu), was one
+of these scholars. He was born in 551 B.C. in the feudal state Lu in the
+present province of Shantung. In Lu and its neighbouring state Sung,
+institutions of the Shang had remained strong; both states regarded
+themselves as legitimate heirs of Shang culture, and many traces of
+Shang culture can be seen in Confucius's political and ethical ideas. He
+acquired the knowledge which a scholar had to possess, and then taught
+in the families of nobles, also helping in the administration of their
+properties. He made several attempts to obtain advancement, either in
+vain or with only a short term of employment ending in dismissal. Thus
+his career was a continuing pilgrimage from one noble to another, from
+one feudal lord to another, accompanied by a few young men, sons of
+scholars, who were partly his pupils and partly his servants. Many of
+these disciples seem to have been "illegitimate" sons of noblemen, i.e.
+sons of concubines, and Confucius's own family seems to have been of the
+same origin. In the strongly patriarchal and patrilinear system of the
+Chou and the developing primogeniture, children of secondary wives had a
+lower social status. Ultimately Confucius gave up his wanderings,
+settled in his home town of Lu, and there taught his disciples until his
+death in 479 B.C.
+
+Such was briefly the life of Confucius. His enemies claim that he was a
+political intriguer, inciting the feudal lords against each other in the
+course of his wanderings from one state to another, with the intention
+of somewhere coming into power himself. There may, indeed, be some truth
+in that.
+
+Confucius's importance lies in the fact that he systematized a body of
+ideas, not of his own creation, and communicated it to a circle of
+disciples. His teachings were later set down in writing and formed,
+right down to the twentieth century, the moral code of the upper classes
+of China. Confucius was fully conscious of his membership of a social
+class whose existence was tied to that of the feudal lords. With their
+disappearance, his type of scholar would become superfluous. The common
+people, the lower class, was in his view in an entirely subordinate
+position. Thus his moral teaching is a code for the ruling class.
+Accordingly it retains almost unaltered the elements of the old cult of
+Heaven, following the old tradition inherited from the northern peoples.
+For him Heaven is not an arbitrarily governing divine tyrant, but the
+embodiment of a system of legality. Heaven does not act independently,
+but follows a universal law, the so-called "Tao". Just as sun, moon, and
+stars move in the heavens in accordance with law, so man should conduct
+himself on earth in accord with the universal law, not against it. The
+ruler should not actively intervene in day-to-day policy, but should
+only act by setting an example, like Heaven; he should observe the
+established ceremonies, and offer all sacrifices in accordance with the
+rites, and then all else will go well in the world. The individual, too,
+should be guided exactly in his life by the prescriptions of the rites,
+so that harmony with the law of the universe may be established.
+
+A second idea of the Confucian system came also from the old conceptions
+of the Chou conquerors, and thus originally from the northern peoples.
+This is the patriarchal idea, according to which the family is the cell
+of society, and at the head of the family stands the eldest male adult
+as a sort of patriarch. The state is simply an extension of the family,
+"state", of course, meaning simply the class of the feudal lords (the
+"ch�n-tzu"). And the organization of the family is also that of the
+world of the gods. Within the family there are a number of ties, all of
+them, however, one-sided: that of father to son (the son having to obey
+the father unconditionally and having no rights of his own;) that of
+husband to wife (the wife had no rights); that of elder to younger
+brother. An extension of these is the association of friend with friend,
+which is conceived as an association between an elder and a younger
+brother. The final link, and the only one extending beyond the family
+and uniting it with the state, is the association of the ruler with the
+subject, a replica of that between father and son. The ruler in turn is
+in the position of son to Heaven. Thus in Confucianism the cult of
+Heaven, the family system, and the state are welded into unity. The
+frictionless functioning of this whole system is effected by everyone
+adhering to the rites, which prescribe every important action. It is
+necessary, of course, that in a large family, in which there may be up
+to a hundred persons living together, there shall be a precisely
+established ordering of relationships between individuals if there is
+not to be continual friction. Since the scholars of Confucius's type
+specialized in the knowledge and conduct of ceremonies, Confucius gave
+ritualism a correspondingly important place both in spiritual and in
+practical life.
+
+So far as we have described it above, the teaching of Confucius was a
+further development of the old cult of Heaven. Through bitter
+experience, however, Confucius had come to realize that nothing could be
+done with the ruling house as it existed in his day. So shadowy a figure
+as the Chou ruler of that time could not fulfil what Confucius required
+of the "Son of Heaven". But the opinions of students of Confucius's
+actual ideas differ. Some say that in the only book in which he
+personally had a hand, the so-called _Annals of Spring and Autumn_, he
+intended to set out his conception of the character of a true emperor;
+others say that in that book he showed how he would himself have acted
+as emperor, and that he was only awaiting an opportunity to make himself
+emperor. He was called indeed, at a later time, the "uncrowned ruler".
+In any case, the _Annals of Spring and Autumn_ seem to be simply a dry
+work of annals, giving the history of his native state of Lu on the
+basis of the older documents available to him. In his text, however,
+Confucius made small changes by means of which he expressed criticism or
+recognition; in this way he indirectly made known how in his view a
+ruler should act or should not act. He did not shrink from falsifying
+history, as can today be demonstrated. Thus on one occasion a ruler had
+to flee from a feudal prince, which in Confucius's view was impossible
+behaviour for the ruler; accordingly he wrote instead that the ruler
+went on a hunting expedition. Elsewhere he tells of an eclipse of the
+sun on a certain day, on which in fact there was no eclipse. By writing
+of an eclipse he meant to criticize the way a ruler had acted, for the
+sun symbolized the ruler, and the eclipse meant that the ruler had not
+been guided by divine illumination. The demonstration that the _Annals
+of Spring and Autumn_ can only be explained in this way was the
+achievement some thirty-five years ago of Otto Franke, and through this
+discovery Confucius's work, which the old sinologists used to describe
+as a dry and inadequate book, has become of special value to us. The
+book ends with the year 481 B.C., and in spite of its distortions it is
+the principal source for the two-and-a-half centuries with which it
+deals.
+
+Rendered alert by this experience, we are able to see and to show that
+most of the other later official works of history follow the example of
+the _Annals of Spring and Autumn_ in containing things that have been
+deliberately falsified. This is especially so in the work called
+_T'ung-chien kang-mu_, which was the source of the history of the
+Chinese empire translated into French by de Mailla.
+
+Apart from Confucius's criticism of the inadequate capacity of the
+emperor of his day, there is discernible, though only in the form of
+cryptic hints, a fundamentally important progressive idea. It is that a
+nobleman (ch�n-tzu) should not be a member of the ruling _�lite_ by
+right of birth alone, but should be a man of superior moral qualities.
+From Confucius on, "ch�n-tzu" became to mean "a gentleman".
+Consequently, a country should not be ruled by a dynasty based on
+inheritance through birth, but by members of the nobility who show
+outstanding moral qualification for rulership. That is to say, the rule
+should pass from the worthiest to the worthiest, the successor first
+passing through a period of probation as a minister of state. In an
+unscrupulous falsification of the tradition, Confucius declared that
+this principle was followed in early times. It is probably safe to
+assume that Confucius had in view here an eventual justification of
+claims to rulership of his own.
+
+Thus Confucius undoubtedly had ideas of reform, but he did not interfere
+with the foundations of feudalism. For the rest, his system consists
+only of a social order and a moral teaching. Metaphysics, logic,
+epistemology, i.e. branches of philosophy which played so great a part
+in the West, are of no interest to him. Nor can he be described as the
+founder of a religion; for the cult of Heaven of which he speaks and
+which he takes over existed in exactly the same form before his day. He
+is merely the man who first systematized those notions. He had no
+successes in his lifetime and gained no recognition; nor did his
+disciples or their disciples gain any general recognition; his work did
+not become of importance until some three hundred years after his death,
+when in the second century B.C. his teaching was adjusted to the new
+social conditions: out of a moral system for the decaying feudal society
+of the past centuries developed the ethic of the rising social order of
+the gentry. The gentry (in much the same way as the European
+bourgeoisie) continually claimed that there should be access for every
+civilized citizen to the highest places in the social pyramid, and the
+rules of Confucianism became binding on every member of society if he
+was to be considered a gentleman. Only then did Confucianism begin to
+develop into the imposing system that dominated China almost down to the
+present day. Confucianism did not become a religion. It was comparable
+to the later Japanese Shintoism, or to a group of customs among us which
+we all observe, if we do not want to find ourselves excluded from our
+community, but which we should never describe as religion. We stand up
+when the national anthem is played, we give precedency to older people,
+we erect war memorials and decorate them with flowers, and by these and
+many other things show our sense of belonging. A similar but much more
+conscious and much more powerful part was played by Confucianism in the
+life of the average Chinese, though he was not necessarily interested in
+philosophical ideas.
+
+While the West has set up the ideal of individualism and is suffering
+now because it no longer has any ethical system to which individuals
+voluntarily submit; while for the Indians the social problem consisted
+in the solving of the question how every man could be enabled to live
+his life with as little disturbance as possible from his fellow-men,
+Confucianism solved the problem of how families with groups of hundreds
+of members could live together in peace and co-operation in a densely
+populated country. Everyone knew his position in the family and so, in a
+broader sense, in the state; and this prescribed his rights and duties.
+We may feel that the rules to which he was subjected were pedantic; but
+there was no limit to their effectiveness: they reduced to a minimum the
+friction that always occurs when great masses of people live close
+together; they gave Chinese society the strength through which it has
+endured; they gave security to its individuals. China's first real
+social crisis after the collapse of feudalism, that is to say, after the
+fourth or third century B.C., began only in the present century with the
+collapse of the social order of the gentry and the breakdown of the
+family system.
+
+
+7 _Lao Tzu_
+
+In eighteenth-century Europe Confucius was the only Chinese philosopher
+held in regard; in the last hundred years, the years of Europe's
+internal crisis, the philosopher Lao Tzu steadily advanced in repute, so
+that his book was translated almost a hundred times into various
+European languages. According to the general view among the Chinese, Lao
+Tzu was an older contemporary of Confucius; recent Chinese and Western
+research (A.�Waley; H.�H.�Dubs) has contested this view and places Lao
+Tzu in the latter part of the fourth century B.C., or even later.
+Virtually nothing at all is known about his life; the oldest biography
+of Lao Tzu, written about 100 B.C., says that he lived as an official at
+the ruler's court and, one day, became tired of the life of an official
+and withdrew from the capital to his estate, where he died in old age.
+This, too, may be legendary, but it fits well into the picture given to
+us by Lao Tzu's teaching and by the life of his later followers. From
+the second century A.D., that is to say at least four hundred years
+after his death, there are legends of his migrating to the far west.
+Still later narratives tell of his going to Turkestan (where a temple
+was actually built in his honour in the Medieval period); according to
+other sources he travelled as far as India or Sogdiana (Samarkand and
+Bokhara), where according to some accounts he was the teacher or
+forerunner of Buddha, and according to others of Mani, the founder of
+Manichaeism. For all this there is not a vestige of documentary
+evidence.
+
+Lao Tzu's teaching is contained in a small book, the _Tao T� Ching_, the
+"Book of the World Law and its Power". The book is written in quite
+simple language, at times in rhyme, but the sense is so vague that
+countless versions, differing radically from each other, can be based on
+it, and just as many translations are possible, all philologically
+defensible. This vagueness is deliberate.
+
+Lao Tzu's teaching is essentially an effort to bring man's life on earth
+into harmony with the life and law of the universe (Tao). This was also
+Confucius's purpose. But while Confucius set out to attain that purpose
+in a sort of primitive scientific way, by laying down a number of rules
+of human conduct, Lao Tzu tries to attain his ideal by an intuitive,
+emotional method. Lao Tzu is always described as a mystic, but perhaps
+this is not entirely appropriate; it must be borne in mind that in his
+time the Chinese language, spoken and written, still had great
+difficulties in the expression of ideas. In reading Lao Tzu's book we
+feel that he is trying to express something for which the language of
+his day was inadequate; and what he wanted to express belonged to the
+emotional, not the intellectual, side of the human character, so that
+any perfectly clear expression of it in words was entirely impossible.
+It must be borne in mind that the Chinese language lacks definite word
+categories like substantive, adjective, adverb, or verb; any word can be
+used now in one category and now in another, with a few exceptions; thus
+the understanding of a combination like "white horse" formed a difficult
+logical problem for the thinker of the fourth century B.C.: did it mean
+"white" plus "horse"? Or was "white horse" no longer a horse at all but
+something quite different?
+
+Confucius's way of bringing human life into harmony with the life of the
+universe was to be a process of assimilating Man as a social being, Man
+in his social environment, to Nature, and of so maintaining his activity
+within the bounds of the community. Lao Tzu pursues another path, the
+path for those who feel disappointed with life in the community. A
+Taoist, as a follower of Lao Tzu is called, withdraws from all social
+life, and carries out none of the rites and ceremonies which a man of
+the upper class should observe throughout the day. He lives in
+self-imposed seclusion, in an elaborate primitivity which is often
+described in moving terms that are almost convincing of actual
+"primitivity". Far from the city, surrounded by Nature, the Taoist lives
+his own life, together with a few friends and his servants, entirely
+according to his nature. His own nature, like everything else,
+represents for him a part of the Tao, and the task of the individual
+consists in the most complete adherence to the Tao that is conceivable,
+as far as possible performing no act that runs counter to the Tao. This
+is the main element of Lao Tzu's doctrine, the doctrine of _wu-wei_,
+"passive achievement".
+
+Lao Tzu seems to have thought that this doctrine could be applied to the
+life of the state. He assumed that an ideal life in society was possible
+if everyone followed his own nature entirely and no artificial
+restrictions were imposed. Thus he writes: "The more the people are
+forbidden to do this and that, the poorer will they be. The more sharp
+weapons the people possess, the more will darkness and bewilderment
+spread through the land. The more craft and cunning men have, the more
+useless and pernicious contraptions will they invent. The more laws and
+edicts are imposed, the more thieves and bandits there will be. 'If I
+work through Non-action,' says the Sage, 'the people will transform
+themselves.'"[1] Thus according to Lao Tzu, who takes the existence of a
+monarchy for granted, the ruler must treat his subjects as follows: "By
+emptying their hearts of desire and their minds of envy, and by filling
+their stomachs with what they need; by reducing their ambitions and by
+strengthening their bones and sinews; by striving to keep them without
+the knowledge of what is evil and without cravings. Thus are the crafty
+ones given no scope for tempting interference. For it is by Non-action
+that the Sage governs, and nothing is really left uncontrolled."[2]
+
+    [1] _The Way of Acceptance_: a new version of Lao Tzu's _Tao T�
+    Ching_, by Hermon Ould (Dakers, 1946), Ch. 57.
+
+    [2] _The Way of Acceptance_, Ch. 3.
+
+Lao Tzu did not live to learn that such rule of good government would be
+followed by only one sort of rulers--dictators; and as a matter of fact
+the "Legalist theory" which provided the philosophic basis for
+dictatorship in the third century B.C. was attributable to Lao Tzu. He
+was not thinking, however, of dictatorship; he was an individualistic
+anarchist, believing that if there were no active government all men
+would be happy. Then everyone could attain unity with Nature for
+himself. Thus we find in Lao Tzu, and later in all other Taoists, a
+scornful repudiation of all social and official obligations. An answer
+that became famous was given by the Taoist Chuang Tzu (see below) when
+it was proposed to confer high office in the state on him (the story may
+or may not be true, but it is typical of Taoist thought): "I have
+heard," he replied, "that in Ch'u there is a tortoise sacred to the
+gods. It has now been dead for 3,000 years, and the king keeps it in a
+shrine with silken cloths, and gives it shelter in the halls of a
+temple. Which do you think that tortoise would prefer--to be dead and
+have its vestigial bones so honoured, or to be still alive and dragging
+its tail after it in the mud?" the officials replied: "No doubt it would
+prefer to be alive and dragging its tail after it in the mud." Then
+spoke Chuang Tzu: "Begone! I, too, would rather drag my tail after me in
+the mud!" (Chuang Tzu 17, 10.)
+
+The true Taoist withdraws also from his family. Typical of this is
+another story, surely apocryphal, from Chuang Tzu (Ch. 3, 3). At the
+death of Lao Tzu a disciple went to the family and expressed his
+sympathy quite briefly and formally. The other disciples were
+astonished, and asked his reason. He said: "Yes, at first I thought that
+he was our man, but he is not. When I went to grieve, the old men were
+bewailing him as though they were bewailing a son, and the young wept as
+though they were mourning a mother. To bind them so closely to himself,
+he must have spoken words which he should not have spoken, and wept
+tears which he should not have wept. That, however, is a falling away
+from the heavenly nature."
+
+Lao Tzu's teaching, like that of Confucius, cannot be described as
+religion; like Confucius's, it is a sort of social philosophy, but of
+irrationalistic character. Thus it was quite possible, and later it
+became the rule, for one and the same person to be both Confucian and
+Taoist. As an official and as the head of his family, a man would think
+and act as a Confucian; as a private individual, when he had retired far
+from the city to live in his country mansion (often modestly described
+as a cave or a thatched hut), or when he had been dismissed from his
+post or suffered some other trouble, he would feel and think as a
+Taoist. In order to live as a Taoist it was necessary, of course, to
+possess such an estate, to which a man could retire with his servants,
+and where he could live without himself doing manual work. This
+difference between the Confucian and the Taoist found a place in the
+works of many Chinese poets. I take the following quotation from an
+essay by the statesman and poet Ts'ao Chih, of the end of the second
+century A.D.:
+
+"Master Mysticus lived in deep seclusion on a mountain in the
+wilderness; he had withdrawn as in flight from the world, desiring to
+purify his spirit and give rest to his heart. He despised official
+activity, and no longer maintained any relations with the world; he
+sought quiet and freedom from care, in order in this way to attain
+everlasting life. He did nothing but send his thoughts wandering between
+sky and clouds, and consequently there was nothing worldly that could
+attract and tempt him.
+
+[Illustration: 1 Painted pottery from Kansu: Neolithic. _In the
+collection of the Museum f�r V�lkerkunde, Berlin_.]
+
+[Illustration: 2 Ancient bronze tripod found at Anyang. _From G.�Ecke:
+Fr�he chinesische Bronzen aus der Sammlung Oskar Trautmann, Peking 1939,
+plate 3._]
+
+"When Mr. Rationalist heard of this man, he desired to visit him, in
+order to persuade him to alter his views. He harnessed four horses, who
+could quickly traverse the plain, and entered his light fast carriage.
+He drove through the plain, leaving behind him the ruins of abandoned
+settlements; he entered the boundless wilderness, and finally reached
+the dwelling of Master Mysticus. Here there was a waterfall on one side,
+and on the other were high crags; at the back a stream flowed deep down
+in its bed, and in front was an odorous wood. The master wore a white
+doeskin cap and a striped fox-pelt. He came forward from a cave buried
+in the mountain, leaned against the tall crag, and enjoyed the prospect
+of wild nature. His ideas floated on the breezes, and he looked as if
+the wide spaces of the heavens and the countries of the earth were too
+narrow for him; as if he was going to fly but had not yet left the
+ground; as if he had already spread his wings but wanted to wait a
+moment. Mr. Rationalist climbed up with the aid of vine shoots, reached
+the top of the crag, and stepped up to him, saying very respectfully:
+
+"'I have heard that a man of nobility does not flee from society, but
+seeks to gain fame; a man of wisdom does not swim against the current,
+but seeks to earn repute. You, however, despise the achievements of
+civilization and culture; you have no regard for the splendour of
+philanthropy and justice; you squander your powers here in the
+wilderness and neglect ordered relations between man....'"
+
+Frequently Master Mysticus and Mr. Rationalist were united in a single
+person. Thus, Shih Ch'ung wrote in an essay on himself:
+
+"In my youth I had great ambition and wanted to stand out above the
+multitude. Thus it happened that at a little over twenty years of age I
+was already a court official; I remained in the service for twenty-five
+years. When I was fifty I had to give up my post because of an
+unfortunate occurrence.... The older I became, the more I appreciated
+the freedom I had acquired; and as I loved forest and plain, I retired
+to my villa. When I built this villa, a long embankment formed the
+boundary behind it; in front the prospect extended over a clear canal;
+all around grew countless cypresses, and flowing water meandered round
+the house. There were pools there, and outlook towers; I bred birds and
+fishes. In my harem there were always good musicians who played dance
+tunes. When I went out I enjoyed nature or hunted birds and fished. When
+I came home, I enjoyed playing the lute or reading; I also liked to
+concoct an elixir of life and to take breathing exercises,[3] because I
+did not want to die, but wanted one day to lift myself to the skies,
+like an immortal genius. Suddenly I was drawn back into the official
+career, and became once more one of the dignitaries of the Emperor."
+
+    [3] Both Taoist practices.
+
+Thus Lao Tzu's individualist and anarchist doctrine was not suited to
+form the basis of a general Chinese social order, and its employment in
+support of dictatorship was certainly not in the spirit of Lao Tzu.
+Throughout history, however, Taoism remained the philosophic attitude of
+individuals of the highest circle of society; its real doctrine never
+became popularly accepted; for the strong feeling for nature that
+distinguishes the Chinese, and their reluctance to interfere in the
+sanctified order of nature by technical and other deliberate acts, was
+not actually a result of Lao Tzu's teaching, but one of the fundamentals
+from which his ideas started.
+
+If the date assigned to Lao Tzu by present-day research (the fourth
+instead of the sixth century B.C.) is correct, he was more or less
+contemporary with Chuang Tzu, who was probably the most gifted poet
+among the Chinese philosophers and Taoists. A thin thread extends from
+them as far as the fourth century A.D.: Huai-nan Tzu, Chung-ch'ang
+T'ung, Y�an Chi (210-263), Liu Ling (221-300), and T'ao Ch'ien
+(365-427), are some of the most eminent names of Taoist philosophers.
+After that the stream of original thought dried up, and we rarely find a
+new idea among the late Taoists. These gentlemen living on their estates
+had acquired a new means of expressing their inmost feelings: they wrote
+poetry and, above all, painted. Their poems and paintings contain in a
+different outward form what Lao Tzu had tried to express with the
+inadequate means of the language of his day. Thus Lao Tzu's teaching has
+had the strongest influence to this day in this field, and has inspired
+creative work which is among the finest achievements of mankind.
+
+
+
+
+Chapter Four
+
+THE CONTENDING STATES (481-256 B.C.): DISSOLUTION OF THE FEUDAL SYSTEM
+
+
+1 _Social and military changes_
+
+The period following that of the Chou dictatorships is known as that of
+the Contending States. Out of over a thousand states, fourteen remained,
+of which, in the period that now followed, one after another
+disappeared, until only one remained. This period is the fullest, or one
+of the fullest, of strife in all Chinese history. The various feudal
+states had lost all sense of allegiance to the ruler, and acted in
+entire independence. It is a pure fiction to speak of a Chinese State in
+this period; the emperor had no more power than the ruler of the Holy
+Roman Empire in the late medieval period of Europe, and the so-called
+"feudal states" of China can be directly compared with the developing
+national states of Europe. A comparison of this period with late
+medieval Europe is, indeed, of highest interest. If we adopt a political
+system of periodization, we might say that around 500 B.C. the unified
+feudal state of the first period of Antiquity came to an end and the
+second, a period of the national states began, although formally, the
+feudal system continued and the national states still retained many
+feudal traits.
+
+As none of these states was strong enough to control and subjugate the
+rest, alliances were formed. The most favoured union was the north-south
+axis; it struggled against an east-west league. The alliances were not
+stable but broke up again and again through bribery or intrigue, which
+produced new combinations. We must confine ourselves to mentioning the
+most important of the events that took place behind this military
+fa�ade.
+
+Through the continual struggles more and more feudal lords lost their
+lands; and not only they, but the families of the nobles dependent on
+them, who had received so-called sub-fiefs. Some of the landless nobles
+perished; some offered their services to the remaining feudal lords as
+soldiers or advisers. Thus in this period we meet with a large number of
+migratory politicians who became competitors of the wandering scholars.
+Both these groups recommended to their lord ways and means of gaining
+victory over the other feudal lords, so as to become sole ruler. In
+order to carry out their plans the advisers claimed the rank of a
+Minister or Chancellor.
+
+Realistic though these advisers and their lords were in their thinking,
+they did not dare to trample openly on the old tradition. The emperor
+might in practice be a completely powerless figurehead, but he belonged
+nevertheless, according to tradition, to a family of divine origin,
+which had obtained its office not merely by the exercise of force but
+through a "divine mandate". Accordingly, if one of the feudal lords
+thought of putting forward a claim to the imperial throne, he felt
+compelled to demonstrate that his family was just as much of divine
+origin as the emperor's, and perhaps of remoter origin. In this matter
+the travelling "scholars" rendered valuable service as manufacturers of
+genealogical trees. Each of the old noble families already had its
+family tree, as an indispensable requisite for the sacrifices to
+ancestors. But in some cases this tree began as a branch of that of the
+imperial family: this was the case of the feudal lords who were of
+imperial descent and whose ancestors had been granted fiefs after the
+conquest of the country. Others, however, had for their first ancestor a
+local deity long worshipped in the family's home country, such as the
+ancient agrarian god Huang Ti, or the bovine god Shen Nung. Here the
+"scholars" stepped in, turning the local deities into human beings and
+"emperors". This suddenly gave the noble family concerned an imperial
+origin. Finally, order was brought into this collection of ancient
+emperors. They were arranged and connected with each other in
+"dynasties" or in some other "historical" form. Thus at a stroke Huang
+Ti, who about 450 B.C. had been a local god in the region of southern
+Shansi, became the forefather of almost all the noble families,
+including that of the imperial house of the Chou. Needless to say, there
+would be discrepancies between the family trees constructed by the
+various scholars for their lords, and later, when this problem had lost
+its political importance, the commentators laboured for centuries on the
+elaboration of an impeccable system of "ancient emperors"--and to this
+day there are sinologists who continue to present these humanized gods
+as historical personalities.
+
+In the earlier wars fought between the nobles they were themselves the
+actual combatants, accompanied only by their retinue. As the struggles
+for power grew in severity, each noble hired such mercenaries as he
+could, for instance the landless nobles just mentioned. Very soon it
+became the custom to arm peasants and send them to the wars. This
+substantially increased the armies. The numbers of soldiers who were
+killed in particular battles may have been greatly exaggerated (in a
+single battle in 260 B.C., for instance, the number who lost their lives
+was put at 450,000, a quite impossible figure); but there must have been
+armies of several thousand men, perhaps as many as 10,000. The
+population had grown considerably by that time.
+
+The armies of the earlier period consisted mainly of the nobles in their
+war chariots; each chariot surrounded by the retinue of the nobleman.
+Now came large troops of commoners as infantry as well, drawn from the
+peasant population. To these, cavalry were first added in the fifth
+century B.C., by the northern state of Chao (in the present Shansi),
+following the example of its Turkish and Mongol neighbours. The general
+theory among ethnologists is that the horse was first harnessed to a
+chariot, and that riding came much later; but it is my opinion that
+riders were known earlier, but could not be efficiently employed in war
+because the practice had not begun of fighting in disciplined troops of
+horsemen, and the art had not been learnt of shooting accurately with
+the bow from the back of a galloping horse, especially shooting to the
+rear. In any case, its cavalry gave the feudal state of Chao a military
+advantage for a short time. Soon the other northern states copied it one
+after another--especially Ch'in, in north-west China. The introduction
+of cavalry brought a change in clothing all over China, for the former
+long skirt-like garb could not be worn on horseback. Trousers and the
+riding-cap were introduced from the north.
+
+The new technique of war made it important for every state to possess as
+many soldiers as possible, and where it could to reduce the enemy's
+numbers. One result of this was that wars became much more sanguinary;
+another was that men in other countries were induced to immigrate and
+settle as peasants, so that the taxes they paid should provide the means
+for further recruitment of soldiers. In the state of Ch'in, especially,
+the practice soon started of using the whole of the peasantry
+simultaneously as a rough soldiery. Hence that state was particularly
+anxious to attract peasants in large numbers.
+
+
+2 _Economic changes_
+
+In the course of the wars much land of former noblemen had become free.
+Often the former serfs had then silently become landowners. Others had
+started to cultivate empty land in the area inhabited by the indigenous
+population and regarded this land, which they themselves had made
+fertile, as their private family property. There was, in spite of the
+growth of the population, still much cultivable land available.
+Victorious feudal lords induced farmers to come to their territory and
+to cultivate the wasteland. This is a period of great migrations,
+internal and external. It seems that from this period on not only
+merchants but also farmers began to migrate southwards into the area of
+the present provinces of Kwangtung and Kwangsi and as far as Tonking.
+
+As long as the idea that all land belonged to the great clans of the
+Chou prevailed, sale of land was inconceivable; but when individual
+family heads acquired land or cultivated new land, they regarded it as
+their natural right to dispose of the land as they wished. From now on
+until the end of the medieval period, the family head as representative
+of the family could sell or buy land. However, the land belonged to the
+family and not to him as a person. This development was favoured by the
+spread of money. In time land in general became an asset with a market
+value and could be bought and sold.
+
+Another important change can be seen from this time on. Under the feudal
+system of the Chou strict primogeniture among the nobility existed: the
+fief went to the oldest son by the main wife. The younger sons were
+given independent pieces of land with its inhabitants as new, secondary
+fiefs. With the increase in population there was no more such land that
+could be set up as a new fief. From now on, primogeniture was retained
+in the field of ritual and religion down to the present time: only the
+oldest son of the main wife represents the family in the ancestor
+worship ceremonies; only the oldest son of the emperor could become his
+successor. But the landed property from now on was equally divided among
+all sons. Occasionally the oldest son was given some extra land to
+enable him to pay the expenses for the family ancestral worship. Mobile
+property, on the other side, was not so strictly regulated and often the
+oldest son was given preferential treatment in the inheritance.
+
+The technique of cultivation underwent some significant changes. The
+animal-drawn plough seems to have been invented during this period, and
+from now on, some metal agricultural implements like iron sickles and
+iron plough-shares became more common. A fallow system was introduced so
+that cultivation became more intensive. Manuring of fields was already
+known in Shang time. It seems that the consumption of meat decreased
+from this period on: less mutton and beef were eaten. Pig and dog
+became the main sources of meat, and higher consumption of beans made up
+for the loss of proteins. All this indicates a strong population
+increase. We have no statistics for this period, but by 400 B.C. it is
+conceivable that the population under the control of the various
+individual states comprised something around twenty-five millions. The
+eastern plains emerge more and more as centres of production.
+
+The increased use of metal and the invention of coins greatly stimulated
+trade. Iron which now became quite common, was produced mainly in
+Shansi, other metals in South China. But what were the traders to do
+with their profits? Even later in China, and almost down to recent
+times, it was never possible to hoard large quantities of money.
+Normally the money was of copper, and a considerable capital in the form
+of copper coin took up a good deal of room and was not easy to conceal.
+If anyone had much money, everyone in his village knew it. No one dared
+to hoard to any extent for fear of attracting bandits and creating
+lasting insecurity. On the other hand the merchants wanted to attain the
+standard of living which the nobles, the landowners, used to have. Thus
+they began to invest their money in land. This was all the easier for
+them since it often happened that one of the lesser nobles or a peasant
+fell deeply into debt to a merchant and found himself compelled to give
+up his land in payment of the debt.
+
+Soon the merchants took over another function. So long as there had been
+many small feudal states, and the feudal lords had created lesser lords
+with small fiefs, it had been a simple matter for the taxes to be
+collected, in the form of grain, from the peasants through the agents of
+the lesser lords. Now that there were only a few great states in
+existence, the old system was no longer effectual. This gave the
+merchants their opportunity. The rulers of the various states entrusted
+the merchants with the collection of taxes, and this had great
+advantages for the ruler: he could obtain part of the taxes at once, as
+the merchant usually had grain in stock, or was himself a landowner and
+could make advances at any time. Through having to pay the taxes to the
+merchant, the village population became dependent on him. Thus the
+merchants developed into the first administrative officials in the
+provinces.
+
+In connection with the growth of business, the cities kept on growing.
+It is estimated that at the beginning of the third century, the city of
+Lin-chin, near the present Chi-nan in Shantung, had a population of
+210,000 persons. Each of its walls had a length of 4,000 metres; thus,
+it was even somewhat larger than the famous city of Lo-yang, capital of
+China during the Later Han dynasty, in the second century A.D. Several
+other cities of this period have been recently excavated and must have
+had populations far above 10,000 persons. There were two types of
+cities: the rectangular, planned city of the Chou conquerors, a seat of
+administration; and the irregularly shaped city which grew out of a
+market place and became only later an administrative centre. We do not
+know much about the organization and administration of these cities, but
+they seem to have had considerable independence because some of them
+issued their own city coins.
+
+When these cities grew, the food produced in the neighbourhood of the
+towns no longer sufficed for their inhabitants. This led to the building
+of roads, which also facilitated the transport of supplies for great
+armies. These roads mainly radiated from the centre of consumption into
+the surrounding country, and they were less in use for communication
+between one administrative centre and another. For long journeys the
+rivers were of more importance, since transport by wagon was always
+expensive owing to the shortage of draught animals. Thus we see in this
+period the first important construction of canals and a development of
+communications. With the canal construction was connected the
+construction of irrigation and drainage systems, which further promoted
+agricultural production. The cities were places in which often great
+luxury developed; music, dance, and other refinements were cultivated;
+but the cities also seem to have harboured considerable industries.
+Expensive and technically superior silks were woven; painters decorated
+the walls of temples and palaces; blacksmiths and bronze-smiths produced
+beautiful vessels and implements. It seems certain that the art of
+casting iron and the beginnings of the production of steel were already
+known at this time. The life of the commoners in these cities was
+regulated by laws; the first codes are mentioned in 536 B.C. By the end
+of the fourth century B.C. a large body of criminal law existed,
+supposedly collected by Li K'uei, which became the foundation of all
+later Chinese law. It seems that in this period the states of China
+moved quickly towards a money economy, and an observer to whom the later
+Chinese history was not known could have predicted the eventual
+development of a capitalistic society out of the apparent tendencies.
+
+So far nothing has been said in these chapters about China's foreign
+policy. Since the central ruling house was completely powerless, and the
+feudal lords were virtually independent rulers, little can be said, of
+course, about any "Chinese" foreign policy. There is less than ever to
+be said about it for this period of the "Contending States". Chinese
+merchants penetrated southwards, and soon settlers moved in increasing
+numbers into the plains of the south-east. In the north, there were
+continual struggles with Turkish and Mongol tribes, and about 300 B.C.
+the name of the Hsiung-nu (who are often described as "The Huns of the
+Far East") makes its first appearance. It is known that these northern
+peoples had mastered the technique of horseback warfare and were far
+ahead of the Chinese, although the Chinese imitated their methods. The
+peasants of China, as they penetrated farther and farther north, had to
+be protected by their rulers against the northern peoples, and since the
+rulers needed their armed forces for their struggles within China, a
+beginning was made with the building of frontier walls, to prevent
+sudden raids of the northern peoples against the peasant settlements.
+Thus came into existence the early forms of the "Great Wall of China".
+This provided for the first time a visible frontier between Chinese and
+non-Chinese. Along this frontier, just as by the walls of towns, great
+markets were held at which Chinese peasants bartered their produce to
+non-Chinese nomads. Both partners in this trade became accustomed to it
+and drew very substantial profits from it. We even know the names of
+several great horse-dealers who bought horses from the nomads and sold
+them within China.
+
+
+3 _Cultural changes_
+
+Together with the economic and social changes in this period, there came
+cultural changes. New ideas sprang up in exuberance, as would seem
+entirely natural, because in times of change and crisis men always come
+forward to offer solutions for pressing problems. We shall refer here
+only briefly to the principal philosophers of the period.
+
+Mencius (_c._ 372-289 B.C.) and Hs�n Tzu (_c._ 298-238 B.C.) were both
+followers of Confucianism. Both belonged to the so-called "scholars",
+and both lived in the present Shantung, that is to say, in eastern
+China. Both elaborated the ideas of Confucius, but neither of them
+achieved personal success. Mencius (Meng Tzu) recognized that the
+removal of the ruling house of the Chou no longer presented any
+difficulty. The difficult question for him was when a change of ruler
+would be justified. And how could it be ascertained whom Heaven had
+destined as successor if the existing dynasty was brought down? Mencius
+replied that the voice of the "people", that is to say of the upper
+class and its following, would declare the right man, and that this man
+would then be Heaven's nominee. This theory persisted throughout the
+history of China. Hs�n Tzu's chief importance lies in the fact that he
+recognized that the "laws" of nature are unchanging but that man's fate
+is determined not by nature alone but, in addition, by his own
+activities. Man's nature is basically bad, but by working on himself
+within the framework of society, he can change his nature and can
+develop. Thus, Hs�n Tzu's philosophy contains a dynamic element, fit for
+a dynamic period of history.
+
+In the strongest contrast to these thinkers was the school of Mo Ti (at
+some time between 479 and 381 B.C.). The Confucian school held fast to
+the old feudal order of society, and was only ready to agree to a few
+superficial changes. The school of Mo Ti proposed to alter the
+fundamental principles of society. Family ethics must no longer be
+retained; the principles of family love must be extended to the whole
+upper class, which Mo Ti called the "people". One must love another
+member of the upper class just as much as one's own father. Then the
+friction between individuals and between states would cease. Instead of
+families, large groups of people friendly to one another must be
+created. Further one should live frugally and not expend endless money
+on effete rites, as the Confucianists demanded. The expenditure on
+weddings and funerals under the Confucianist ritual consumed so much
+money that many families fell into debt and, if they were unable to pay
+off the debt, sank from the upper into the lower class. In order to
+maintain the upper class, therefore, there must be more frugality. Mo
+Ti's teaching won great influence. He and his successors surrounded
+themselves with a private army of supporters which was rigidly organized
+and which could be brought into action at any time as its leader wished.
+Thus the Mohists came forward everywhere with an approach entirely
+different from that of the isolated Confucians. When the Mohists offered
+their assistance to a ruler, they brought with them a group of technical
+and military experts who had been trained on the same principles. In
+consequence of its great influence this teaching was naturally hotly
+opposed by the Confucianists.
+
+We see clearly in Mo Ti's and his followers' ideas the influence of the
+changed times. His principle of "universal love" reflects the breakdown
+of the clans and the general weakening of family bonds which had taken
+place. His ideal of social organization resembles organizations of
+merchants and craftsmen which we know only of later periods. His stress
+upon frugality, too, reflects a line of thought which is typical of
+businessmen. The rationality which can also be seen in his metaphysical
+ideas and which has induced modern Chinese scholars to call him an early
+materialist is fitting to an age in which a developing money economy and
+expanding trade required a cool, logical approach to the affairs of this
+world.
+
+A similar mentality can be seen in another school which appeared from
+the fifth century B.C. on, the "dialecticians". Here are a number of
+names to mention: the most important are Kung-sun Lung and Hui Tzu, who
+are comparable with the ancient Greek dialecticians and Sophists. They
+saw their main task in the development of logic. Since, as we have
+mentioned, many "scholars" journeyed from one princely court to another,
+and other people came forward, each recommending his own method to the
+prince for the increase of his power, it was of great importance to be
+able to talk convincingly, so as to defeat a rival in a duel of words on
+logical grounds.
+
+Unquestionably, however, the most important school of this period was
+that of the so-called Legalists, whose most famous representative was
+Shang Yang (or Shang Tzu, died 338 B.C.). The supporters of this school
+came principally from old princely families that had lost their feudal
+possessions, and not from among the so-called scholars. They were people
+belonging to the upper class who possessed political experience and now
+offered their knowledge to other princes who still reigned. These men
+had entirely given up the old conservative traditions of Confucianism;
+they were the first to make their peace with the new social order. They
+recognized that little or nothing remained of the old upper class of
+feudal lords and their following. The last of the feudal lords collected
+around the heads of the last remaining princely courts, or lived quietly
+on the estates that still remained to them. Such a class, with its moral
+and economic strength broken, could no longer lead. The Legalists
+recognized, therefore, only the ruler and next to him, as the really
+active and responsible man, the chancellor; under these there were to be
+only the common people, consisting of the richer and poorer peasants;
+the people's duty was to live and work for the ruler, and to carry out
+without question whatever orders they received. They were not to discuss
+or think, but to obey. The chancellor was to draft laws which came
+automatically into operation. The ruler himself was to have nothing to
+do with the government or with the application of the laws. He was only
+a symbol, a representative of the equally inactive Heaven. Clearly these
+theories were much the best suited to the conditions of the break-up of
+feudalism about 300 B.C. Thus they were first adopted by the state in
+which the old idea of the feudal state had been least developed, the
+state of Ch'in, in which alien peoples were most strongly represented.
+Shang Yang became the actual organizer of the state of Ch'in. His ideas
+were further developed by Han Fei Tzu (died 233 B.C.). The mentality
+which speaks out of his writings has closest similarity to the famous
+Indian Arthashastra which originated slightly earlier; both books
+exhibit a "Macchiavellian" spirit. It must be observed that these
+theories had little or nothing to do with the ideas of the old cult of
+Heaven or with family allegiance; on the other hand, the soldierly
+element, with the notion of obedience, was well suited to the
+militarized peoples of the west. The population of Ch'in, organized
+throughout on these principles, was then in a position to remove one
+opponent after another. In the middle of the third century B.C. the
+greater part of the China of that time was already in the hands of
+Ch'in, and in 256 B.C. the last emperor of the Chou dynasty was
+compelled, in his complete impotence, to abdicate in favour of the ruler
+of Ch'in.
+
+Apart from these more or less political speculations, there came into
+existence in this period, by no mere chance, a school of thought which
+never succeeded in fully developing in China, concerned with natural
+science and comparable with the Greek natural philosophy. We have
+already several times pointed to parallels between Chinese and Indian
+thoughts. Such similarities may be the result of mere coincidence. But
+recent findings in Central Asia indicate that direct connections between
+India, Persia, and China may have started at a time much earlier than we
+had formerly thought. Sogdian merchants who later played a great role in
+commercial contacts might have been active already from 350 or 400 B.C.
+on and might have been the transmitters of new ideas. The most important
+philosopher of this school was Tsou Yen (flourished between 320 and 295
+B.C.); he, as so many other Chinese philosophers of this time, was a
+native of Shantung, and the ports of the Shantung coast may well have
+been ports of entrance of new ideas from Western Asia as were the roads
+through the Turkestan basin into Western China. Tsou Yen's basic ideas
+had their root in earlier Chinese speculations: the doctrine that all
+that exists is to be explained by the positive, creative, or the
+negative, passive action (Yang and Yin) of the five elements, wood,
+fire, earth, metal, and water (Wu hsing). But Tsou Yen also considered
+the form of the world, and was the first to put forward the theory that
+the world consists not of a single continent with China in the middle of
+it, but of nine continents. The names of these continents sound like
+Indian names, and his idea of a central world-mountain may well have
+come from India. The "scholars" of his time were quite unable to
+appreciate this beginning of science, which actually led to the
+contention of this school, in the first century B.C., that the earth was
+of spherical shape. Tsou Yen himself was ridiculed as a dreamer; but
+very soon, when the idea of the reciprocal destruction of the elements
+was applied, perhaps by Tsou Yen himself, to politics, namely when, in
+connection with the astronomical calculations much cultivated by this
+school and through the identification of dynasties with the five
+elements, the attempt was made to explain and to calculate the duration
+and the supersession of dynasties, strong pressure began to be brought
+to bear against this school. For hundreds of years its books were
+distributed and read only in secret, and many of its members were
+executed as revolutionaries. Thus, this school, instead of becoming the
+nucleus of a school of natural science, was driven underground. The
+secret societies which started to arise clearly from the first century
+B.C. on, but which may have been in existence earlier, adopted the
+politico-scientific ideas of Tsou Yen's school. Such secret societies
+have existed in China down to the present time. They all contained a
+strong religious, but heterodox element which can often be traced back
+to influences from a foreign religion. In times of peace they were
+centres of a true, emotional religiosity. In times of stress, a
+"messianic" element tended to become prominent: the world is bad and
+degenerating; morality and a just social order have decayed, but the
+coming of a savior is close; the saviour will bring a new, fair order
+and destroy those who are wicked. Tsou Yen's philosophy seemed to allow
+them to calculate when this new order would start; later secret
+societies contained ideas from Iranian Mazdaism, Manichaeism and
+Buddhism, mixed with traits from the popular religions and often couched
+in terms taken from the Taoists. The members of such societies were,
+typically, ordinary farmers who here found an emotional outlet for their
+frustrations in daily life. In times of stress, members of the leading
+_�lite_ often but not always established contacts with these societies,
+took over their leadership and led them to open rebellion.
+
+The fate of Tsou Yen's school did not mean that the Chinese did not
+develop in the field of sciences. At about Tsou Yen's lifetime, the
+first mathematical handbook was written. From these books it is obvious
+that the interest of the government in calculating the exact size of
+fields, the content of measures for grain, and other fiscal problems
+stimulated work in this field, just as astronomy developed from the
+interest of the government in the fixation of the calendar. Science kept
+on developing in other fields, too, but mainly as a hobby of scholars
+and in the shops of craftsmen, if it did not have importance for the
+administration and especially taxation and budget calculations.
+
+
+
+
+Chapter Five
+
+THE CH'IN DYNASTY (256-207 B.C.)
+
+
+1 _Towards the unitary State_
+
+In 256 B.C. the last ruler of the Chou dynasty abdicated in favour of
+the feudal lord of the state of Ch'in. Some people place the beginning
+of the Ch'in dynasty in that year, 256 B.C.; others prefer the date 221
+B.C., because it was only in that year that the remaining feudal states
+came to their end and Ch'in really ruled all China.
+
+The territories of the state of Ch'in, the present Shensi and eastern
+Kansu, were from a geographical point of view transit regions, closed
+off in the north by steppes and deserts and in the south by almost
+impassable mountains. Only between these barriers, along the rivers Wei
+(in Shensi) and T'ao (in Kansu), is there a rich cultivable zone which
+is also the only means of transit from east to west. All traffic from
+and to Turkestan had to take this route. It is believed that strong
+relations with eastern Turkestan began in this period, and the state of
+Ch'in must have drawn big profits from its "foreign trade". The merchant
+class quickly gained more and more importance. The population was
+growing through immigration from the east which the government
+encouraged. This growing population with its increasing means of
+production, especially the great new irrigation systems, provided a
+welcome field for trade which was also furthered by the roads, though
+these were actually built for military purposes.
+
+The state of Ch'in had never been so closely associated with the feudal
+communities of the rest of China as the other feudal states. A great
+part of its population, including the ruling class, was not purely
+Chinese but contained an admixture of Turks and Tibetans. The other
+Chinese even called Ch'in a "barbarian state", and the foreign influence
+was, indeed, unceasing. This was a favourable soil for the overcoming of
+feudalism, and the process was furthered by the factors mentioned in the
+preceding chapter, which were leading to a change in the social
+structure of China. Especially the recruitment of the whole population,
+including the peasantry, for war was entirely in the interest of the
+influential nomad fighting peoples within the state. About 250 B.C.,
+Ch'in was not only one of the economically strongest among the feudal
+states, but had already made an end of its own feudal system.
+
+Every feudal system harbours some seeds of a bureaucratic system of
+administration: feudal lords have their personal servants who are not
+recruited from the nobility, but who by their easy access to the lord
+can easily gain importance. They may, for instance, be put in charge of
+estates, workshops, and other properties of the lord and thus acquire
+experience in administration and an efficiency which are obviously of
+advantage to the lord. When Chinese lords of the preceding period, with
+the help of their sub-lords of the nobility, made wars, they tended to
+put the newly-conquered areas not into the hands of newly-enfeoffed
+noblemen, but to keep them as their property and to put their
+administration into the hands of efficient servants; these were the
+first bureaucratic officials. Thus, in the course of the later Chou
+period, a bureaucratic system of administration had begun to develop,
+and terms like "district" or "prefecture" began to appear, indicating
+that areas under a bureaucratic administration existed beside and inside
+areas under feudal rule. This process had gone furthest in Ch'in and was
+sponsored by the representatives of the Legalist School, which was best
+adapted to the new economic and social situation.
+
+A son of one of the concubines of the penultimate feudal ruler of Ch'in
+was living as a hostage in the neighbouring state of Chao, in what is
+now northern Shansi. There he made the acquaintance of an unusual man,
+the merchant L� Pu-wei, a man of education and of great political
+influence. L� Pu-wei persuaded the feudal ruler of Ch'in to declare this
+son his successor. He also sold a girl to the prince to be his wife, and
+the son of this marriage was to be the famous and notorious Shih
+Huang-ti. L� Pu-wei came with his prot�g� to Ch'in, where he became his
+Prime Minister, and after the prince's death in 247 B.C. L� Pu-wei
+became the regent for his young son Shih Huang-ti (then called Cheng).
+For the first time in Chinese history a merchant, a commoner, had
+reached one of the highest positions in the state. It is not known what
+sort of trade L� Pu-wei had carried on, but probably he dealt in horses,
+the principal export of the state of Chao. As horses were an absolute
+necessity for the armies of that time, it is easy to imagine that a
+horse-dealer might gain great political influence.
+
+Soon after Shih Huang-ti's accession L� Pu-wei was dismissed, and a new
+group of advisers, strong supporters of the Legalist school, came into
+power. These new men began an active policy of conquest instead of the
+peaceful course which L� Pu-wei had pursued. One campaign followed
+another in the years from 230 to 222, until all the feudal states had
+been conquered, annexed, and brought under Shih Huang-ti's rule.
+
+
+2 _Centralization in every field_
+
+The main task of the now gigantic realm was the organization of
+administration. One of the first acts after the conquest of the other
+feudal states was to deport all the ruling families and other important
+nobles to the capital of Ch'in; they were thus deprived of the basis of
+their power, and their land could be sold. These upper-class families
+supplied to the capital a class of consumers of luxury goods which
+attracted craftsmen and businessmen and changed the character of the
+capital from that of a provincial town to a centre of arts and crafts.
+It was decided to set up the uniform system of administration throughout
+the realm, which had already been successfully introduced in Ch'in: the
+realm was split up into provinces and the provinces into prefectures;
+and an official was placed in charge of each province or prefecture.
+Originally the prefectures in Ch'in had been placed directly under the
+central administration, with an official, often a merchant, being
+responsible for the collection of taxes; the provinces, on the other
+hand, formed a sort of military command area, especially in the
+newly-conquered frontier territories. With the growing militarization of
+Ch'in, greater importance was assigned to the provinces, and the
+prefectures were made subordinate to them. Thus the officials of the
+provinces were originally army officers but now, in the reorganization
+of the whole realm, the distinction between civil and military
+administration was abolished. At the head of the province were a civil
+and also a military governor, and both were supervised by a controller
+directly responsible to the emperor. Since there was naturally a
+continual struggle for power between these three officials, none of them
+was supreme and none could develop into a sort of feudal lord. In this
+system we can see the essence of the later Chinese administration.
+
+[Illustration: 3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style. _From V.�Griessmaier: Sammlung Baron
+Eduard von der Heydt, Vienna 1936, illustration No. 6._]
+
+[Illustration: 4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz'u. _From a print in the author's possession._]
+
+[Illustration: 5 Part of the 'Great Wall'. _Photo Eberhard._]
+
+Owing to the centuries of division into independent feudal states, the
+various parts of the country had developed differently. Each province
+spoke a different dialect which also contained many words borrowed from
+the language of the indigenous population; and as these earlier
+populations sometimes belonged to different races with different
+languages, in each state different words had found their way into the
+Chinese dialects. This caused divergences not only in the spoken but in
+the written language, and even in the characters in use for writing.
+There exist to this day dictionaries in which the borrowed words of that
+time are indicated, and keys to the various old forms of writing also
+exist. Thus difficulties arose if, for instance, a man from the old
+territory of Ch'in was to be transferred as an official to the east: he
+could not properly understand the language and could not read the
+borrowed words, if he could read at all! For a large number of the
+officials of that time, especially the officers who became military
+governors, were certainly unable to read. The government therefore
+ordered that the language of the whole country should be unified, and
+that a definite style of writing should be generally adopted. The words
+to be used were set out in lists, so that the first lexicography came
+into existence simply through the needs of practical administration, as
+had happened much earlier in Babylon. Thus, the few recently found
+manuscripts from pre-Ch'in times still contain a high percentage of
+Chinese characters which we cannot read because they were local
+characters; but all words in texts after the Ch'in time can be read
+because they belong to the standardized script. We know now that all
+classical texts of pre-Ch'in time as we have them today, have been
+re-written in this standardized script in the second century B.C.: we do
+not know which words they actually contained at the time when they were
+composed, nor how these words were actually pronounced, a fact which
+makes the reconstruction of Chinese language before Ch'in very
+difficult.
+
+The next requirement for the carrying on of the administration was the
+unification of weights and measures and, a surprising thing to us, of
+the gauge of the tracks for wagons. In the various feudal states there
+had been different weights and measures in use, and this had led to
+great difficulties in the centralization of the collection of taxes. The
+centre of administration, that is to say the new capital of Ch'in, had
+grown through the transfer of nobles and through the enormous size of
+the administrative staff into a thickly populated city with very large
+requirements of food. The fields of the former state of Ch'in alone
+could not feed the city; and the grain supplied in payment of taxation
+had to be brought in from far around, partly by cart. The only roads
+then existing consisted of deep cart-tracks. If the axles were not of
+the same length for all carts, the roads were simply unusable for many
+of them. Accordingly a fixed length was laid down for axles. The
+advocates of all these reforms were also their beneficiaries, the
+merchants.
+
+The first principle of the Legalist school, a principle which had been
+applied in Ch'in and which was to be extended to the whole realm, was
+that of the training of the population in discipline and obedience, so
+that it should become a convenient tool in the hands of the officials.
+This requirement was best met by a people composed as far as possible
+only of industrious, uneducated, and tax-paying peasants. Scholars and
+philosophers were not wanted, in so far as they were not directly
+engaged in work commissioned by the state. The Confucianist writings
+came under special attack because they kept alive the memory of the old
+feudal conditions, preaching the ethic of the old feudal class which had
+just been destroyed and must not be allowed to rise again if the state
+was not to suffer fresh dissolution or if the central administration was
+not to be weakened. In 213 B.C. there took place the great holocaust of
+books which destroyed the Confucianist writings with the exception of
+one copy of each work for the State Library. Books on practical subjects
+were not affected. In the fighting at the end of the Ch'in dynasty the
+State Library was burnt down, so that many of the old works have only
+come down to us in an imperfect state and with doubtful accuracy. The
+real loss arose, however, from the fact that the new generation was
+little interested in the Confucianist literature, so that when, fifty
+years later, the effort was made to restore some texts from the oral
+tradition, there no longer existed any scholars who really knew them by
+heart, as had been customary in the past.
+
+In 221 B.C. Shih Huang-ti had become emperor of all China. The judgments
+passed on him vary greatly: the official Chinese historiography rejects
+him entirely--naturally, for he tried to exterminate Confucianism, while
+every later historian was himself a Confucian. Western scholars often
+treat him as one of the greatest men in world history. Closer research
+has shown that Shih Huang-ti was evidently an average man without any
+great gifts, that he was superstitious, and shared the tendency of his
+time to mystical and shamanistic notions. His own opinion was that he
+was the first of a series of ten thousand emperors of his dynasty (Shih
+Huang-ti means "First Emperor"), and this merely suggests megalomania.
+The basic principles of his administration had been laid down long
+before his time by the philosophers of the Legalist school, and were
+given effect by his Chancellor Li Ssu. Li Ssu was the really great
+personality of that period. The Legalists taught that the ruler must do
+as little as possible himself. His Ministers were there to act for him.
+He himself was to be regarded as a symbol of Heaven. In that capacity
+Shih Huang-ti undertook periodical journeys into the various parts of
+the empire, less for any practical purpose of inspection than for
+purposes of public worship. They corresponded to the course of the sun,
+and this indicates that Shih Huang-ti had adopted a notion derived from
+the older northern culture of the nomad peoples.
+
+He planned the capital in an ambitious style but, although there was
+real need for extension of the city, his plans can scarcely be regarded
+as of great service. His enormous palace, and also his mausoleum which
+was built for him before his death, were constructed in accordance with
+astral notions. Within the palace the emperor continually changed his
+residential quarters, probably not only from fear of assassination but
+also for astral reasons. His mausoleum formed a hemispherical dome, and
+all the stars of the sky were painted on its interior.
+
+
+3 _Frontier defence. Internal collapse_
+
+When the empire had been unified by the destruction of the feudal
+states, the central government became responsible for the protection of
+the frontiers from attack from without. In the south there were only
+peoples in a very low state of civilization, who could offer no serious
+menace to the Chinese. The trading colonies that gradually extended to
+Canton and still farther south served as Chinese administrative centres
+for provinces and prefectures, with small but adequate armies of their
+own, so that in case of need they could defend themselves. In the north
+the position was much more difficult. In addition to their conquest
+within China, the rulers of Ch'in had pushed their frontier far to the
+north. The nomad tribes had been pressed back and deprived of their best
+pasturage, namely the Ordos region. When the livelihood of nomad peoples
+is affected, when they are threatened with starvation, their tribes
+often collect round a tribal leader who promises new pasturage and
+better conditions of life for all who take part in the common campaigns.
+In this way the first great union of tribes in the north of China came
+into existence in this period, forming the realm of the Hsiung-nu under
+their first leader, T'ou-man. This first realm of the Hsiung-nu was not
+yet extensive, but its ambitious and warlike attitude made it a danger
+to Ch'in. It was therefore decided to maintain a large permanent army in
+the north. In addition to this, the frontier walls already existing in
+the mountains were rebuilt and made into a single great system. Thus
+came into existence in 214 B.C., out of the blood and sweat of countless
+pressed labourers, the famous Great Wall.
+
+On one of his periodical journeys the emperor fell ill and died. His
+death was the signal for the rising of many rebellious elements. Nobles
+rose in order to regain power and influence; generals rose because they
+objected to the permanent pressure from the central administration and
+their supervision by controllers; men of the people rose as popular
+leaders because the people were more tormented than ever by forced
+labour, generally at a distance from their homes. Within a few months
+there were six different rebellions and six different "rulers".
+Assassinations became the order of the day; the young heir to the throne
+was removed in this way and replaced by another young prince. But as
+early as 206 B.C. one of the rebels, Liu Chi (also called Liu Pang),
+entered the capital and dethroned the nominal emperor. Liu Chi at first
+had to retreat and was involved in hard fighting with a rival, but
+gradually he succeeded in gaining the upper hand and defeated not only
+his rival but also the other eighteen states that had been set up anew
+in China in those years.
+
+
+
+
+THE MIDDLE AGES
+
+
+
+
+Chapter Six
+
+THE HAN DYNASTY (206 B.C.-A.D. 220)
+
+
+1 _Development of the gentry-state_
+
+In 206 B.C. Liu Chi assumed the title of Emperor and gave his dynasty
+the name of the Han Dynasty. After his death he was given as emperor the
+name of Kao Tsu.[4] The period of the Han dynasty may be described as
+the beginning of the Chinese Middle Ages, while that of the Ch'in
+dynasty represents the transition from antiquity to the Middle Ages; for
+under the Han dynasty we meet in China with a new form of state, the
+"gentry state". The feudalism of ancient times has come definitely to
+its end.
+
+    [4] From then on, every emperor was given after his death an
+    official name as emperor, under which he appears in the Chinese
+    sources. We have adopted the original or the official name according
+    to which of the two has come into the more general use in Western
+    books.
+
+Emperor Kao Tsu came from eastern China, and his family seems to have
+been a peasant family; in any case it did not belong to the old
+nobility. After his destruction of his strongest rival, the removal of
+the kings who had made themselves independent in the last years of the
+Ch'in dynasty was a relatively easy task for the new autocrat, although
+these struggles occupied the greater part of his reign. A much more
+difficult question, however, faced him: How was the empire to be
+governed? Kao Tsu's old friends and fellow-countrymen, who had helped
+him into power, had been rewarded by appointment as generals or high
+officials. Gradually he got rid of those who had been his best comrades,
+as so many upstart rulers have done before and after him in every
+country in the world. An emperor does not like to be reminded of a very
+humble past, and he is liable also to fear the rivalry of men who
+formerly were his equals. It is evident that little attention was paid
+to theories of administration; policy was determined mainly by practical
+considerations. Kao Tsu allowed many laws and regulations to remain in
+force, including the prohibition of Confucianist writings. On the other
+hand, he reverted to the allocation of fiefs, though not to old noble
+families but to his relatives and some of his closest adherents,
+generally men of inferior social standing. Thus a mixed administration
+came into being: part of the empire was governed by new feudal princes,
+and another part split up into provinces and prefectures and placed
+directly under the central power through its officials.
+
+But whence came the officials? Kao Tsu and his supporters, as farmers
+from eastern China, looked down upon the trading population to which
+farmers always regard themselves as superior. The merchants were ignored
+as potential officials although they had often enough held official
+appointments under the former dynasty. The second group from which
+officials had been drawn under the Ch'in was that of the army officers,
+but their military functions had now, of course, fallen to Kao Tsu's
+soldiers. The emperor had little faith, however, in the loyalty of
+officers, even of his own, and apart from that he would have had first
+to create a new administrative organization for them. Accordingly he
+turned to another class which had come into existence, the class later
+called the _gentry_, which in practice had the power already in its
+hands.
+
+The term "gentry" has no direct parallel in Chinese texts; the later
+terms "shen-shih" and "chin-shen" do not quite cover this concept. The
+basic unit of the gentry class are families, not individuals. Such
+families often derive their origin from branches of the Chou nobility.
+But other gentry families were of different and more recent origin in
+respect to land ownership. Some late Chou and Ch'in officials of
+non-noble origin had become wealthy and had acquired land; the same was
+true for wealthy merchants and finally, some non-noble farmers who were
+successful in one or another way, bought additional land reaching the
+size of large holdings. All "gentry" families owned substantial estates
+in the provinces which they leased to tenants on a kind of contract
+basis. The tenants, therefore, cannot be called "serfs" although their
+factual position often was not different from the position of serfs. The
+rents of these tenants, usually about half the gross produce, are the
+basis of the livelihood of the gentry. One part of a gentry family
+normally lives in the country on a small home farm in order to be able
+to collect the rents. If the family can acquire more land and if this
+new land is too far away from the home farm to make collection of rents
+easy, a new home farm is set up under the control of another branch of
+the family. But the original home remains to be regarded as the real
+family centre.
+
+In a typical gentry family, another branch of the family is in the
+capital or in a provincial administrative centre in official positions.
+These officials at the same time are the most highly educated members of
+the family and are often called the "literati". There are also always
+individual family members who are not interested in official careers or
+who failed in their careers and live as free "literati" either in the
+big cities or on the home farms. It seems, to judge from much later
+sources, that the families assisted their most able members to enter the
+official careers, while those individuals who were less able were used
+in the administration of the farms. This system in combination with the
+strong familism of the Chinese, gave a double security to the gentry
+families. If difficulties arose in the estates either by attacks of
+bandits or by war or other catastrophes, the family members in official
+positions could use their influence and power to restore the property in
+the provinces. If, on the other hand, the family members in official
+positions lost their positions or even their lives by displeasing the
+court, the home branch could always find ways to remain untouched and
+could, in a generation or two, recruit new members and regain power and
+influence in the government. Thus, as families, the gentry was secure,
+although failures could occur to individuals. There are many gentry
+families who remained in the ruling _�lite_ for many centuries, some
+over more than a thousand years, weathering all vicissitudes of life.
+Some authors believe that Chinese leading families generally pass
+through a three- or four-generation cycle: a family member by his
+official position is able to acquire much land, and his family moves
+upward. He is able to give the best education and other facilities to
+his sons who lead a good life. But either these sons or the grandsons
+are spoiled and lazy; they begin to lose their property and status. The
+family moves downward, until in the fourth or fifth generation a new
+rise begins. Actual study of families seems to indicate that this is not
+true. The main branch of the family retains its position over centuries.
+But some of the branch families, created often by the less able family
+members, show a tendency towards downward social mobility.
+
+It is clear from the above that a gentry family should be interested in
+having a fair number of children. The more sons they have, the more
+positions of power the family can occupy and thus, the more secure it
+will be; the more daughters they have, the more "political" marriages
+they can conclude, i.e. marriages with sons of other gentry families in
+positions of influence. Therefore, gentry families in China tend to be,
+on the average, larger than ordinary families, while in our Western
+countries the leading families usually were smaller than the lower class
+families. This means that gentry families produced more children than
+was necessary to replenish the available leading positions; thus, some
+family members had to get into lower positions and had to lose status.
+In view of this situation it was very difficult for lower class families
+to achieve access into this gentry group. In European countries the
+leading _�lite_ did not quite replenish their ranks in the next
+generation, so that there was always some chance for the lower classes
+to move up into leading ranks. The gentry society was, therefore, a
+comparably stable society with little upward social mobility but with
+some downward mobility. As a whole and for reasons of gentry
+self-interest, the gentry stood for stability and against change.
+
+The gentry members in the bureaucracy collaborated closely with one
+another because they were tied together by bonds of blood or marriage.
+It was easy for them to find good tutors for their children, because a
+pupil owed a debt of gratitude to his teacher and a child from a gentry
+family could later on nicely repay this debt; often, these teachers
+themselves were members of other gentry families. It was easy for sons
+of the gentry to get into official positions, because the people who had
+to recommend them for office were often related to them or knew the
+position of their family. In Han time, local officials had the duty to
+recommend young able men; if these men turned out to be good, the
+officials were rewarded, if not they were blamed or even punished. An
+official took less of a chance, if he recommended a son of an
+influential family, and he obliged such a candidate so that he could
+later count on his help if he himself should come into difficulties.
+When, towards the end of the second century B.C., a kind of examination
+system was introduced, this attitude was not basically changed.
+
+The country branch of the family by the fact that it controlled large
+tracts of land, supplied also the logical tax collectors: they had the
+standing and power required for this job. Even if they were appointed in
+areas other than their home country (a rule which later was usually
+applied), they knew the gentry families of the other district or were
+related to them and got their support by appointing their members as
+their assistants.
+
+Gentry society continued from Kao Tsu's time to 1948, but it went
+through a number of phases of development and changed considerably in
+time. We will later outline some of the most important changes. In
+general the number of politically leading gentry families was around one
+hundred (texts often speak of "the hundred families" in this time) and
+they were concentrated in the capital; the most important home seats of
+these families in Han time were close to the capital and east of it or
+in the plains of eastern China, at that time the main centre of grain
+production.
+
+We regard roughly the first one thousand years of "Gentry Society" as
+the period of the Chinese "Middle Ages", beginning with the Han dynasty;
+the preceding time of the Ch'in was considered as a period of
+transition, a time in which the feudal period of "Antiquity" came to a
+formal end and a new organization of society began to become visible.
+Even those authors who do not accept a sociological classification of
+periods and many authors who use Marxist categories, believe that with
+Ch'in and Han a new era in Chinese history began.
+
+
+2 _Situation of the Hsiung-nu empire; its relation to the Han empire.
+Incorporation of South China_
+
+In the time of the Ch'in dynasty there had already come into unpleasant
+prominence north of the Chinese frontier the tribal union, then
+relatively small, of the Hsiung-nu. Since then, the Hsiung-nu empire had
+destroyed the federation of the Y�eh-chih tribes (some of which seem to
+have been of Indo-European language stock) and incorporated their people
+into their own federation; they had conquered also the less well
+organized eastern pastoral tribes, the Tung-hu and thus had become a
+formidable power. Everything goes to show that it had close relations
+with the territories of northern China. Many Chinese seem to have
+migrated to the Hsiung-nu empire, where they were welcome as artisans
+and probably also as farmers; but above all they were needed for the
+staffing of a new state administration. The scriveners in the newly
+introduced state secretariat were Chinese and wrote Chinese, for at that
+time the Hsiung-nu apparently had no written language. There were
+Chinese serving as administrators and court officials, and even as
+instructors in the army administration, teaching the art of warfare
+against non-nomads. But what was the purpose of all this? Mao Tun, the
+second ruler of the Hsiung-nu, and his first successors undoubtedly
+intended ultimately to conquer China, exactly as many other northern
+peoples after them planned to do, and a few of them did. The main
+purpose of this was always to bring large numbers of peasants under the
+rule of the nomad rulers and so to solve, once for all, the problem of
+the provision of additional winter food. Everything that was needed, and
+everything that seemed to be worth trying to get as they grew more
+civilized, would thus be obtained better and more regularly than by
+raids or by tedious commercial negotiations. But if China was to be
+conquered and ruled there must exist a state organization of equal
+authority to hers; the Hsiung-nu ruler must himself come forward as Son
+of Heaven and develop a court ceremonial similar to that of a Chinese
+emperor. Thus the basis of the organization of the Hsiung-nu state lay
+in its rivalry with the neighbouring China; but the details naturally
+corresponded to the special nature of the Hsiung-nu social system. The
+young Hsiung-nu feudal state differed from the ancient Chinese feudal
+state not only in depending on a nomad economy with only supplementary
+agriculture, but also in possessing, in addition to a whole class of
+nobility and another of commoners, a stratum of slavery to be analysed
+further below. Similar to the Chou state, the Hsiung-nu state contained,
+especially around the ruler, an element of court bureaucracy which,
+however, never developed far enough to replace the basically feudal
+character of administration.
+
+Thus Kao Tsu was faced in Mao Tun not with a mere nomad chieftain but
+with the most dangerous of enemies, and Kao Tsu's policy had to be
+directed to preventing any interference of the Hsiung-nu in North
+Chinese affairs, and above all to preventing alliances between Hsiung-nu
+and Chinese. Hsiung-nu alone, with their technique of horsemen's
+warfare, would scarcely have been equal to the permanent conquest of the
+fortified towns of the north and the Great Wall, although they
+controlled a population which may have been in excess of 2,000,000
+people. But they might have succeeded with Chinese aid. Actually a
+Chinese opponent of Kao Tsu had already come to terms with Mao Tun, and
+in 200 B.C. Kao Tsu was very near suffering disaster in northern Shansi,
+as a result of which China would have come under the rule of the
+Hsiung-nu. But it did not come to that, and Mao Tun made no further
+attempt, although the opportunity came several times. Apparently the
+policy adopted by his court was not imperialistic but national, in the
+uncorrupted sense of the word. It was realized that a country so thickly
+populated as China could only be administered from a centre within
+China. The Hsiung-nu would thus have had to abandon their home territory
+and rule in China itself. That would have meant abandoning the flocks,
+abandoning nomad life, and turning into Chinese. The main supporters of
+the national policy, the first principle of which was loyalty to the old
+ways of life, seem to have been the tribal chieftains. Mao Tun fell in
+with their view, and the Hsiung-nu maintained their state as long as
+they adhered to that principle--for some seven hundred years. Other
+nomad peoples, Toba, Mongols, and Manchus, followed the opposite policy,
+and before long they were caught in the mechanism of the much more
+highly developed Chinese economy and culture, and each of them
+disappeared from the political scene in the course of a century or so.
+
+The national line of policy of the Hsiung-nu did not at all mean an end
+of hostilities and raids on Chinese territory, so that Kao Tsu declared
+himself ready to give the Hsiung-nu the foodstuffs and clothing
+materials they needed if they would make an end of their raids. A treaty
+to this effect was concluded, and sealed by the marriage of a Chinese
+princess with Mao Tun. This was the first international treaty in the
+Far East between two independent powers mutually recognized as equals,
+and the forms of international diplomacy developed in this time remained
+the standard forms for the next thousand years. The agreement was
+renewed at the accession of each new ruler, but was never adhered to
+entirely by either side. The needs of the Hsiung-nu increased with the
+expansion of their empire and the growing luxury of their court; the
+Chinese, on the other hand, wanted to give as little as possible, and no
+doubt they did all they could to cheat the Hsiung-nu. Thus, in spite of
+the treaties the Hsiung-nu raids went on. With China's progressive
+consolidation, the voluntary immigration of Chinese into the Hsiung-nu
+empire came to an end, and the Hsiung-nu actually began to kidnap
+Chinese subjects. These were the main features of the relations between
+Chinese and Hsiung-nu almost until 100 B.C.
+
+In the extreme south, around the present-day Canton, another independent
+empire had been formed in the years of transition, under the leadership
+of a Chinese. The narrow basis of this realm was no doubt provided by
+the trading colonies, but the indigenous population of Y�eh tribes was
+insufficiently civilized for the building up of a state that could have
+maintained itself against China. Kao Tsu sent a diplomatic mission to
+the ruler of this state, and invited him to place himself under Chinese
+suzerainty (196 B.C.). The ruler realized that he could offer no serious
+resistance, while the existing circumstances guaranteed him virtual
+independence and he yielded to Kao Tsu without a struggle.
+
+
+3 _Brief feudal reaction. Consolidation of the gentry_
+
+Kao Tsu died in 195 B.C. From then to 179 the actual ruler was his
+widow, the empress L�, while children were officially styled emperors.
+The empress tried to remove all the representatives of the emperor's
+family and to replace them with members of her own family. To secure her
+position she revived the feudal system, but she met with strong
+resistance from the dynasty and its supporters who already belonged in
+many cases to the new gentry, and who did not want to find their
+position jeopardized by the creation of new feudal lords.
+
+On the death of the empress her opponents rose, under the leadership of
+Kao Tsu's family. Every member of the empress's family was exterminated,
+and a son of Kao Tsu, known later under the name of Wen Ti (Emperor
+Wen), came to the throne. He reigned from 179 to 157 B.C. Under him
+there were still many fiefs, but with the limitation which the emperor
+Kao Tsu had laid down shortly before his death: only members of the
+imperial family should receive fiefs, to which the title of King was
+attached. Thus all the more important fiefs were in the hands of the
+imperial family, though this did not mean that rivalries came to an end.
+
+On the whole Wen Ti's period of rule passed in comparative peace. For
+the first time since the beginning of Chinese history, great areas of
+continuous territory were under unified rule, without unending internal
+warfare such as had existed under Shih Huang-ti and Kao Tsu. The
+creation of so extensive a region of peace produced great economic
+advance. The burdens that had lain on the peasant population were
+reduced, especially since under Wen Ti the court was very frugal. The
+population grew and cultivated fresh land, so that production increased
+and with it the exchange of goods. The most outstanding sign of this was
+the abandonment of restrictions on the minting of copper coin, in order
+to prevent deflation through insufficiency of payment media. As a
+consequence more taxes were brought in, partly in kind, partly in coin,
+and this increased the power of the central government. The new gentry
+streamed into the towns, their standard of living rose, and they made
+themselves more and more into a class apart from the general population.
+As people free from material cares, they were able to devote themselves
+to scholarship. They went back to the old writings and studied them once
+more. They even began to identify themselves with the nobles of feudal
+times, to adopt the rules of good behaviour and the ceremonial described
+in the Confucianist books, and very gradually, as time went on, to make
+these their textbooks of good form. From this point the Confucianist
+ideals first began to penetrate the official class recruited from the
+gentry, and then the state organization itself. It was expected that an
+official should be versed in Confucianism, and schools were set up for
+Confucianist education. Around 100 B.C. this led to the introduction of
+the examination system, which gradually became the one method of
+selection of new officials. The system underwent many changes, but
+remained in operation in principle until 1904. The object of the
+examinations was not to test job efficiency but command of the ideals of
+the gentry and knowledge of the literature inculcating them: this was
+regarded as sufficient qualification for any position in the service of
+the state.
+
+In theory this path to training of character and to admission to the
+state service was open to every "respectable" citizen. Of the
+traditional four "classes" of Chinese society, only the first two,
+officials (_shih_) and farmers (_nung_) were always regarded as fully
+"respectable" (_liang-min_). Members of the other two classes, artisans
+(_kung_) and merchants (_shang_), were under numerous restrictions.
+Below these were classes of "lowly people" (_ch'ien-min_) and below
+these the slaves which were not part of society proper. The privileges
+and obligations of these categories were soon legally fixed. In
+practice, during the first thousand years of the existence of the
+examination system no peasant had a chance to become an official by
+means of the examinations. In the Han period the provincial officials
+had to propose suitable young persons for examination, and so for
+admission to the state service, as was already mentioned. In addition,
+schools had been instituted for the sons of officials; it is interesting
+to note that there were, again and again, complaints about the low level
+of instruction in these schools. Nevertheless, through these schools all
+sons of officials, whatever their capacity or lack of capacity, could
+become officials in their turn. In spite of its weaknesses, the system
+had its good side. It inoculated a class of people with ideals that were
+unquestionably of high ethical value. The Confucian moral system gave a
+Chinese official or any member of the gentry a spiritual attitude and an
+outward bearing which in their best representatives has always commanded
+respect, an integrity that has always preserved its possessors, and in
+consequence Chinese society as a whole, from moral collapse, from
+spiritual nihilism, and has thus contributed to the preservation of
+Chinese cultural values in spite of all foreign conquerors.
+
+In the time of Wen Ti and especially of his successors, the revival at
+court of the Confucianist ritual and of the earlier Heaven-worship
+proceeded steadily. The sacrifices supposed to have been performed in
+ancient times, the ritual supposed to have been prescribed for the
+emperor in the past, all this was reintroduced. Obviously much of it was
+spurious: much of the old texts had been lost, and when fragments were
+found they were arbitrarily completed. Moreover, the old writing was
+difficult to read and difficult to understand; thus various things were
+read into the texts without justification. The new Confucians who came
+forward as experts in the moral code were very different men from their
+predecessors; above all, like all their contemporaries, they were
+strongly influenced by the shamanistic magic that had developed in the
+Ch'in period.
+
+Wen Ti's reign had brought economic advance and prosperity;
+intellectually it had been a period of renaissance, but like every such
+period it did not simply resuscitate what was old, but filled the
+ancient moulds with an entirely new content. Socially the period had
+witnessed the consolidation of the new upper class, the gentry, who
+copied the mode of life of the old nobility. This is seen most clearly
+in the field of law. In the time of the Legalists the first steps had
+been taken in the codification of the criminal law. They clearly
+intended these laws to serve equally for all classes of the people. The
+Ch'in code which was supposedly Li K'uei's code, was used in the Han
+period, and was extensively elaborated by Siao Ho (died 193 B.C.) and
+others. This code consisted of two volumes of the chief laws for grave
+cases, one of mixed laws for the less serious cases, and six volumes on
+the imposition of penalties. In the Han period "decisions" were added,
+so that about A.D. 200 the code had grown to 26,272 paragraphs with over
+17,000,000 words. The collection then consisted of 960 volumes. This
+colossal code has been continually revised, abbreviated, or expanded,
+and under its last name of "Collected Statues of the Manchu Dynasty" it
+retained its validity down to the present century.
+
+Alongside this collection there was another book that came to be
+regarded and used as a book of precedences. The great Confucianist
+philosopher Tung Chung-shu (179-104 B.C.), a firm supporter of the
+ideology of the new gentry class, declared that the classic Confucianist
+writings, and especially the book _Ch'un-ch'iu_, "Annals of Spring and
+Autumn", attributed to Confucius himself, were essentially books of
+legal decisions. They contained "cases" and Confucius's decisions of
+them. Consequently any case at law that might arise could be decided by
+analogy with the cases contained in "Annals of Spring and Autumn". Only
+an educated person, of course, a member of the gentry, could claim that
+his action should be judged by the decisions of Confucius and not by the
+code compiled for the common people, for Confucius had expressly stated
+that his rules were intended only for the upper class. Thus, right down
+to modern times an educated person could be judged under regulations
+different from those applicable to the common people, or if judged on
+the basis of the laws, he had to expect a special treatment. The
+principle of the "equality before the law" which the Legalists had
+advocated and which fitted well into the absolutistic, totalitarian
+system of the Ch'in, had been attacked by the feudal nobility at that
+time and was attacked by the new gentry of the Han time. Legalist
+thinking remained an important undercurrent for many centuries to come,
+but application of the equalitarian principle was from now on never
+seriously considered.
+
+Against the growing influence of the officials belonging to the gentry
+there came a last reaction. It came as a reply to the attempt of a
+representative of the gentry to deprive the feudal princes of the whole
+of their power. In the time of Wen Ti's successor a number of feudal
+kings formed an alliance against the emperor, and even invited the
+Hsiung-nu to join them. The Hsiung-nu did not do so, because they saw
+that the rising had no prospect of success, and it was quelled. After
+that the feudal princes were steadily deprived of rights. They were
+divided into two classes, and only privileged ones were permitted to
+live in the capital, the others being required to remain in their
+domains. At first, the area was controlled by a "minister" of the
+prince, an official of the state; later the area remained under normal
+administration and the feudal prince kept only an empty title; the tax
+income of a certain number of families of an area was assigned to him
+and transmitted to him by normal administrative channels. Often, the
+number of assigned families was fictional in that the actual income was
+from far fewer families. This system differs from the Near Eastern
+system in which also no actual enfeoffment took place, but where
+deserving men were granted the right to collect themselves the taxes of
+a certain area with certain numbers of families.
+
+Soon after this the whole government was given the shape which it
+continued to have until A.D. 220, and which formed the point of
+departure for all later forms of government. At the head of the state
+was the emperor, in theory the holder of absolute power in the state
+restricted only by his responsibility towards "Heaven", i.e. he had to
+follow and to enforce the basic rules of morality, otherwise "Heaven"
+would withdraw its "mandate", the legitimation of the emperor's rule,
+and would indicate this withdrawal by sending natural catastrophes. Time
+and again we find emperors publicly accusing themselves for their faults
+when such catastrophes occurred; and to draw the emperor's attention to
+actual or made-up calamities or celestrial irregularities was one way to
+criticize an emperor and to force him to change his behaviour. There are
+two other indications which show that Chinese emperors--excepting a few
+individual cases--at least in the first ten centuries of gentry society
+were not despots: it can be proved that in some fields the
+responsibility for governmental action did not lie with the emperor but
+with some of his ministers. Secondly, the emperor was bound by the law
+code: he could not change it nor abolish it. We know of cases in which
+the ruler disregarded the code, but then tried to "defend" his arbitrary
+action. Each new dynasty developed a new law code, usually changing only
+details of the punishment, not the basic regulations. Rulers could issue
+additional "regulations", but these, too, had to be in the spirit of
+the general code and the existing moral norms. This situation has some
+similarity to the situation in Muslim countries. At the ruler's side
+were three counsellors who had, however, no active functions. The real
+conduct of policy lay in the hands of the "chancellor", or of one of the
+"nine ministers". Unlike the practice with which we are familiar in the
+West, the activities of the ministries (one of them being the court
+secretariat) were concerned primarily with the imperial palace. As,
+however, the court secretariat, one of the nine ministries, was at the
+same time a sort of imperial statistical office, in which all economic,
+financial, and military statistical material was assembled, decisions on
+issues of critical importance for the whole country could and did come
+from it. The court, through the Ministry of Supplies, operated mines and
+workshops in the provinces and organized the labour service for public
+constructions. The court also controlled centrally the conscription for
+the general military service. Beside the ministries there was an
+extensive administration of the capital with its military guards. The
+various parts of the country, including the lands given as fiefs to
+princes, had a local administration, entirely independent of the central
+government and more or less elaborated according to their size. The
+regional administration was loosely associated with the central
+government through a sort of primitive ministry of the interior, and
+similarly the Chinese representatives in the protectorates, that is to
+say the foreign states which had submitted to Chinese protective
+overlordship, were loosely united with a sort of foreign ministry in the
+central government. When a rising or a local war broke out, that was the
+affair of the officer of the region concerned. If the regional troops
+were insufficient, those of the adjoining regions were drawn upon; if
+even these were insufficient, a real "state of war" came into being;
+that is to say, the emperor appointed eight generals-in-chief, mobilized
+the imperial troops, and intervened. This imperial army then had
+authority over the regional and feudal troops, the troops of the
+protectorates, the guards of the capital, and those of the imperial
+palace. At the end of the war the imperial army was demobilized and the
+generals-in-chief were transferred to other posts.
+
+In all this there gradually developed a division into civil and military
+administration. A number of regions would make up a province with a
+military governor, who was in a sense the representative of the imperial
+army, and who was supposed to come into activity only in the event of
+war.
+
+This administration of the Han period lacked the tight organization that
+would make precise functioning possible. On the other hand, an
+extremely important institution had already come into existence in a
+primitive form. As central statistical authority, the court secretariat
+had a special position within the ministries and supervised the
+administration of the other offices. Thus there existed alongside the
+executive a means of independent supervision of it, and the resulting
+rivalry enabled the emperor or the chancellor to detect and eliminate
+irregularities. Later, in the system of the T'ang period (A.D. 618-906),
+this institution developed into an independent censorship, and the
+system was given a new form as a "State and Court Secretariat", in which
+the whole executive was comprised and unified. Towards the end of the
+T'ang period the permanent state of war necessitated the permanent
+commissioning of the imperial generals-in-chief and of the military
+governors, and as a result there came into existence a "Privy Council of
+State", which gradually took over functions of the executive. The system
+of administration in the Han and in the T'ang period is shown in the
+following table:
+
+     _Han epoch_                             _T'ang epoch_
+
+  1. Emperor                              1. Emperor
+
+  2. Three counsellors to the emperor     2. Three counsellors and three
+     (with no active functions)              assistants (with no active
+                                             functions)
+
+  3. Eight supreme generals               3. Generals and Governors-General
+     (only appointed in time of war)         (only appointed in time of
+                                             war; but in practice
+                                             continuously in office)
+
+  4. ----                                 4. (a) State secretariat
+                                               (1) Central secretariat
+                                               (2) Secretariat of the Crown
+                                               (3) Secretariat of the Palace
+                                                   and imperial historical
+                                                   commission
+
+                                          4. (b) Emperor's Secretariat
+                                               (1) Private Archives
+                                               (2) Court Adjutants' Office
+                                               (3) Harem administration
+
+  5. Court administration (Ministries)    5. Court administration
+                                             (Ministries)
+    (1) Ministry for state sacrifices          (1) Ministry for state
+                                                   sacrifices
+    (2) Ministry for imperial coaches          (2) Ministry for imperial
+       and horses                                  coaches and horses
+    (3) Ministry for justice at court          (3) Ministry for justice
+                                                   at court
+    (4) Ministry for receptions                (4) Ministry for receptions
+                                                   (i.e. foreign affairs)
+    (5) Ministry for ancestors'                (5) Ministry for ancestors'
+        temples                                    temples
+    (6) Ministry for supplies to the           (6) Ministry for supplies to
+        court                                      the court
+    (7) Ministry for the harem                 (7) Economic and financial
+                                                   Ministry
+    (8) Ministry for the palace                (8) Ministry for the payment
+        guards                                     of salaries
+    (9) Ministry for the court                 (9) Ministry for armament
+        (state secretariat)                        and magazines
+
+  6. Administration of the capital:       6. Administration of the capital:
+    (1) Crown prince's palace                  (1) Crown prince's palace
+    (2) Security service for the capital       (2) Palace guards and guards'
+                                                   office
+    (3) Capital administration:                (3) Arms production
+      (a) Guards of the capital                    department
+      (b) Guards of the city gates
+      (c) Building department
+                                               (4) Labour service
+                                                   department
+                                               (5) Building department
+                                               (6) Transport department
+                                               (7) Department for education
+                                                   (of sons of officials!)
+
+  7. Ministry of the Interior             7. Ministry of the Interior
+     (Provincial administration)             (Provincial administration)
+
+  8. Foreign Ministry                     8. ----
+
+                                          9. Censorship (Audit council)
+
+
+There is no denying that according to our standard this whole system was
+still elementary and "personal", that is to say, attached to the
+emperor's person--though it should not be overlooked that we ourselves
+are not yet far from a similar phase of development. To this day the
+titles of not a few of the highest officers of state--the Lord Privy
+Seal, for instance--recall that in the past their offices were conceived
+as concerned purely with the personal service of the monarch. In one
+point, however, the Han administrative set-up was quite modern: it
+already had a clear separation between the emperor's private treasury
+and the state treasury; laws determined which of the two received
+certain taxes and which had to make certain payments. This separation,
+which in Europe occurred not until the late Middle Ages, in China was
+abolished at the end of the Han Dynasty.
+
+The picture changes considerably to the advantage of the Chinese as soon
+as we consider the provincial administration. The governor of a
+province, and each of his district officers or prefects, had a staff
+often of more than a hundred officials. These officials were drawn from
+the province or prefecture and from the personal friends of the
+administrator, and they were appointed by the governor or the prefect.
+The staff was made up of officials responsible for communications with
+the central or provincial administration (private secretary, controller,
+finance officer), and a group of officials who carried on the actual
+local administration. There were departments for transport, finance,
+education, justice, medicine (hygiene), economic and military affairs,
+market control, and presents (which had to be made to the higher
+officials at the New Year and on other occasions). In addition to these
+offices, organized in a quite modern style, there was an office for
+advising the governor and another for drafting official documents and
+letters.
+
+The interesting feature of this system is that the provincial
+administration was _de facto_ independent of the central administration,
+and that the governor and even his prefects could rule like kings in
+their regions, appointing and discharging as they chose. This was a
+vestige of feudalism, but on the other hand it was a healthy check
+against excessive centralization. It is thanks to this system that even
+the collapse of the central power or the cutting off of a part of the
+empire did not bring the collapse of the country. In a remote frontier
+town like Tunhuang, on the border of Turkestan, the life of the local
+Chinese went on undisturbed whether communication with the capital was
+maintained or was broken through invasions by foreigners. The official
+sent from the centre would be liable at any time to be transferred
+elsewhere; and he had to depend on the practical knowledge of his
+subordinates, the members of the local families of the gentry. These
+officials had the local government in their hands, and carried on the
+administration of places like Tunhuang through a thousand years and
+more. The Hsin family, for instance, was living there in 50 B.C. and was
+still there in A.D. 950; and so were the Yin, Ling-hu, Li, and K'ang
+families.
+
+All the officials of the various offices or Ministries were appointed
+under the state examination system, but they had no special professional
+training; only for the more important subordinate posts were there
+specialists, such as jurists, physicians, and so on. A change came
+towards the end of the T'ang period, when a Department of Commerce and
+Monopolies was set up; only specialists were appointed to it, and it was
+placed directly under the emperor. Except for this, any official could
+be transferred from any ministry to any other without regard to his
+experience.
+
+
+4 _Turkestan policy. End of the Hsiung-nu empire_
+
+In the two decades between 160 and 140 B.C. there had been further
+trouble with the Hsiung-nu, though there was no large-scale fighting.
+There was a fundamental change of policy under the next emperor, Wu (or
+Wu Ti, 141-86 B.C.). The Chinese entered for the first time upon an
+active policy against the Hsiung-nu. There seem to have been several
+reasons for this policy, and several objectives. The raids of the
+Hsiung-nu from the Ordos region and from northern Shansi had shown
+themselves to be a direct menace to the capital and to its extremely
+important hinterland. Northern Shansi is mountainous, with deep ravines.
+A considerable army on horseback could penetrate some distance to the
+south before attracting attention. Northern Shensi and the Ordos region
+are steppe country, in which there were very few Chinese settlements and
+through which an army of horsemen could advance very quickly. It was
+therefore determined to push back the Hsiung-nu far enough to remove
+this threat. It was also of importance to break the power of the
+Hsiung-nu in the province of Kansu, and to separate them as far as
+possible from the Tibetans living in that region, to prevent any union
+between those two dangerous adversaries. A third point of importance was
+the safeguarding of caravan routes. The state, and especially the
+capital, had grown rich through Wen Ti's policy. Goods streamed into the
+capital from all quarters. Commerce with central Asia had particularly
+increased, bringing the products of the Middle East to China. The
+caravan routes passed through western Shensi and Kansu to eastern
+Turkestan, but at that time the Hsiung-nu dominated the approaches to
+Turkestan and were in a position to divert the trade to themselves or
+cut it off. The commerce brought profit not only to the caravan traders,
+most of whom were probably foreigners, but to the officials in the
+provinces and prefectures through which the routes passed. Thus the
+officials in western China were interested in the trade routes being
+brought under direct control, so that the caravans could arrive
+regularly and be immune from robbery. Finally, the Chinese government
+may well have regarded it as little to its honour to be still paying
+dues to the Hsiung-nu and sending princesses to their rulers, now that
+China was incomparably wealthier and stronger than at the time when that
+policy of appeasement had begun.
+
+[Illustration: Map 3. China in the struggle with, the Huns or Hsiung Nu
+_(roughly 128-100 B.C.)_]
+
+The first active step taken was to try, in 133 B.C., to capture the
+head of the Hsiung-nu state, who was called a _shan-y�_; but the
+_shan-y�_ saw through the plan and escaped. There followed a period of
+continuous fighting until 119 B.C. The Chinese made countless attacks,
+without lasting success. But the Hsiung-nu were weakened, one sign of
+this being that there were dissensions after the death of the _shan-y�_
+Ch�n-ch'en, and in 127 B.C. his son went over to the Chinese. Finally
+the Chinese altered their tactics, advancing in 119 B.C. with a strong
+army of cavalry, which suffered enormous losses but inflicted serious
+loss on the Hsiung-nu. After that the Hsiung-nu withdrew farther to the
+north, and the Chinese settled peasants in the important region of
+Kansu.
+
+Meanwhile, in 125 B.C., the famous Chang Ch'ien had returned. He had
+been sent in 138 to conclude an alliance with the Y�eh-chih against the
+Hsiung-nu. The Y�eh-chih had formerly been neighbours of the Hsiung-nu
+as far as the Ala Shan region, but owing to defeat by the Hsiung-nu
+their remnants had migrated to western Turkestan. Chang Ch'ien had
+followed them. Politically he had had no success, but he brought back
+accurate information about the countries in the far west, concerning
+which nothing had been known beyond the vague reports of merchants. Now
+it was learnt whence the foreign goods came and whither the Chinese
+goods went. Chang Ch'ien's reports (which are one of the principal
+sources for the history of central Asia at that remote time)
+strengthened the desire to enter into direct and assured commercial
+relations with those distant countries. The government evidently thought
+of getting this commerce into its own hands. The way to do this was to
+impose "tribute" on the countries concerned. The idea was that the
+missions bringing the annual "tribute" would be a sort of state
+bartering commissions. The state laid under tribute must supply
+specified goods at its own cost, and received in return Chinese produce,
+the value of which was to be roughly equal to the "tribute". Thus Chang
+Ch'ien's reports had the result that, after the first successes against
+the Hsiung-nu, there was increased interest in a central Asian policy.
+The greatest military success were the campaigns of General Li Kuang-li
+to Ferghana in 104 and 102 B.C. The result of the campaigns was to bring
+under tribute all the small states in the Tarim basin and some of the
+states of western Turkestan. From now on not only foreign consumer goods
+came freely into China, but with them a great number of other things,
+notably plants such as grape, peach, pomegranate.
+
+In 108 B.C. the western part of Korea was also conquered. Korea was
+already an important transit region for the trade with Japan. Thus this
+trade also came under the direct influence of the Chinese government.
+Although this conquest represented a peril to the eastern flank of the
+Hsiung-nu, it did not by any means mean that they were conquered. The
+Hsiung-nu while weakened evaded the Chinese pressure, but in 104 B.C.
+and again in 91 they inflicted defeats on the Chinese. The Hsiung-nu
+were indirectly threatened by Chinese foreign policy, for the Chinese
+concluded an alliance with old enemies of the Hsiung-nu, the Wu-sun, in
+the north of the Tarim basin. This made the Tarim basin secure for the
+Chinese, and threatened the Hsiung-nu with a new danger in their rear.
+Finally the Chinese did all they could through intrigue, espionage, and
+sabotage to promote disunity and disorder within the Hsiung-nu, though
+it cannot be seen from the Chinese accounts how far the Chinese were
+responsible for the actual conflicts and the continual changes of
+_shan-y�_. Hostilities against the Hsiung-nu continued incessantly,
+after the death of Wu Ti, under his successor, so that the Hsiung-nu
+were further weakened. In consequence of this it was possible to rouse
+against them other tribes who until then had been dependent on them--the
+Ting-ling in the north and the Wu-huan in the east. The internal
+difficulties of the Hsiung-nu increased further.
+
+Wu Ti's active policy had not been directed only against the Hsiung-nu.
+After heavy fighting he brought southern China, with the region round
+Canton, and the south-eastern coast, firmly under Chinese dominion--in
+this case again on account of trade interests. No doubt there were
+already considerable colonies of foreign merchants in Canton and other
+coastal towns, trading in Indian and Middle East goods. The traders seem
+often to have been Sogdians. The southern wars gave Wu Ti the control of
+the revenues from this commerce. He tried several times to advance
+through Y�nnan in order to secure a better land route to India, but
+these attempts failed. Nevertheless, Chinese influence became stronger
+in the south-west.
+
+In spite of his long rule, Wu Ti did not leave an adult heir, as the
+crown prince was executed, with many other persons, shortly before Wu
+Ti's death. The crown prince had been implicated in an alleged attempt
+by a large group of people to remove the emperor by various sorts of
+magic. It is difficult to determine today what lay behind this affair;
+probably it was a struggle between two cliques of the gentry. Thus a
+regency council had to be set up for the young heir to the throne; it
+included a member of a Hsiung-nu tribe. The actual government was in the
+hands of a general and his clique until the death of the heir to the
+throne, and at the beginning of his successor's reign.
+
+At this time came the end of the Hsiung-nu empire--a foreign event of
+the utmost importance. As a result of the continual disastrous wars
+against the Chinese, in which not only many men but, especially, large
+quantities of cattle fell into Chinese hands, the livelihood of the
+Hsiung-nu was seriously threatened; their troubles were increased by
+plagues and by unusually severe winters. To these troubles were added
+political difficulties, including unsettled questions in regard to the
+succession to the throne. The result of all this was that the Hsiung-nu
+could no longer offer effective military resistance to the Chinese.
+There were a number of _shan-y�_ ruling contemporaneously as rivals, and
+one of them had to yield to the Chinese in 58 B.C.; in 51 he came as a
+vassal to the Chinese court. The collapse of the Hsiung-nu empire was
+complete. After 58 B.C. the Chinese were freed from all danger from that
+quarter and were able, for a time, to impose their authority in Central
+Asia.
+
+
+5 _Impoverishment. Cliques. End of the Dynasty_
+
+In other respects the Chinese were not doing as well as might have been
+assumed. The wars carried on by Wu Ti and his successors had been
+ruinous. The maintenance of large armies of occupation in the new
+regions, especially in Turkestan, also meant a permanent drain on the
+national funds. There was a special need for horses, for the people of
+the steppes could only be fought by means of cavalry. As the Hsiung-nu
+were supplying no horses, and the campaigns were not producing horses
+enough as booty, the peasants had to rear horses for the government.
+Additional horses were bought at very high prices, and apart from this
+the general financing of the wars necessitated increased taxation of the
+peasants, a burden on agriculture no less serious than was the enrolment
+of many peasants for military service. Finally, the new external trade
+did not by any means bring the advantages that had been hoped for. The
+tribute missions brought tribute but, to begin with, this meant an
+obligation to give presents in return; moreover, these missions had to
+be fed and housed in the capital, often for months, as the official
+receptions took place only on New Year's Day. Their maintenance entailed
+much expense, and meanwhile the members of the missions traded privately
+with the inhabitants and the merchants of the capital, buying things
+they needed and selling things they had brought in addition to the
+tribute. The tribute itself consisted mainly of "precious articles",
+which meant strange or rare things of no practical value. The emperor
+made use of them as elements of personal luxury, or made presents of
+some of them to deserving officials. The gifts offered by the Chinese in
+return consisted mainly of silk. Silk was received by the government as
+a part of the tax payments and formed an important element of the
+revenue of the state. It now went abroad without bringing in any
+corresponding return. The private trade carried on by the members of the
+missions was equally unserviceable to the Chinese. It, too, took from
+them goods of economic value, silk and gold, which went abroad in
+exchange for luxury articles of little or no economic importance, such
+as glass, precious stones, or stud horses, which in no way benefited the
+general population. Thus in this last century B.C. China's economic
+situation grew steadily and fairly rapidly worse. The peasants, more
+heavily taxed than ever, were impoverished, and yet the exchequer became
+not fuller but emptier, so that gold began even to be no longer
+available for payments. Wu Ti was aware of the situation and called
+different groups together to discuss the problems of economics. Under
+the name "Discussions on Salt and Iron" the gist of these talks is
+preserved and shows that one group under the leadership of Sang
+Hung-yang (143-80 B.C.) was business-oriented and thinking in economic
+terms, while their opponents, mainly Confucianists, regarded the
+situation mainly as a moral crisis. Sang proposed an "equable
+transportation" and a "standardization" system and favoured other state
+monopolies and controls; these ideas were taken up later and continued
+to be discussed, again and again.
+
+Already under Wu Ti there had been signs of a development which now
+appeared constantly in Chinese history. Among the new gentry, families
+entered into alliances with each other, sealed their mutual allegiance
+by matrimonial unions, and so formed large cliques. Each clique made it
+its concern to get the most important government positions into its
+hands, so that it should itself control the government. Under Wu Ti, for
+example, almost all the important generals had belonged to a certain
+clique, which remained dominant under his two successors. Two of the
+chief means of attaining power were for such a clique to give the
+emperor a girl from its ranks as wife, and to see to it that all the
+eunuchs around the emperor should be persons dependent on the clique.
+Eunuchs came generally from the poorer classes; they were launched at
+court by members of the great cliques, or quite openly presented to the
+emperor.
+
+The chief influence of the cliques lay, however, in the selection of
+officials. It is not surprising that the officials recommended only sons
+of people in their own clique--their family or its closest associates.
+On top of all this, the examiners were in most cases themselves members
+of the same families to which the provincial officials belonged. Thus it
+was made doubly certain that only those candidates who were to the
+liking of the dominant group among the gentry should pass.
+
+Surrounded by these cliques, the emperors became in most cases powerless
+figureheads. At times energetic rulers were able to play off various
+cliques against each other, and so to acquire personal power; but the
+weaker emperors found themselves entirely in the hands of cliques. Not a
+few emperors in China were removed by cliques which they had attempted
+to resist; and various dynasties were brought to their end by the
+cliques; this was the fate of the Han dynasty.
+
+The beginning of its fall came with the activities of the widow of the
+emperor Y�an Ti. She virtually ruled in the name of her
+eighteen-year-old son, the emperor Ch'eng Ti (32-7 B.C.), and placed all
+her brothers, and also her nephew, Wang Mang, in the principal
+government posts. They succeeded at first in either removing the
+strongest of the other cliques or bringing them into dependence. Within
+the Wang family the nephew Wang Mang steadily advanced, securing direct
+supporters even in some branches of the imperial family; these
+personages declared their readiness to join him in removing the existing
+line of the imperial house. When Ch'eng Ti died without issue, a young
+nephew of his (Ai Ti, 6-1 B.C.) was placed on the throne by Wang Mang,
+and during this period the power of the Wangs and their allies grew
+further, until all their opponents had been removed and the influence of
+the imperial family very greatly reduced. When Ai Ti died, Wang Mang
+placed an eight-year-old boy on the throne, himself acting as regent;
+four years later the boy fell ill and died, probably with Wang Mang's
+aid. Wang Mang now chose a one-year-old baby, but soon after he felt
+that the time had come for officially assuming the rulership. In A.D. 8
+he dethroned the baby, ostensibly at Heaven's command, and declared
+himself emperor and first of the Hsin ("new") dynasty. All the members
+of the old imperial family in the capital were removed from office and
+degraded to commoners, with the exception of those who had already been
+supporting Wang Mang. Only those members who held unimportant posts at a
+distance remained untouched.
+
+Wang Mang's "usurpation" is unusual from two points of view. First, he
+paid great attention to public opinion and induced large masses of the
+population to write petitions to the court asking the Han ruler to
+abdicate; he even fabricated "heavenly omina" in his own favour and
+against the Han dynasty in order to get wide support even from
+intellectuals. Secondly, he inaugurated a formal abdication ceremony,
+culminating in the transfer of the imperial seal to himself. This
+ceremony became standard for the next centuries. The seal was made of a
+precious stone, once presented to the Ch'in dynasty ruler before he
+ascended the throne. From now on, the possessor of this seal was the
+legitimate ruler.
+
+
+6 _The pseudo-socialistic dictatorship. Revolt of the "Red Eyebrows"_
+
+Wang Mang's dynasty lasted only from A.D. 9 to 23; but it was one of the
+most stirring periods of Chinese history. It is difficult to evaluate
+Wang Mang, because all we know about him stems from sources hostile
+towards him. Yet we gain the impression that some of his innovations,
+such as the legalization of enthronement through the transfer of the
+seal; the changes in the administration of provinces and in the
+bureaucratic set-up in the capital; and even some of his economic
+measures were so highly regarded that they were retained or
+re-introduced, although this happened in some instances centuries later
+and without mentioning Wang Mang's name. But most of his policies and
+actions were certainly neither accepted nor acceptable. He made use of
+every conceivable resource in order to secure power to his clique. As
+far as possible he avoided using open force, and resorted to a
+high-level propaganda. Confucianism, the philosophic basis of the power
+of the gentry, served him as a bait; he made use of the so-called "old
+character school" for his purposes. When, after the holocaust of books,
+it was desired to collect the ancient classics again, texts were found
+under strange circumstances in the walls of Confucius's house; they were
+written in an archaic script. The people who occupied themselves with
+these books were called the old character school. The texts came under
+suspicion; most scholars had little belief in their genuineness. Wang
+Mang, however, and his creatures energetically supported the cult of
+these ancient writings. The texts were edited and issued, and in the
+process, as can now be seen, certain things were smuggled into them that
+fitted in well with Wang Mang's intentions. He even had other texts
+reissued with falsifications. He now represented himself in all his
+actions as a man who did with the utmost precision the things which the
+books reported of rulers or ministers of ancient times. As regent he had
+declared that his model was the brother of the first emperor of the Chou
+dynasty; as emperor he took for his exemplar one of the mythical
+emperors of ancient China; of his new laws he claimed that they were
+simply revivals of decrees of the golden age. In all this he appealed to
+the authority of literature that had been tampered with to suit his
+aims. Actually, such laws had never before been customary; either Wang
+Mang completely misinterpreted passages in an ancient text to suit his
+purpose, or he had dicta that suited him smuggled into the text. There
+can be no question that Wang Mang and his accomplices began by
+deliberately falsifying and deceiving. However, as time went on, he
+probably began to believe in his own frauds.
+
+Wang Mang's great series of certain laws has brought him the name of
+"the first Socialist on the throne of China". But closer consideration
+reveals that these measures, ostensibly and especially aimed at the good
+of the poor, were in reality devised simply in order to fill the
+imperial exchequer and to consolidate the imperial power. When we read
+of the turning over of great landed estates to the state, do we not
+imagine that we are faced with a modern land reform? But this applied
+only to the wealthiest of all the landowners, who were to be deprived in
+this way of their power. The prohibition of private slave-owning had a
+similar purpose, the state reserving to itself the right to keep slaves.
+Moreover, landless peasants were to receive land to till, at the expense
+of those who possessed too much. This admirable law, however, was not
+intended seriously to be carried into effect. Instead, the setting up of
+a system of state credits for peasants held out the promise, in spite of
+rather reduced interest rates, of important revenue. The peasants had
+never been in a position to pay back their private debts together with
+the usurious interest, but there were at least opportunities of coming
+to terms with a private usurer, whereas the state proved a merciless
+creditor. It could dispossess the peasant, and either turn his property
+into a state farm, convey it to another owner, or make the peasant a
+state slave. Thus this measure worked against the interest of the
+peasants, as did the state monopoly of the exploitation of mountains and
+lakes. "Mountains and lakes" meant the uncultivated land around
+settlements, the "village commons", where people collected firewood or
+went fishing. They now had to pay money for fishing rights and for the
+right to collect wood, money for the emperor's exchequer. The same
+purpose lay behind the wine, salt, and iron tool monopolies. Enormous
+revenues came to the state from the monopoly of minting coin, when old
+metal coin of full value was called in and exchanged for debased coin.
+Another modern-sounding institution, that of the "equalization offices",
+was supposed to buy cheap goods in times of plenty in order to sell them
+to the people in times of scarcity at similarly low prices, so
+preventing want and also preventing excessive price fluctuations. In
+actual fact these state offices formed a new source of profit, buying
+cheaply and selling as dearly as possible.
+
+Thus the character of these laws was in no way socialistic; nor,
+however, did they provide an El Dorado for the state finances, for Wang
+Mang's officials turned all the laws to their private advantage. The
+revenues rarely reached the capital; they vanished into the pockets of
+subordinate officials. The result was a further serious lowering of the
+level of existence of the peasant population, with no addition to the
+financial resources of the state. Yet Wang Mang had great need of money,
+because he attached importance to display and because he was planning a
+new war. He aimed at the final destruction of the Hsiung-nu, so that
+access to central Asia should no longer be precarious and it should thus
+be possible to reduce the expense of the military administration of
+Turkestan. The war would also distract popular attention from the
+troubles at home. By way of preparation for war, Wang Mang sent a
+mission to the Hsiung-nu with dishonouring proposals, including changes
+in the name of the Hsiung-nu and in the title of the _shan-y�_. The name
+Hsiung-nu was to be given the insulting change of Hsiang-nu, meaning
+"subjugated slaves". The result was that risings of the Hsiung-nu took
+place, whereupon Wang Mang commanded that the whole of their country
+should be partitioned among fifteen _shan-y�_ and declared the country
+to be a Chinese province. Since this declaration had no practical
+result, it robbed Wang Mang of the increased prestige he had sought and
+only further infuriated the Hsiung-nu. Wang Mang concentrated a vast
+army on the frontier. Meanwhile he lost the whole of the possessions in
+Turkestan.
+
+But before Wang Mang's campaign against the Hsiung-nu could begin, the
+difficulties at home grew steadily worse. In A.D. 12 Wang Mang felt
+obliged to abrogate all his reform legislation because it could not be
+carried into effect; and the economic situation proved more lamentable
+than ever. There were continual risings, which culminated in A.D. 18 in
+a great popular insurrection, a genuine revolutionary rising of the
+peasants, whose distress had grown beyond bearing through Wang Mang's
+ill-judged measures. The rebels called themselves "Red Eyebrows"; they
+had painted their eyebrows red by way of badge and in order to bind
+their members indissolubly to their movement. The nucleus of this rising
+was a secret society. Such secret societies, usually are harmless, but
+may, in emergency situations, become an immensely effective instrument
+in the hands of the rural population. The secret societies then organize
+the peasants, in order to achieve a forcible settlement of the matter in
+dispute. Occasionally, however, the movement grows far beyond its
+leaders' original objective and becomes a popular revolutionary
+movement, directed against the whole ruling class. That is what happened
+on this occasion. Vast swarms of peasants marched to the capital,
+killing all officials and people of position on their way. The troops
+sent against them by Wang Mang either went over to the Red Eyebrows or
+copied them, plundering wherever they could and killing officials. Owing
+to the appalling mass murders and the fighting, the forces placed by
+Wang Mang along the frontier against the Hsiung-nu received no
+reinforcements and, instead of attacking the Hsiung-nu, themselves went
+over to plundering, so that ultimately the army simply disintegrated.
+Fortunately for China, the _shan-y�_ of the time did not take advantage
+of his opportunity, perhaps because his position within the Hsiung-nu
+empire was too insecure.
+
+Scarcely had the popular rising begun when descendants of the deposed
+Han dynasty appeared and tried to secure the support of the upper class.
+They came forward as fighters against the usurper Wang Mang and as
+defenders of the old social order against the revolutionary masses. But
+the armies which these Han princes were able to collect were no better
+than those of the other sides. They, too, consisted of poor and hungry
+peasants, whose aim was to get money or goods by robbery; they too,
+plundered and murdered more than they fought.
+
+However, one prince by the name of Liu Hsiu gradually gained the upper
+hand. The basis of his power was the district of Nanyang in Honan, one
+of the wealthiest agricultural centres of China at that time and also
+the centre of iron and steel production. The big landowners, the gentry
+of Nanyang, joined him, and the prince's party conquered the capital.
+Wang Mang, placing entire faith in his sanctity, did not flee; he sat in
+his robes in the throne-room and recited the ancient writings, convinced
+that he would overcome his adversaries by the power of his words. But a
+soldier cut off his head (A.D. 22). The skull was kept for two hundred
+years in the imperial treasury. The fighting, nevertheless, went on.
+Various branches of the prince's party fought one another, and all of
+them fought the Red Eyebrows. In those years millions of men came to
+their end. Finally, in A.D. 24, Liu Hsiu prevailed, becoming the first
+emperor of the second Han dynasty, also called the Later Han dynasty;
+his name as emperor was Kuang-wu Ti (A.D. 25-57).
+
+
+7 _Reaction and Restoration: the Later Han dynasty_
+
+Within the country the period that followed was one of reaction and
+restoration. The massacres of the preceding years had so reduced the
+population that there was land enough for the peasants who remained
+alive. Moreover, their lords and the money-lenders of the towns were
+generally no longer alive, so that many peasants had become free of
+debt. The government was transferred from Sian to Loyang, in the present
+province of Honan. This brought the capital nearer to the great
+wheat-producing regions, so that the transport of grain and other taxes
+in kind to the capital was cheapened. Soon this cleared foundation was
+covered by a new stratum, a very sparse one, of great landowners who
+were supporters and members of the new imperial house, largely
+descendants of the landowners of the earlier Han period. At first they
+were not much in evidence, but they gained power more and more rapidly.
+In spite of this, the first half-century of the Later Han period was one
+of good conditions on the land and economic recovery.
+
+
+8 _Hsiung-nu policy_
+
+In foreign policy the first period of the Later Han dynasty was one of
+extraordinary success, both in the extreme south and in the question of
+the Hsiung-nu. During the period of Wang Mang's rule and the fighting
+connected with it, there had been extensive migration to the south and
+south-west. Considerable regions of Chinese settlement had come into
+existence in Y�nnan and even in Annam and Tongking, and a series of
+campaigns under General Ma Y�an (14 B.C.-A.D. 49) now added these
+regions to the territory of the empire. These wars were carried on with
+relatively small forces, as previously in the Canton region, the natives
+being unable to offer serious resistance owing to their inferiority in
+equipment and civilization. The hot climate, however, to which the
+Chinese soldiers were unused, was hard for them to endure.
+
+The Hsiung-nu, in spite of internal difficulties, had regained
+considerable influence in Turkestan during the reign of Wang Mang. But
+the king of the city state of Yarkand had increased his power by
+shrewdly playing off Chinese and Hsiung-nu against each other, so that
+before long he was able to attack the Hsiung-nu. The small states in
+Turkestan, however, regarded the overlordship of the distant China as
+preferable to that of Yarkand or the Hsiung-nu both of whom, being
+nearer, were able to bring their power more effectively into play.
+Accordingly many of the small states appealed for Chinese aid. Kuang-wu
+Ti met this appeal with a blank refusal, implying that order had only
+just been restored in China and that he now simply had not the resources
+for a campaign in Turkestan. Thus, the king of Yarkand was able to
+extend his power over the remainder of the small states of Turkestan,
+since the Hsiung-nu had been obliged to withdraw. Kuang-wu Ti had had
+several frontier wars with the Hsiung-nu without any decisive result.
+But in the years around A.D. 45 the Hsiung-nu had suffered several
+severe droughts and also great plagues of locusts, so that they had lost
+a large part of their cattle. They were no longer able to assert
+themselves in Turkestan and at the same time to fight the Chinese in the
+south and the Hsien-pi and the Wu-huan in the east. These two peoples,
+apparently largely of Mongol origin, had been subject in the past to
+Hsiung-nu overlordship. They had spread steadily in the territories
+bordering Manchuria and Mongolia, beyond the eastern frontier of the
+Hsiung-nu empire. Living there in relative peace and at the same time in
+possession of very fertile pasturage, these two peoples had grown in
+strength. And since the great political collapse of 58 B.C. the
+Hsiung-nu had not only lost their best pasturage in the north of the
+provinces of Shensi and Shansi, but had largely grown used to living in
+co-operation with the Chinese. They had become much more accustomed to
+trade with China, exchanging animals for textiles and grain, than to
+warfare, so that in the end they were defeated by the Hsien-pi and
+Wu-huan, who had held to the older form of purely war-like nomad life.
+Weakened by famine and by the wars against Wu-huan and Hsien-pi, the
+Hsiung-nu split into two, one section withdrawing to the north.
+
+The southern Hsiung-nu were compelled to submit to the Chinese in order
+to gain security from their other enemies. Thus the Chinese were able to
+gain a great success without moving a finger: the Hsiung-nu, who for
+centuries had shown themselves again and again to be the most dangerous
+enemies of China, were reduced to political insignificance. About a
+hundred years earlier the Hsiung-nu empire had suffered defeat; now half
+of what remained of it became part of the Chinese state. Its place was
+taken by the Hsien-pi and Wu-huan, but at first they were of much less
+importance.
+
+In spite of the partition, the northern Hsiung-nu attempted in the years
+between A.D. 60 and 70 to regain a sphere of influence in Turkestan;
+this seemed the easier for them since the king of Yarkand had been
+captured and murdered, and Turkestan was more or less in a state of
+confusion. The Chinese did their utmost to play off the northern against
+the southern Hsiung-nu and to maintain a political balance of power in
+the west and north. So long as there were a number of small states in
+Turkestan, of which at least some were friendly to China, Chinese trade
+caravans suffered relatively little disturbance on their journeys.
+Independent states in Turkestan had proved more profitable for trade
+than when a large army of occupation had to be maintained there. When,
+however, there appeared to be the danger of a new union of the two
+parts of the Hsiung-nu as a restoration of a large empire also
+comprising all Turkestan, the Chinese trading monopoly was endangered.
+Any great power would secure the best goods for itself, and there would
+be no good business remaining for China.
+
+For these reasons a great Chinese campaign was undertaken against
+Turkestan in A.D. 73 under Tou Ku. Mainly owing to the ability of the
+Chinese deputy commander Pan Ch'ao, the whole of Turkestan was quickly
+conquered. Meanwhile the emperor Ming Ti (A.D. 58-75) had died, and under
+the new emperor Chang Ti (76-88) the "isolationist" party gained the
+upper hand against the clique of Tou Ku and Pan Ch'ao: the danger of the
+restoration of a Hsiung-nu empire, the isolationists contended, no
+longer existed; Turkestan should be left to itself; the small states
+would favour trade with China of their own accord. Meanwhile, a
+considerable part of Turkestan had fallen away from China, for Chang Ti
+sent neither money nor troops to hold the conquered territories. Pan
+Ch'ao nevertheless remained in Turkestan (at Kashgar and Khotan) where
+he held on amid countless difficulties. Although he reported (A.D. 78)
+that the troops could feed themselves in Turkestan and needed neither
+supplies nor money from home, no reinforcements of any importance were
+sent; only a few hundred or perhaps a thousand men, mostly released
+criminals, reached him. Not until A.D. 89 did the Pan Ch'ao clique
+return to power when the mother of the young emperor Ho Ti (89-105) took
+over the government during his minority: she was a member of the family
+of Tou Ku. She was interested in bringing to a successful conclusion the
+enterprise which had been started by members of her family and its
+followers. In addition, it can be shown that a number of other members
+of the "war party" had direct interests in the west, mainly in form of
+landed estates. Accordingly, a campaign was started in 89 under her
+brother against the northern Hsiung-nu, and it decided the fate of
+Turkestan in China's favour. Turkestan remained firmly in Chinese
+possession until the death of Pan Ch'ao in 102. Shortly afterwards heavy
+fighting broke out again: the Tanguts advanced from the south in an
+attempt to cut off Chinese access to Turkestan. The Chinese drove back
+the Tanguts and maintained their hold on Turkestan, though no longer
+absolutely.
+
+
+9 _Economic situation. Rebellion of the "Yellow Turbans". Collapse of
+the Han dynasty_
+
+The economic results of the Turkestan trade in this period were not so
+unfavourable as in the earlier Han period. The army of occupation was
+incomparably smaller, and under Pan Ch'ao's policy the soldiers were fed
+and paid in Turkestan itself, so that the cost to China remained small.
+Moreover, the drain on the national income was no longer serious
+because, in the intervening period, regular Chinese settlements had been
+planted in Turkestan including Chinese merchants, so that the trade no
+longer remained entirely in the hands of foreigners.
+
+In spite of the economic consolidation at the beginning of the Later Han
+dynasty, and in spite of the more balanced trade, the political
+situation within China steadily worsened from A.D. 80 onwards. Although
+the class of great landowners was small, a number of cliques formed
+within it, and their mutual struggle for power soon went beyond the
+limits of court intrigue. New actors now came upon the stage, namely the
+eunuchs. With the economic improvement there had been a general increase
+in the luxury at the court of the Han emperors, and the court steadily
+increased in size. The many hundred wives and concubines in the palace
+made necessary a great army of eunuchs. As they had the ear of the
+emperor and so could influence him, the eunuchs formed an important
+political factor. For a time the main struggle was between the group of
+eunuchs and the group of scholars. The eunuchs served a particular
+clique to which some of the emperor's wives belonged. The scholars, that
+is to say the ministers, together with members of the ministries and the
+administrative staff, served the interests of another clique. The
+struggles grew more and more sanguinary in the middle of the second
+century A.D. It soon proved that the group with the firmest hold in the
+provinces had the advantage, because it was not easy to control the
+provinces from a distance. The result was that, from about A.D. 150,
+events at court steadily lost importance, the lead being taken by the
+generals commanding the provincial troops. It would carry us too far to
+give the details of all these struggles. The provincial generals were at
+first Ts'ao Ts'ao, L� Pu, Y�an Shao, and Sun Ts'�; later came Liu Pei.
+All were striving to gain control of the government, and all were
+engaged in mutual hostilities from about 180 onwards. Each general was
+also trying to get the emperor into his hands. Several times the last
+emperor of the Later Han dynasty, Hsien Ti (190-220), was captured by
+one or another of the generals. As the successful general was usually
+unable to maintain his hold on the capital, he dragged the poor emperor
+with him from place to place until he finally had to give him up to
+another general. The point of this chase after the emperor was that
+according to the idea introduced earlier by Wang Mang the first ruler of
+a new dynasty had to receive the imperial seals from the last emperor
+of the previous dynasty. The last emperor must abdicate in proper form.
+Accordingly, each general had to get possession of the emperor to begin
+with, in order at the proper time to take over the seals.
+
+By about A.D. 200 the new conditions had more or less crystallized.
+There remained only three great parties. The most powerful was that of
+Ts'ao Ts'ao, who controlled the north and was able to keep permanent
+hold of the emperor. In the west, in the province of Szechwan, Liu Pei
+had established himself, and in the south-east Sun Ts'�'s brother.
+
+But we must not limit our view to these generals' struggles. At this
+time there were two other series of events of equal importance with
+those. The incessant struggles of the cliques against each other
+continued at the expense of the people, who had to fight them and pay
+for them. Thus, after A.D. 150 the distress of the country population
+grew beyond all limits. Conditions were as disastrous as in the time of
+Wang Mang. And once more, as then, a popular movement broke out, that of
+the so-called "Yellow Turbans". This was the first of the two important
+events. This popular movement had a characteristic which from now on
+became typical of all these risings of the people. The intellectual
+leaders of the movement, Chang Ling and others, were members of a
+particular religious sect. This sect was influenced by Iranian Mazdaism
+on the one side and by certain ideas from Lao Tzu; on the other side;
+and these influences were superimposed on popular rural as well as,
+perhaps, local tribal religious beliefs and superstitions. The sect had
+roots along the coastal settlements of Eastern China, where it seems to
+have gained the support of the peasantry and their local priests. These
+priests of the people were opposed to the representatives of the
+official religion, that is to say the officials drawn from the gentry.
+In small towns and villages the temples of the gods of the fruits of the
+field, of the soil, and so on, were administered by authorized local
+officials, and these officials also carried out the prescribed
+sacrifices. The old temples of the people were either done away with (we
+have many edicts of the Han period concerning the abolition of popular
+forms of religious worship), or their worship was converted into an
+official cult: the all-powerful gentry extended their domination over
+religion as well as all else. But the peasants regarded their local
+unauthorized priests as their natural leaders against the gentry and
+against gentry forms of religion. One branch, probably the main branch
+of this movement, developed a stronghold in Eastern Szechwan province,
+where its members succeeded to create a state of their own which
+retained its independence for a while. It is the only group which
+developed real religious communities in which men and women
+participated, extensive welfare schemes existed and class differences
+were discouraged. It had a real church organization with dioceses,
+communal friendship meals and a confession ritual; in short, real piety
+developed as it could not develop in the official religions. After the
+annihilation of this state, remnants of the organization can be traced
+through several centuries, mainly in central and south China. It may
+well be that the many "Taoistic" traits which can be found in the
+religions of late and present-day Mongolian and Tibetan tribes, can be
+derived from this movement of the Yellow Turbans.
+
+The rising of the Yellow Turbans began in 184; all parties, cliques and
+generals alike, were equally afraid of the revolutionaries, since these
+were a threat to the gentry as such, and so to all parties. Consequently
+a combined army of considerable size was got together and sent against
+the rebels. The Yellow Turbans were beaten.
+
+During these struggles it became evident that Ts'ao Ts'ao with his
+troops had become the strongest of all the generals. His troops seem to
+have consisted not of Chinese soldiers alone, but also of Hsiung-nu. It
+is understandable that the annals say nothing about this, and it can
+only be inferred from the facts. It appears that in order to reinforce
+their armies the generals recruited not only Chinese but foreigners. The
+generals operating in the region of the present-day Peking had soldiers
+of the Wu-huan and Hsien-pi, and even of the Ting-ling; Liu Pei, in the
+west, made use of Tanguts, and Ts'ao Ts'ao clearly went farthest of all
+in this direction; he seems to have been responsible for settling
+nineteen tribes of Hsiung-nu in the Chinese province of Shansi between
+180 and 200, in return for their armed aid. In this way Ts'ao Ts'ao
+gained permanent power in the empire by means of these troops, so that
+immediately after his death his son Ts'ao P'ei, with the support of
+powerful allied families, was able to force the emperor to abdicate and
+to found a new dynasty, the Wei dynasty (A.D. 220).
+
+This meant, however, that a part of China which for several centuries
+had been Chinese was given up to the Hsiung-nu. This was not, of course,
+what Ts'ao Ts'ao had intended; he had given the Hsiung-nu some area of
+pasturage in Shansi with the idea that they should be controlled and
+administered by the officials of the surrounding district. His plan had
+been similar to what the Chinese had often done with success: aliens
+were admitted into the territory of the empire in a body, but then the
+influence of the surrounding administrative centres was steadily
+extended over them, until the immigrants completely lost their own
+nationality and became Chinese. The nineteen tribes of Hsiung-nu,
+however, were much too numerous, and after the prolonged struggles in
+China the provincial administration proved much too weak to be able to
+carry out the plan. Thus there came into existence here, within China, a
+small Hsiung-nu realm ruled by several _shan-y�_. This was the second
+major development, and it became of the utmost importance to the history
+of the next four centuries.
+
+
+10 _Literature and Art_
+
+With the development of the new class of the gentry in the Han period,
+there was an increase in the number of those who were anxious to
+participate in what had been in the past an exclusively aristocratic
+possession--education. Thus it is by no mere chance that in this period
+many encyclopaedias were compiled. Encyclopaedias convey knowledge in an
+easily grasped and easily found form. The first compilation of this sort
+dates from the third century B.C. It was the work of L� Pu-wei, the
+merchant who was prime minister and regent during the minority of Shih
+Huang-ti. It contains general information concerning ceremonies,
+customs, historic events, and other things the knowledge of which was
+part of a general education. Soon afterwards other encyclopaedias
+appeared, of which the best known is the Book of the Mountains and Seas
+_(Shan Hai Ching)_. This book, arranged according to regions of the
+world, contains everything known at the time about geography, natural
+philosophy, and the animal and plant world, and also about popular
+myths. This tendency to systemization is shown also in the historical
+works. The famous _Shih Chi_, one of our main sources for Chinese
+history, is the first historical work of the modern type, that is to
+say, built up on a definite plan, and it was also the model for all
+later official historiography. Its author, Ssu-ma Ch'ien (born 135
+B.C.), and his father, made use of the material in the state archives
+and of private documents, old historical and philosophical books,
+inscriptions, and the results of their own travels. The philosophical
+and historical books of earlier times (with the exception of those of
+the nature of chronicles) consisted merely of a few dicta or reports of
+particular events, but the _Shih Chi_ is a compendium of a mass of
+source-material. The documents were abbreviated, but the text of the
+extracts was altered as little as possible, so that the general result
+retains in a sense the value of an original source. In its arrangement
+the _Shih Chi_ became a model for all later historians: the first part
+is in the form of annals, and there follow tables concerning the
+occupants of official posts and fiefs, and then biographies of various
+important personalities, though the type of the comprehensive biography
+did not appear till later. The _Shih Chi_ also, like later historical
+works, contains many monographs dealing with particular fields of
+knowledge, such as astronomy, the calendar, music, economics, official
+dress at court, and much else. The whole type of construction differs
+fundamentally from such works as those of Thucydides or Herodotus. The
+Chinese historical works have the advantage that the section of annals
+gives at once the events of a particular year, the monographs describe
+the development of a particular field of knowledge, and the biographical
+section offers information concerning particular personalities. The
+mental attitude is that of the gentry: shortly after the time of Ssu-ma
+Ch'ien an historical department was founded, in which members of the
+gentry worked as historians upon the documents prepared by
+representatives of the gentry in the various government offices.
+
+In addition to encyclopaedias and historical works, many books of
+philosophy were written in the Han period, but most of them offer no
+fundamentally new ideas. They were the product of the leisure of rich
+members of the gentry, and only three of them are of importance. One is
+the work of Tung Chung-shu, already mentioned. The second is a book by
+Liu An called _Huai-nan Tzu_. Prince Liu An occupied himself with Taoism
+and allied problems, gathered around him scholars of different schools,
+and carried on discussions with them. Many of his writings are lost, but
+enough is extant to show that he was one of the earliest Chinese
+alchemists. The question has not yet been settled, but it is probable
+that alchemy first appeared in China, together with the cult of the
+"art" of prolonging life, and was later carried to the West, where it
+flourished among the Arabs and in medieval Europe.
+
+The third important book of the Han period was the _Lun H�ng_ (Critique
+of Opinions) of Wang Ch'ung, which appeared in the first century of the
+Christian era. Wang Ch'ung advocated rational thinking and tried to pave
+the way for a free natural science, in continuation of the beginnings
+which the natural philosophers of the later Chou period had made. The
+book analyses reports in ancient literature and customs of daily life,
+and shows how much they were influenced by superstition and by ignorance
+of the facts of nature. From this attitude a modern science might have
+developed, as in Europe towards the end of the Middle Ages; but the
+gentry had every reason to play down this tendency which, with its
+criticism of all that was traditional, might have proceeded to an attack
+on the dominance of the gentry and their oppression especially of the
+merchants and artisans. It is fascinating to observe how it was the
+needs of the merchants and seafarers of Asia Minor and Greece that
+provided the stimulus for the growth of the classic sciences, and how on
+the contrary the growth of Chinese science was stifled because the
+gentry were so strongly hostile to commerce and navigation, though both
+had always existed.
+
+There were great literary innovations in the field of poetry. The
+splendour and elegance at the new imperial court of the Han dynasty
+attracted many poets who sang the praises of the emperor and his court
+and were given official posts and dignities. These praises were in the
+form of grandiloquent, overloaded poetry, full of strange similes and
+allusions, but with little real feeling. In contrast, the many women
+singers and dancers at the court, mostly slaves from southern China,
+introduced at the court southern Chinese forms of song and poem, which
+were soon adopted and elaborated by poets. Poems and dance songs were
+composed which belonged to the finest that Chinese poetry can show--full
+of natural feeling, simple in language, moving in content.
+
+Our knowledge of the arts is drawn from two sources--literature, and the
+actual discoveries in the excavations. Thus we know that most of the
+painting was done on silk, of which plenty came into the market through
+the control of silk-producing southern China. Paper had meanwhile been
+invented in the second century B.C., by perfecting the techniques of
+making bark-cloth and felt. Unfortunately nothing remains of the actual
+works that were the first examples of what the Chinese everywhere were
+beginning to call "art". "People", that is to say the gentry, painted as
+a social pastime, just as they assembled together for poetry,
+discussion, or performances of song and dance; they painted as an
+aesthetic pleasure and rarely as a means of earning. We find philosophic
+ideas or greetings, emotions, and experiences represented by
+paintings--paintings with fanciful or ideal landscapes; paintings
+representing life and environment of the cultured class in idealized
+form, never naturalistic either in fact or in intention. Until recently
+it was an indispensable condition in the Chinese view that an artist
+must be "cultured" and be a member of the gentry--distinguished,
+unoccupied, wealthy. A man who was paid for his work, for instance for a
+portrait for the ancestral cult, was until late time regarded as a
+craftsman, not as an artist. Yet, these "craftsmen" have produced in Han
+time and even earlier, many works which, in our view, undoubtedly belong
+to the realm of art. In the tombs have been found reliefs whose
+technique is generally intermediate between simple outline engraving and
+intaglio. The lining-in is most frequently executed in scratched lines.
+The representations, mostly in strips placed one above another, are of
+lively historical scenes, scenes from the life of the dead, great ritual
+ceremonies, or adventurous scenes from mythology. Bronze vessels have
+representations in inlaid gold and silver, mostly of animals. The most
+important documents of the painting of the Han period have also been
+found in tombs. We see especially ladies and gentlemen of society, with
+richly ornamented, elegant, expensive clothing that is very reminiscent
+of the clothing customary to this day in Japan. There are also artistic
+representations of human figures on lacquer caskets. While sculpture was
+not strongly developed, the architecture of the Han must have been
+magnificent and technically highly complex. Sculpture and temple
+architecture received a great stimulus with the spread of Buddhism in
+China. According to our present knowledge, Buddhism entered China from
+the south coast and through Central Asia at latest in the first century
+B.C.; it came with foreign merchants from India or Central Asia.
+According to Indian customs, Brahmans, the Hindu caste providing all
+Hindu priests, could not leave their homes. As merchants on their trips
+which lasted often several years, did not want to go without religious
+services, they turned to Buddhist priests as well as to priests of Near
+Eastern religions. These priests were not prevented from travelling and
+used this opportunity for missionary purposes. Thus, for a long time
+after the first arrival of Buddhists, the Buddhist priests in China were
+foreigners who served foreign merchant colonies. The depressed
+conditions of the people in the second century A.D. drove members of the
+lower classes into their arms, while the parts of Indian science which
+these priests brought with them from India aroused some interest in
+certain educated circles. Buddhism, therefore, undeniably exercised an
+influence at the end of the Han dynasty, although no Chinese were
+priests and few, if any, gentry members were adherents of the religious
+teachings.
+
+With the end of the Han period a further epoch of Chinese history comes
+to its close. The Han period was that of the final completion and
+consolidation of the social order of the gentry. The period that
+followed was that of the conflicts of the Chinese with the populations
+on their northern borders.
+
+
+
+
+Chapter Seven
+
+THE EPOCH OF THE FIRST DIVISION OF CHINA (A.D. 220-580)
+
+
+
+(A) The three kingdoms (220-265)
+
+
+1 _Social, intellectual, and economic problems during the first
+division_
+
+The end of the Han period was followed by the three and a half centuries
+of the first division of China into several kingdoms, each with its own
+dynasty. In fact, once before during the period of the Contending
+States, China had been divided into a number of states, but at least in
+theory they had been subject to the Chou dynasty, and none of the
+contending states had made the claim to be the legitimate ruler of all
+China. In this period of the "first division" several states claimed to
+be legitimate rulers, and later Chinese historians tried to decide which
+of these had "more right" to this claim. At the outset (220-280) there
+were three kingdoms (Wei, Wu, Shu Han); then came an unstable reunion
+during twenty-seven years (280-307) under the rule of the Western Chin.
+This was followed by a still sharper division between north and south:
+while a wave of non-Chinese nomad dynasties poured over the north, in
+the south one Chinese clique after another seized power, so that dynasty
+followed dynasty until finally, in 580, a united China came again into
+existence, adopting the culture of the north and the traditions of the
+gentry.
+
+In some ways, the period from 220 to 580 can be compared with the period
+of the coincidentally synchronous breakdown of the Roman Empire: in both
+cases there was no great increase in population, although in China
+perhaps no over-all decrease in population as in the Roman Empire;
+decrease occurred, however, in the population of the great Chinese
+cities, especially of the capital; furthermore we witness, in both
+empires, a disorganization of the monetary system, i.e. in China the
+reversal to a predominance of natural economy after some 400 years of
+money economy. Yet, this period cannot be simply dismissed as a
+transition period, as was usually done by the older European works on
+China. The social order of the gentry, whose birth and development
+inside China we followed, had for the first time to defend itself
+against views and systems entirely opposed to it; for the Turkish and
+Mongol peoples who ruled northern China brought with them their
+traditions of a feudal nobility with privileges of birth and all that
+they implied. Thus this period, socially regarded, is especially that of
+the struggle between the Chinese gentry and the northern nobility, the
+gentry being excluded at first as a direct political factor in the
+northern and more important part of China. In the south the gentry
+continued in the old style with a constant struggle between cliques, the
+only difference being that the class assumed a sort of "colonial"
+character through the formation of gigantic estates and through
+association with the merchant class.
+
+To throw light on the scale of events, we need to have figures of
+population. There are no figures for the years around A.D. 220, and we
+must make do with those of 140; but in order to show the relative
+strength of the three states it is the ratio between the figures that
+matters. In 140 the regions which later belonged to Wei had roughly
+29,000,000 inhabitants; those later belonging to Wu had 11,700,000;
+those which belonged later to Shu Han had a bare 7,500,000. (The figures
+take no account of the primitive native population, which was not yet
+included in the taxation lists.) The Hsiung-nu formed only a small part
+of the population, as there were only the nineteen tribes which had
+abandoned one of the parts, already reduced, of the Hsiung-nu empire.
+The whole Hsiung-nu empire may never have counted more than some
+3,000,000. At the time when the population of what became the Wei
+territory totalled 29,000,000 the capital with its immediate environment
+had over a million inhabitants. The figure is exclusive of most of the
+officials and soldiers, as these were taxable in their homes and so were
+counted there. It is clear that this was a disproportionate
+concentration round the capital.
+
+It was at this time that both South and North China felt the influence
+of Buddhism, which until A.D. 220 had no more real effect on China than
+had, for instance, the penetration of European civilization between 1580
+and 1842. Buddhism offered new notions, new ideals, foreign science, and
+many other elements of culture, with which the old Chinese philosophy
+and science had to contend. At the same time there came with Buddhism
+the first direct knowledge of the great civilized countries west of
+China. Until then China had regarded herself as the only existing
+civilized country, and all other countries had been regarded as
+barbaric, for a civilized country was then taken to mean a country with
+urban industrial crafts and agriculture. In our present period, however,
+China's relations with the Middle East and with southern Asia were so
+close that the existence of civilized countries outside China had to be
+admitted. Consequently, when alien dynasties ruled in northern China and
+a new high civilization came into existence there, it was impossible to
+speak of its rulers as barbarians any longer. Even the theory that the
+Chinese emperor was the Son of Heaven and enthroned at the centre of the
+world was no longer tenable. Thus a vast widening of China's
+intellectual horizon took place.
+
+Economically, our present period witnessed an adjustment in South China
+between the Chinese way of life, which had penetrated from the north,
+and that of the natives of the south. Large groups of Chinese had to
+turn over from wheat culture in dry fields to rice culture in wet
+fields, and from field culture to market gardening. In North China the
+conflict went on between Chinese agriculture and the cattle breeding of
+Central Asia. Was the will of the ruler to prevail and North China to
+become a country of pasturage, or was the country to keep to the
+agrarian tradition of the people under this rule? The Turkish and Mongol
+conquerors had recently given up their old supplementary agriculture and
+had turned into pure nomads, obtaining the agricultural produce they
+needed by raiding or trade. The conquerors of North China were now faced
+with a different question: if they were to remain nomads, they must
+either drive the peasants into the south, or make them into slave
+herdsmen, or exterminate them. There was one more possibility: they
+might install themselves as a ruling upper class, as nobles over the
+subjugated native peasants. The same question was faced much later by
+the Mongols, and at first they answered it differently from the peoples
+of our present period. Only by attention to this problem shall we be in
+a position to explain why the rule of the Turkish peoples did not last,
+why these peoples were gradually absorbed and disappeared.
+
+
+2 _Status of the two southern Kingdoms_
+
+When the last emperor of the Han period had to abdicate in favour of
+Ts'ao P'ei and the Wei dynasty began, China was in no way a unified
+realm. Almost immediately, in 221, two other army commanders, who had
+long been independent, declared themselves emperors. In the south-west
+of China, in the present province of Szechwan, the Shu Han dynasty was
+founded in this way, and in the south-east, in the region of the present
+Nanking, the Wu dynasty.
+
+The situation of the southern kingdom of Shu Han (221-263) corresponded
+more or less to that of the Chungking r�gime in the Second World War.
+West of it the high Tibetan mountains towered up; there was very little
+reason to fear any major attack from that direction. In the north and
+east the realm was also protected by difficult mountain country. The
+south lay relatively open, but at that time there were few Chinese
+living there, but only natives with a relatively low civilization. The
+kingdom could only be seriously attacked from two corners--through the
+north-west, where there was a negotiable plateau, between the Ch'in-ling
+mountains in the north and the Tibetan mountains in the west, a plateau
+inhabited by fairly highly developed Tibetan tribes; and secondly
+through the south-east corner, where it would be possible to penetrate
+up the Yangtze. There was in fact incessant fighting at both these
+dangerous corners.
+
+Economically, Shu Han was not in a bad position. The country had long
+been part of the Chinese wheat lands, and had a fairly large Chinese
+peasant population in the well irrigated plain of Ch'engtu. There was
+also a wealthy merchant class, supplying grain to the surrounding
+mountain peoples and buying medicaments and other profitable Tibetan
+products. And there were trade routes from here through the present
+province of Y�nnan to India.
+
+Shu Han's difficulty was that its population was not large enough to be
+able to stand against the northern State of Wei; moreover, it was
+difficult to carry out an offensive from Shu Han, though the country
+could defend itself well. The first attempt to find a remedy was a
+campaign against the native tribes of the present Y�nnan. The purpose of
+this was to secure man-power for the army and also slaves for sale; for
+the south-west had for centuries been a main source for traffic in
+slaves. Finally it was hoped to gain control over the trade to India.
+All these things were intended to strengthen Shu Han internally, but in
+spite of certain military successes they produced no practical result,
+as the Chinese were unable in the long run to endure the climate or to
+hold out against the guerrilla tactics of the natives. Shu Han tried to
+buy the assistance of the Tibetans and with their aid to carry out a
+decisive attack on Wei, whose dynastic legitimacy was not recognized by
+Shu Han. The ruler of Shu Han claimed to be a member of the imperial
+family of the deposed Han dynasty, and therefore to be the rightful,
+legitimate ruler over China. His descent, however, was a little
+doubtful, and in any case it depended on a link far back in the past.
+Against this the Wei of the north declared that the last ruler of the
+Han dynasty had handed over to them with all due form the seals of the
+state and therewith the imperial prerogative. The controversy was of no
+great practical importance, but it played a big part in the Chinese
+Confucianist school until the twelfth century, and contributed largely
+to a revision of the old conceptions of legitimacy.
+
+The political plans of Shu Han were well considered and far-seeing. They
+were evolved by the premier, a man from Shantung named Chu-ko Liang; for
+the ruler died in 226 and his successor was still a child. But Chu-ko
+Liang lived only for a further eight years, and after his death in 234
+the decline of Shu Han began. Its political leaders no longer had a
+sense of what was possible. Thus Wei inflicted several defeats on Shu
+Han, and finally subjugated it in 263.
+
+The situation of the state of Wu was much less favourable than that of
+Shu Han, though this second southern kingdom lasted from 221 to 280. Its
+country consisted of marshy, water-logged plains, or mountains with
+narrow valleys. Here Tai peoples had long cultivated their rice, while
+in the mountains Yao tribes lived by hunting and by simple agriculture.
+Peasants immigrating from the north found that their wheat and pulse did
+not thrive here, and slowly they had to gain familiarity with rice
+cultivation. They were also compelled to give up their sheep and cattle
+and in their place to breed pigs and water buffaloes, as was done by the
+former inhabitants of the country. The lower class of the population was
+mainly non-Chinese; above it was an upper class of Chinese, at first
+relatively small, consisting of officials, soldiers, and merchants in a
+few towns and administrative centres. The country was poor, and its only
+important economic asset was the trade in metals, timber, and other
+southern products; soon there came also a growing overseas trade with
+India and the Middle East, bringing revenues to the state in so far as
+the goods were re-exported from Wu to the north.
+
+Wu never attempted to conquer the whole of China, but endeavoured to
+consolidate its own difficult territory with a view to building up a
+state on a firm foundation. In general, Wu played mainly a passive part
+in the incessant struggles between the three kingdoms, though it was
+active in diplomacy. The Wu kingdom entered into relations with a man
+who in 232 had gained control of the present South Manchuria and shortly
+afterwards assumed the title of king. This new ruler of "Yen", as he
+called his kingdom, had determined to attack the Wei dynasty, and hoped,
+by putting pressure on it in association with Wu, to overrun Wei from
+north and south. Wei answered this plan very effectively by recourse to
+diplomacy and it began by making Wu believe that Wu had reason to fear
+an attack from its western neighbour Shu Han. A mission was also
+dispatched from Wei to negotiate with Japan. Japan was then emerging
+from its stone age and introducing metals; there were countless small
+principalities and states, of which the state of Yamato, then ruled by a
+queen, was the most powerful. Yamato had certain interests in Korea,
+where it already ruled a small coastal strip in the east. Wei offered
+Yamato the prospect of gaining the whole of Korea if it would turn
+against the state of Yen in South Manchuria. Wu, too, had turned to
+Japan, but the negotiations came to nothing, since Wu, as an ally of
+Yen, had nothing to offer. The queen of Yamato accordingly sent a
+mission to Wei; she had already decided in favour of that state. Thus
+Wei was able to embark on war against Yen, which it annihilated in 237.
+This wrecked Wu's diplomatic projects, and no more was heard of any
+ambitious plans of the kingdom of Wu.
+
+The two southern states had a common characteristic: both were
+condottiere states, not built up from their own population but conquered
+by generals from the north and ruled for a time by those generals and
+their northern troops. Natives gradually entered these northern armies
+and reduced their percentage of northerners, but a gulf remained between
+the native population, including its gentry, and the alien military
+rulers. This reduced the striking power of the southern states.
+
+On the other hand, this period had its positive element. For the first
+time there was an emperor in south China, with all the organization that
+implied. A capital full of officials, eunuchs, and all the satellites of
+an imperial court provided incentives to economic advance, because it
+represented a huge market. The peasants around it were able to increase
+their sales and grew prosperous. The increased demand resulted in an
+increase of tillage and a thriving trade. Soon the transport problem had
+to be faced, as had happened long ago in the north, and new means of
+transport, especially ships, were provided, and new trade routes opened
+which were to last far longer than the three kingdoms; on the other
+hand, the costs of transport involved fresh taxation burdens for the
+population. The skilled staff needed for the business of administration
+came into the new capital from the surrounding districts, for the
+conquerors and new rulers of the territory of the two southern dynasties
+had brought with them from the north only uneducated soldiers and
+almost equally uneducated officers. The influx of scholars and
+administrators into the chief cities produced cultural and economic
+centres in the south, a circumstance of great importance to China's
+later development.
+
+
+3 _The northern State of Wei_
+
+The situation in the north, in the state of Wei (220-265) was anything
+but rosy. Wei ruled what at that time were the most important and
+richest regions of China, the plain of Shensi in the west and the great
+plain east of Loyang, the two most thickly populated areas of China. But
+the events at the end of the Han period had inflicted great economic
+injury on the country. The southern and south-western parts of the Han
+empire had been lost, and though parts of Central Asia still gave
+allegiance to Wei, these, as in the past, were economically more of a
+burden than an asset, because they called for incessant expenditure. At
+least the trade caravans were able to travel undisturbed from and to
+China through Turkestan. Moreover, the Wei kingdom, although much
+smaller than the empire of the Han, maintained a completely staffed
+court at great expense, because the rulers, claiming to rule the whole
+of China, felt bound to display more magnificence than the rulers of the
+southern dynasties. They had also to reward the nineteen tribes of the
+Hsiung-nu in the north for their military aid, not only with cessions of
+land but with payments of money. Finally, they would not disarm but
+maintained great armies for the continual fighting against the southern
+states. The Wei dynasty did not succeed, however, in closely
+subordinating the various army commanders to the central government.
+Thus the commanders, in collusion with groups of the gentry, were able
+to enrich themselves and to secure regional power. The inadequate
+strength of the central government of Wei was further undermined by the
+rivalries among the dominant gentry. The imperial family (Ts'ao Pei, who
+reigned from 220 to 226, had taken as emperor the name of Wen Ti) was
+descended from one of the groups of great landowners that had formed in
+the later Han period. The nucleus of that group was a family named
+Ts'ui, of which there is mention from the Han period onward and which
+maintained its power down to the tenth century; but it remained in the
+background and at first held entirely aloof from direct intervention in
+high policy. Another family belonging to this group was the Hsia-hou
+family which was closely united to the family of Wen Ti by adoption; and
+very soon there was also the Ssu-ma family. Quite naturally Wen Ti, as
+soon as he came into power, made provision for the members of these
+powerful families, for only thanks to their support had he been able to
+ascend the throne and to maintain his hold on the throne. Thus we find
+many members of the Hsia-hou and Ssu-ma families in government
+positions. The Ssu-ma family especially showed great activity, and at
+the end of Wen Ti's reign their power had so grown that a certain Ssu-ma
+I was in control of the government, while the new emperor Ming Ti
+(227-233) was completely powerless. This virtually sealed the fate of
+the Wei dynasty, so far as the dynastic family was concerned. The next
+emperor was installed and deposed by the Ssu-ma family; dissensions
+arose within the ruling family, leading to members of the family
+assassinating one another. In 264 a member of the Ssu-ma family declared
+himself king; when he died and was succeeded by his son Ssu-ma Yen, the
+latter, in 265, staged a formal act of renunciation of the throne of the
+Wei dynasty and made himself the first ruler of the new Chin dynasty.
+There is nothing to gain by detailing all the intrigues that led up to
+this event: they all took place in the immediate environment of the
+court and in no way affected the people, except that every item of
+expenditure, including all the bribery, had to come out of the taxes
+paid by the people.
+
+With such a situation at court, with the bad economic situation in the
+country, and with the continual fighting against the two southern
+states, there could be no question of any far-reaching foreign policy.
+Parts of eastern Turkestan still showed some measure of allegiance to
+Wei, but only because at the time it had no stronger opponent. The
+Hsiung-nu beyond the frontier were suffering from a period of depression
+which was at the same time a period of reconstruction. They were
+beginning slowly to form together with Mongol elements a new unit, the
+Juan-juan, but at this time were still politically inactive. The
+nineteen tribes within north China held more and more closely together
+as militarily organized nomads, but did not yet represent a military
+power and remained loyal to the Wei. The only important element of
+trouble seems to have been furnished by the Hsien-pi tribes, who had
+joined with Wu-huan tribes and apparently also with vestiges of the
+Hsiung-nu in eastern Mongolia, and who made numerous raids over the
+frontier into the Wei empire. The state of Yen, in southern Manchuria,
+had already been destroyed by Wei in 238 thanks to Wei's good relations
+with Japan. Loose diplomatic relations were maintained with Japan in the
+period that followed; in that period many elements of Chinese
+civilization found their way into Japan and there, together with
+settlers from many parts of China, helped to transform the culture of
+ancient Japan.
+
+
+
+(B) The Western Chin dynasty (A.D. 265-317)
+
+
+1 _Internal situation in the Chin empire_
+
+The change of dynasty in the state of Wei did not bring any turn in
+China's internal history. Ssu-ma Yen, who as emperor was called Wu Ti
+(265-289), had come to the throne with the aid of his clique and his
+extraordinarily large and widely ramified family. To these he had to
+give offices as reward. There began at court once more the same
+spectacle as in the past, except that princes of the new imperial family
+now played a greater part than under the Wei dynasty, whose ruling house
+had consisted of a small family. It was now customary, in spite of the
+abolition of the feudal system, for the imperial princes to receive
+large regions to administer, the fiscal revenues of which represented
+their income. The princes were not, however, to exercise full authority
+in the style of the former feudal lords: their courts were full of
+imperial control officials. In the event of war it was their duty to
+come forward, like other governors, with an army in support of the
+central government. The various Chin princes succeeded, however, in
+making other governors, beyond the frontiers of their regions, dependent
+on them. Also, they collected armies of their own independently of the
+central government and used those armies to pursue personal policies.
+The members of the families allied with the ruling house, for their
+part, did all they could to extend their own power. Thus the first ruler
+of the dynasty was tossed to and fro between the conflicting interests
+and was himself powerless. But though intrigue was piled on intrigue,
+the ruler who, of course, himself had come to the head of the state by
+means of intrigues, was more watchful than the rulers of the Wei dynasty
+had been, and by shrewd counter-measures he repeatedly succeeded in
+playing off one party against another, so that the dynasty remained in
+power. Numerous widespread and furious risings nevertheless took place,
+usually led by princes. Thus during this period the history of the
+dynasty was of an extraordinarily dismal character.
+
+In spite of this, the Chin troops succeeded in overthrowing the second
+southern state, that of Wu (A.D. 280), and in so restoring the unity of
+the empire, the Shu Han realm having been already conquered by the Wei.
+After the destruction of Wu there remained no external enemy that
+represented a potential danger, so that a general disarmament was
+decreed (280) in order to restore a healthy economic and financial
+situation. This disarmament applied, of course, to the troops directly
+under the orders of the dynasty, namely the troops of the court and the
+capital and the imperial troops in the provinces. Disarmament could
+not, however, be carried out in the princes' regions, as the princes
+declared that they needed personal guards. The dismissal of the troops
+was accompanied by a decree ordering the surrender of arms. It may be
+assumed that the government proposed to mint money with the metal of the
+weapons surrendered, for coin (the old coin of the Wei dynasty) had
+become very scarce; as we indicated previously, money had largely been
+replaced by goods so that, for instance, grain and silks were used for
+the payment of salaries. China, from _c_. 200 A.D. on until the eighth
+century, remained in a period of such partial "natural economy".
+
+Naturally the decree for the surrender of weapons remained a
+dead-letter. The discharged soldiers kept their weapons at first and
+then preferred to sell them. A large part of them was acquired by the
+Hsiung-nu and the Hsien-pi in the north of China; apparently they
+usually gave up land in return. In this way many Chinese soldiers,
+though not all by any means, went as peasants to the regions in the
+north of China and beyond the frontier. They were glad to do so, for the
+Hsiung-nu and the Hsien-pi had not the efficient administration and
+rigid tax collection of the Chinese; and above all, they had no great
+landowners who could have organized the collection of taxes. For their
+part, the Hsiung-nu and the Hsien-pi had no reason to regret this
+immigration of peasants, who could provide them with the farm produce
+they needed. And at the same time they were receiving from them large
+quantities of the most modern weapons.
+
+This ineffective disarmament was undoubtedly the most pregnant event of
+the period of the western Chin dynasty. The measure was intended to save
+the cost of maintaining the soldiers and to bring them back to the land
+as peasants (and taxpayers); but the discharged men were not given land
+by the government. The disarmament achieved nothing, not even the
+desired increase in the money in circulation; what did happen was that
+the central government lost all practical power, while the military
+strength both of the dangerous princes within the country and also of
+the frontier people was increased. The results of these mistaken
+measures became evident at once and compelled the government to arm
+anew.
+
+
+2 _Effect on the frontier peoples_
+
+Four groups of frontier peoples drew more or less advantage from the
+demobilization law--the people of the Toba, the Tibetans, and the
+Hsien-pi in the north, and the nineteen tribes of the Hsiung-nu within
+the frontiers of the empire. In the course of time all sorts of
+complicated relations developed among those ascending peoples as well
+as between them and the Chinese.
+
+The Toba (T'o-pa) formed a small group in the north of the present
+province of Shansi, north of the city of Tat'ungfu, and they were about
+to develop their small state. They were primarily of Turkish origin, but
+had absorbed many tribes of the older Hsiung-nu and the Hsien-pi. In
+considering the ethnical relationships of all these northern peoples we
+must rid ourselves of our present-day notions of national unity. Among
+the Toba there were many Turkish tribes, but also Mongols, and probably
+a Tungus tribe, as well as perhaps others whom we cannot yet analyse.
+These tribes may even have spoken different languages, much as later not
+only Mongol but also Turkish was spoken in the Mongol empire. The
+political units they formed were tribal unions, not national states.
+
+Such a union or federation can be conceived of, structurally, as a cone.
+At the top point of the cone there was the person of the ruler of the
+federation. He was a member of the leading family or clan of the leading
+tribe (the two top layers of the cone). If we speak of the Toba as of
+Turkish stock, we mean that according to our present knowledge, this
+leading tribe (_a_) spoke a language belonging to the Turkish language
+family and (_b_) exhibited a pattern of culture which belonged to the
+type called above in Chapter One as "North-western Culture". The next
+layer of the cone represented the "inner circle of tribes", i.e. such
+tribes as had joined with the leading tribe at an early moment. The
+leading family of the leading tribe often took their wives from the
+leading families of the "inner tribes", and these leaders served as
+advisors and councillors to the leader of the federation. The next lower
+layer consisted of the "outer tribes", i.e. tribes which had joined the
+federation only later, often under strong pressure; their number was
+always much larger than the number of the "inner tribes", but their
+political influence was much weaker. Every layer below that of the
+"outer tribes" was regarded as inferior and more or less "unfree". There
+was many a tribe which, as a tribe, had to serve a free tribe; and there
+were others who, as tribes, had to serve the whole federation. In
+addition, there were individuals who had quit or had been forced to quit
+their tribe or their home and had joined the federation leader as his
+personal "bondsmen"; further, there were individual slaves and, finally,
+there were the large masses of agriculturists who had been conquered by
+the federation. When such a federation was dissolved, by defeat or inner
+dissent, individual tribes or groups of tribes could join a new
+federation or could resume independent life.
+
+Typically, such federations exhibited two tendencies. In the case of the
+Hsiung-nu we indicated already previously that the leader of the
+federation repeatedly attempted to build up a kind of bureaucratic
+system, using his bondsmen as a nucleus. A second tendency was to
+replace the original tribal leaders by members of the family of the
+federation leader. If this initial step, usually first taken when "outer
+tribes" were incorporated, was successful, a reorganization was
+attempted: instead of using tribal units in war, military units on the
+basis of "Groups of Hundred", "Groups of Thousand", etc., were created
+and the original tribes were dissolved into military regiments. In the
+course of time, and especially at the time of the dissolution of a
+federation, these military units had gained social coherence and
+appeared to be tribes again; we are probably correct in assuming that
+all "tribes" which we find from this time on were already "secondary"
+tribes of this type. A secondary tribe often took its name from its
+leader, but it could also revive an earlier "primary tribe" name.
+
+The Toba represented a good example for this "cone" structure of
+pastoral society. Also the Hsiung-nu of this time seem to have had a
+similar structure. Incidentally, we will from now on call the Hsiung-nu
+"Huns" because Chinese sources begin to call them "Hu", a term which
+also had a more general meaning (all non-Chinese in the north and west
+of China) as well as a more special meaning (non-Chinese in Central Asia
+and India).
+
+The Tibetans fell apart into two sub-groups, the Ch'iang and the Ti.
+Both names appeared repeatedly as political conceptions, but the
+Tibetans, like all other state-forming groups of peoples, sheltered in
+their realms countless alien elements. In the course of the third and
+second centuries B.C. the group of the Ti, mainly living in the
+territory of the present Szechwan, had mixed extensively with remains of
+the Y�eh-chih; the others, the Ch'iang, were northern Tibetans or
+so-called Tanguts; that is to say, they contained Turkish and Mongol
+elements. In A.D. 296 there began a great rising of the Ti, whose leader
+Ch'i Wan-nien took on the title emperor. The Ch'iang rose with them, but
+it was not until later, from 312, that they pursued an independent
+policy. The Ti State, however, though it had a second emperor, very soon
+lost importance, so that we shall be occupied solely with the Ch'iang.
+
+As the tribal structure of Tibetan groups was always weak and as
+leadership developed among them only in times of war, their states
+always show a military rather than a tribal structure, and the
+continuation of these states depended strongly upon the personal
+qualities of their leaders. Incidentally, Tibetans fundamentally were
+sheep-breeders and not horse-breeders and, therefore, they always
+showed inclination to incorporate infantry into their armies. Thus,
+Tibetan states differed strongly from the aristocratically organized
+"Turkish" states as well as from the tribal, non-aristocratic "Mongol"
+states of that period.
+
+The Hsien-pi, according to our present knowledge, were under "Mongol"
+leadership, i.e. we believe that the language of the leading group
+belonged to the family of Mongolian languages and that their culture
+belonged to the type described above as "Northern culture". They had, in
+addition, a strong admixture of Hunnic tribes. Throughout the period
+during which they played a part in history, they never succeeded in
+forming any great political unit, in strong contrast to the Huns, who
+excelled in state formation. The separate groups of the Hsien-pi pursued
+a policy of their own; very frequently Hsien-pi fought each other, and
+they never submitted to a common leadership. Thus their history is
+entirely that of small groups. As early as the Wei period there had been
+small-scale conflicts with the Hsien-pi tribes, and at times the tribes
+had had some success. The campaigns of the Hsien-pi against North China
+now increased, and in the course of them the various tribes formed
+firmer groupings, among which the Mu-jung tribes played a leading part.
+In 281, the year after the demobilization law, this group marched south
+into China, and occupied the region round Peking. After fierce fighting,
+in which the Mu-jung section suffered heavy losses, a treaty was signed
+in 289, under which the Mu-jung tribe of the Hsien-pi recognized Chinese
+overlordship. The Mu-jung were driven to this step mainly because they
+had been continually attacked from southern Manchuria by another
+Hsien-pi tribe, the Y�-wen, the tribe most closely related to them. The
+Mu-jung made use of the period of their so-called subjection to organize
+their community in North China.
+
+South of the Toba were the nineteen tribes of the Hsiung-nu or Huns, as
+we are now calling them. Their leader in A.D. 287, Liu Y�an, was one of
+the principal personages of this period. His name is purely Chinese, but
+he was descended from the Hun _shan-y�_, from the family and line of Mao
+Tun. His membership of that long-famous noble line and old ruling family
+of Huns gave him a prestige which he increased by his great organizing
+ability.
+
+
+3 _Struggles for the throne_
+
+We shall return to Liu Y�an later; we must now cast another glance at
+the official court of the Chin. In that court a family named Yang had
+become very powerful, a daughter of this family having become empress.
+When, however, the emperor died, the wife of the new emperor Hui Ti
+(290-306) secured the assassination of the old empress Yang and of her
+whole family. Thus began the rule at court of the Chia family. In 299
+the Chia family got rid of the heir to the throne, to whom they
+objected, assassinating this prince and another one. This event became
+the signal for large-scale activity on the part of the princes, each of
+whom was supported by particular groups of families. The princes had not
+complied with the disarmament law of 280 and so had become militarily
+supreme. The generals newly appointed in the course of the imperial
+rearmament at once entered into alliance with the princes, and thus were
+quite unreliable as officers of the government. Both the generals and
+the princes entered into agreements with the frontier peoples to assure
+their aid in the struggle for power. The most popular of these
+auxiliaries were the Hsien-pi, who were fighting for one of the princes
+whose territory lay in the east. Since the Toba were the natural enemies
+of the Hsien-pi, who were continually contesting their hold on their
+territory, the Toba were always on the opposite side to that supported
+by the Hsien-pi, so that they now supported generals who were ostensibly
+loyal to the government. The Huns, too, negotiated with several generals
+and princes and received tempting offers. Above all, all the frontier
+peoples were now militarily well equipped, continually receiving new war
+material from the Chinese who from time to time were co-operating with
+them.
+
+In A.D. 300 Prince Lun assassinated the empress Chia and removed her
+group. In 301 he made himself emperor, but in the same year he was
+killed by the prince of Ch'i. This prince was killed in 302 by the
+prince of Ch'ang-sha, who in turned was killed in 303 by the prince of
+Tung-hai. The prince of Ho-chien rose in 302 and was killed in 306; the
+prince of Ch'engtu rose in 303, conquered the capital in 305, and then,
+in 306, was himself removed. I mention all these names and dates only to
+show the disunion within the ruling groups.
+
+
+4 _Migration of Chinese_
+
+All these struggles raged round the capital, for each of the princes
+wanted to secure full power and to become emperor. Thus the border
+regions remained relatively undisturbed. Their population suffered much
+less from the warfare than the unfortunate people in the neighbourhood
+of the central government. For this reason there took place a mass
+migration of Chinese from the centre of the empire to its periphery.
+This process, together with the shifting of the frontier peoples, is one
+of the most important events of that epoch. A great number of Chinese
+migrated especially into the present province of Kansu, where a governor
+who had originally been sent there to fight the Hsien-pi had created a
+sort of paradise by his good administration and maintenance of peace.
+The territory ruled by this Chinese, first as governor and then in
+increasing independence, was surrounded by Hsien-pi, Tibetans, and other
+peoples, but thanks to the great immigration of Chinese and to its
+situation on the main caravan route to Turkestan, it was able to hold
+its own, to expand, and to become prosperous.
+
+Other groups of Chinese peasants migrated southwards into the
+territories of the former state of Wu. A Chinese prince of the house of
+the Chin was ruling there, in the present Nanking. His purpose was to
+organize that territory, and then to intervene in the struggles of the
+other princes. We shall meet him again at the beginning of the Hun rule
+over North China in 317, as founder and emperor of the first south
+Chinese dynasty, which was at once involved in the usual internal and
+external struggles. For the moment, however, the southern region was
+relatively at peace, and was accordingly attracting settlers.
+
+Finally, many Chinese migrated northward, into the territories of the
+frontier peoples, not only of the Hsien-pi but especially of the Huns.
+These alien peoples, although in the official Chinese view they were
+still barbarians, at least maintained peace in the territories they
+ruled, and they left in peace the peasants and craftsmen who came to
+them, even while their own armies were involved in fighting inside
+China. Not only peasants and craftsmen came to the north but more and
+more educated persons. Members of families of the gentry that had
+suffered from the fighting, people who had lost their influence in
+China, were welcomed by the Huns and appointed teachers and political
+advisers of the Hun nobility.
+
+
+5 _Victory of the Huns. The Hun Han dynasty (later renamed the Earlier
+Chao dynasty)_
+
+With its self-confidence thus increased, the Hun council of nobles
+declared that in future the Huns should no longer fight now for one and
+now for another Chinese general or prince. They had promised loyalty to
+the Chinese emperor, but not to any prince. No one doubted that the
+Chinese emperor was a complete nonentity and no longer played any part
+in the struggle for power. It was evident that the murders would
+continue until one of the generals or princes overcame the rest and made
+himself emperor. Why should not the Huns have the same right? Why should
+not they join in this struggle for the Chinese imperial throne?
+
+There were two arguments against this course, one of which was already
+out of date. The Chinese had for many centuries set down the Huns as
+uncultured barbarians; but the inferiority complex thus engendered in
+the Huns had virtually been overcome, because in the course of time
+their upper class had deliberately acquired a Chinese education and so
+ranked culturally with the Chinese. Thus the ruler Liu Y�an, for
+example, had enjoyed a good Chinese education and was able to read all
+the classical texts. The second argument was provided by the rigid
+conceptions of legitimacy to which the Turkish-Hunnic aristocratic
+society adhered. The Huns asked themselves: "Have we, as aliens, any
+right to become emperors and rulers in China, when we are not descended
+from an old Chinese family?" On this point Liu Y�an and his advisers
+found a good answer. They called Liu Y�an's dynasty the "Han dynasty",
+and so linked it with the most famous of all the Chinese dynasties,
+pointing to the pact which their ancestor Mao Tun had concluded five
+hundred years earlier with the first emperor of the Han dynasty and
+which had described the two states as "brethren". They further recalled
+the fact that the rulers of the Huns were closely related to the Chinese
+ruling family, because Mao Tun and his successors had married Chinese
+princesses. Finally, Liu Y�an's Chinese family name, Liu, had also been
+the family name of the rulers of the Han dynasty. Accordingly the Hun
+Lius came forward not as aliens but as the rightful successors in
+continuation of the Han dynasty, as legitimate heirs to the Chinese
+imperial throne on the strength of relationship and of treaties.
+
+Thus the Hun Liu Y�an had no intention of restoring the old empire of
+Mao Tun, the empire of the nomads; he intended to become emperor of
+China, emperor of a country of farmers. In this lay the fundamental
+difference between the earlier Hun empire and this new one. The question
+whether the Huns should join in the struggle for the Chinese imperial
+throne was therefore decided among the Huns themselves in 304 in the
+affirmative, by the founding of the "Hun Han dynasty". All that remained
+was the practical question of how to hold out with their small army of
+50,000 men if serious opposition should be offered to the "barbarians".
+
+Meanwhile Liu Y�an provided himself with court ceremonial on the Chinese
+model, in a capital which, after several changes, was established at
+P'ing-ch'�ng in southern Shansi. He attracted more and more of the
+Chinese gentry, who were glad to come to this still rather barbaric but
+well-organized court. In 309 the first attack was made on the Chinese
+capital, Loyang. Liu Y�an died in the following year, and in 311, under
+his successor Liu Ts'ung (310-318), the attack was renewed and Loyang
+fell. The Chin emperor, Huai Ti, was captured and kept a prisoner in
+P'ing-ch'�ng until in 313 a conspiracy in his favour was brought to
+light in the Hun empire, and he and all his supporters were killed.
+Meanwhile the Chinese clique of the Chin dynasty had hastened to make a
+prince emperor in the second capital, Ch'ang-an (Min Ti, 313-316) while
+the princes' struggles for the throne continued. Nobody troubled about
+the fate of the unfortunate emperor in his capital. He received no
+reinforcements, so that he was helpless in face of the next attack of
+the Huns, and in 316 he was compelled to surrender like his predecessor.
+Now the Hun Han dynasty held both capitals, which meant virtually the
+whole of the western part of North China, and the so-called "Western
+Chin dynasty" thus came to its end. Its princes and generals and many of
+its gentry became landless and homeless and had to flee into the south.
+
+
+
+(C) The alien empires in North China, down to the Toba (A.D. 317-385)
+
+
+1 _The Later Chao dynasty in eastern North China (Hun_; 329-352)
+
+At this time the eastern part of North China was entirely in the hands
+of Shih Lo, a former follower of Liu Y�an. Shih Lo had escaped from
+slavery in China and had risen to be a military leader among
+detribalized Huns. In 310 he had not only undertaken a great campaign
+right across China to the south, but had slaughtered more than 100,000
+Chinese, including forty-eight princes of the Chin dynasty, who had
+formed a vast burial procession for a prince. This achievement added
+considerably to Shih Lo's power, and his relations with Liu Ts'ung,
+already tense, became still more so. Liu Y�an had tried to organize the
+Hun state on the Chinese model, intending in this way to gain efficient
+control of China; Shih Lo rejected Chinese methods, and held to the old
+warrior-nomad tradition, making raids with the aid of nomad fighters. He
+did not contemplate holding the territories of central and southern
+China which he had conquered; he withdrew, and in the two years 314-315
+he contented himself with bringing considerable expanses in
+north-eastern China, especially territories of the Hsien-pi, under his
+direct rule, as a base for further raids. Many Huns in Liu Ts'ung's
+dominion found Shih Lo's method of rule more to their taste than living
+in a state ruled by officials, and they went over to Shih Lo and joined
+him in breaking entirely with Liu Ts'ung. There was a further motive for
+this: in states founded by nomads, with a federation of tribes as their
+basis, the personal qualities of the ruler played an important part. The
+chiefs of the various tribes would not give unqualified allegiance to
+the son of a dead ruler unless the son was a strong personality or gave
+promise of becoming one. Failing that, there would be independence
+movements. Liu Ts'ung did not possess the indisputable charisma of his
+predecessor Liu Y�an; and the Huns looked with contempt on his court
+splendour, which could only have been justified if he had conquered all
+China. Liu Ts'ung had no such ambition; nor had his successor Liu Yao
+(319-329), who gave the Hun Han dynasty retroactively, from its start
+with Liu Y�an, the new name of "Earlier Chao dynasty" (304-329). Many
+tribes then went over to Shih Lo, and the remainder of Liu Yao's empire
+was reduced to a precarious existence. In 329 the whole of it was
+annexed by Shih Lo.
+
+Although Shih Lo had long been much more powerful than the emperors of
+the "Earlier Chao dynasty", until their removal he had not ventured to
+assume the title of emperor. The reason for this seems to have lain in
+the conceptions of nobility held by the Turkish peoples in general and
+the Huns in particular, according to which only those could become
+_shan-y�_ (or, later, emperor) who could show descent from the Tu-ku
+tribe the rightful _shan-y�_ stock. In accordance with this conception,
+all later Hun dynasties deliberately disowned Shih Lo. For Shih Lo,
+after his destruction of Liu Yao, no longer hesitated: ex-slave as he
+was, and descended from one of the non-noble stocks of the Huns, he made
+himself emperor of the "Later Chao dynasty" (329-352).
+
+Shih Lo was a forceful army commander, but he was a man without
+statesmanship, and without the culture of his day. He had no Chinese
+education; he hated the Chinese and would have been glad to make north
+China a grazing ground for his nomad tribes of Huns. Accordingly he had
+no desire to rule all China. The part already subjugated, embracing the
+whole of north China with the exception of the present province of
+Kansu, sufficed for his purpose.
+
+The governor of that province was a loyal subject of the Chinese Chin
+dynasty, a man famous for his good administration, and himself a
+Chinese. After the execution of the Chin emperor Huai Ti by the Huns in
+313, he regarded himself as no longer bound to the central government;
+he made himself independent and founded the "Earlier Liang dynasty",
+which was to last until 376. This mainly Chinese realm was not very
+large, although it had admitted a broad stream of Chinese emigrants from
+the dissolving Chin empire; but economically the Liang realm was very
+prosperous, so that it was able to extend its influence as far as
+Turkestan. During the earlier struggles Turkestan had been virtually in
+isolation, but now new contacts began to be established. Many traders
+from Turkestan set up branches in Liang. In the capital there were whole
+quarters inhabited only by aliens from western and eastern Turkestan and
+from India. With the traders came Buddhist monks; trade and Buddhism
+seemed to be closely associated everywhere. In the trading centres
+monasteries were installed in the form of blocks of houses within strong
+walls that successfully resisted many an attack. Consequently the
+Buddhists were able to serve as bankers for the merchants, who deposited
+their money in the monasteries, which made a charge for its custody; the
+merchants also warehoused their goods in the monasteries. Sometimes the
+process was reversed, a trade centre being formed around an existing
+monastery. In this case the monastery also served as a hostel for the
+merchants. Economically this Chinese state in Kansu was much more like a
+Turkestan city state that lived by commerce than the agrarian states of
+the Far East, although agriculture was also pursued under the Earlier
+Liang.
+
+From this trip to the remote west we will return first to the Hun
+capital. From 329 onward Shih Lo possessed a wide empire, but an
+unstable one. He himself felt at all times insecure, because the Huns
+regarded him, on account of his humble origin, as a "revolutionary". He
+exterminated every member of the Liu family, that is to say the
+old _shan-y�_ family, of whom he could get hold, in order to remove any
+possible pretender to the throne; but he could not count on the loyalty
+of the Hun and other Turkish tribes under his rule. During this period
+not a few Huns went over to the small realm of the Toba; other Hun
+tribes withdrew entirely from the political scene and lived with their
+herds as nomad tribes in Shansi and in the Ordos region. The general
+insecurity undermined the strength of Shih Lo's empire. He died in 333,
+and there came to the throne, after a short interregnum, another
+personality of a certain greatness, Shih Hu (334-349). He transferred
+the capital to the city of Yeh, in northern Honan, where the rulers of
+the Wei dynasty had reigned. There are many accounts of the magnificence
+of the court of Yeh. Foreigners, especially Buddhist monks, played a
+greater part there than Chinese. On the one hand, it was not easy for
+Shih Hu to gain the active support of the educated Chinese gentry after
+the murders of Shih Lo and, on the other hand, Shih Hu seems to have
+understood that foreigners without family and without other relations to
+the native population, but with special skills, are the most reliable
+and loyal servants of a ruler. Indeed, his administration seems to have
+been good, but the regime remained completely parasitic, with no
+support of the masses or the gentry. After Shih Hu's death there were
+fearful combats between his sons; ultimately a member of an entirely
+different family of Hun origin seized power, but was destroyed in 352 by
+the Hsien-pi, bringing to an end the Later Chao dynasty.
+
+
+2 _Earlier Yen dynasty in the north-east (proto-Mongol; 352-370), and
+the Earlier Ch'in dynasty in all north China (Tibetan; 351-394)_
+
+In the north, proto-Mongol Hsien-pi tribes had again made themselves
+independent; in the past they had been subjects of Liu Y�an and then of
+Shih Lo. A man belonging to one of these tribes, the tribe of the
+Mu-jung, became the leader of a league of tribes, and in 337 founded the
+state of Yen. This proto-Mongol state of the Mu-jung, which the
+historians call the "Earlier Yen" state, conquered parts of southern
+Manchuria and also the state of Kao-li in Korea, and there began then an
+immigration of Hsien-pi into Korea, which became noticeable at a later
+date. The conquest of Korea, which was still, as in the past, a Japanese
+market and was very wealthy, enormously strengthened the state of Yen.
+Not until a little later, when Japan's trade relations were diverted to
+central China, did Korea's importance begin to diminish. Although this
+"Earlier Yen dynasty" of the Mu-jung officially entered on the heritage
+of the Huns, and its r�gime was therefore dated only from 352 (until
+370), it failed either to subjugate the whole realm of the "Later Chao"
+or effectively to strengthen the state it had acquired. This old Hun
+territory had suffered economically from the anti-agrarian nomad
+tendency of the last of the Hun emperors; and unremunerative wars
+against the Chinese in the south had done nothing to improve its
+position. In addition to this, the realm of the Toba was dangerously
+gaining strength on the flank of the new empire. But the most dangerous
+enemy was in the west, on former Hun soil, in the province of
+Shensi--Tibetans, who finally came forward once more with claims to
+dominance. These were Tibetans of the P'u family, which later changed
+its name to Fu. The head of the family had worked his way up as a leader
+of Tibetan auxiliaries under the "Later Chao", gaining more and more
+power and following. When under that dynasty the death of Shih Hu marked
+the beginning of general dissolution, he gathered his Tibetans around
+him in the west, declared himself independent of the Huns, and made
+himself emperor of the "Earlier Ch'in dynasty" (351-394). He died in
+355, and was followed after a short interregnum by Fu Chien (357-385),
+who was unquestionably one of the most important figures of the fourth
+century. This Tibetan empire ultimately defeated the "Earlier Yen
+dynasty" and annexed the realm of the Mu-jung. Thus the Mu-jung Hsien-pi
+came under the dominion of the Tibetans; they were distributed among a
+number of places as garrisons of mounted troops.
+
+The empire of the Tibetans was organized quite differently from the
+empires of the Huns and the Hsien-pi tribes. The Tibetan organization
+was purely military and had nothing to do with tribal structure. This
+had its advantages, for the leader of such a formation had no need to
+take account of tribal chieftains; he was answerable to no one and
+possessed considerable personal power. Nor was there any need for him to
+be of noble rank or descended from an old family. The Tibetan ruler Fu
+Chien organized all his troops, including the non-Tibetans, on this
+system, without regard to tribal membership.
+
+Fu Chien's state showed another innovation: the armies of the Huns and
+the Hsien-pi had consisted entirely of cavalry, for the nomads of the
+north were, of course, horsemen; to fight on foot was in their eyes not
+only contrary to custom but contemptible. So long as a state consisted
+only of a league of tribes, it was simply out of the question to
+transform part of the army into infantry. Fu Chien, however, with his
+military organization that paid no attention to the tribal element,
+created an infantry in addition to the great cavalry units, recruiting
+for it large numbers of Chinese. The infantry proved extremely valuable,
+especially in the fighting in the plains of north China and in laying
+siege to fortified towns. Fu Chien thus very quickly achieved military
+predominance over the neighbouring states. As we have seen already, he
+annexed the "Earlier Yen" realm of the proto-Mongols (370), but he also
+annihilated the Chinese "Earlier Liang" realm (376) and in the same year
+the small Turkish Toba realm. This made him supreme over all north China
+and stronger than any alien ruler before him. He had in his possession
+both the ancient capitals, Ch'ang-an and Loyang; the whole of the rich
+agricultural regions of north China belonged to him; he also controlled
+the routes to Turkestan. He himself had had a Chinese education, and he
+attracted Chinese to his court; he protected the Buddhists; and he tried
+in every way to make the whole country culturally Chinese. As soon as Fu
+Chien had all north China in his power, as Liu Y�an and his Huns had
+done before him, he resolved, like Liu Y�an, to make every effort to
+gain the mastery over all China, to become emperor of China. Liu Y�an's
+successors had not had the capacity for which such a venture called; Fu
+Chien was to fail in it for other reasons. Yet, from a military point
+of view, his chances were not bad. He had far more soldiers under his
+command than the Chinese "Eastern Chin dynasty" which ruled the south,
+and his troops were undoubtedly better. In the time of the founder of
+the Tibetan dynasty the southern empire had been utterly defeated by his
+troops (354), and the south Chinese were no stronger now.
+
+Against them the north had these assets: the possession of the best
+northern tillage, the control of the trade routes, and "Chinese" culture
+and administration. At the time, however, these represented only
+potentialities and not tangible realities. It would have taken ten to
+twenty years to restore the capacities of the north after its
+devastation in many wars, to reorganize commerce, and to set up a really
+reliable administration, and thus to interlock the various elements and
+consolidate the various tribes. But as early as 383 Fu Chien started his
+great campaign against the south, with an army of something like a
+million men. At first the advance went well. The horsemen from the
+north, however, were men of the mountain country, and in the soggy
+plains of the Yangtze region, cut up by hundreds of water-courses and
+canals, they suffered from climatic and natural conditions to which they
+were unaccustomed. Their main strength was still in cavalry; and they
+came to grief. The supplies and reinforcements for the vast army failed
+to arrive in time; units did not reach the appointed places at the
+appointed dates. The southern troops under the supreme command of Hsieh
+Hs�an, far inferior in numbers and militarily of no great efficiency,
+made surprise attacks on isolated units before these were in regular
+formation. Some they defeated, others they bribed; they spread false
+reports. Fu Chien's army was seized with widespread panic, so that he
+was compelled to retreat in haste. As he did so it became evident that
+his empire had no inner stability: in a very short time it fell into
+fragments. The south Chinese had played no direct part in this, for in
+spite of their victory they were not strong enough to advance far to the
+north.
+
+
+3 _The fragmentation of north China_
+
+The first to fall away from the Tibetan ruler was a noble of the
+Mu-jung, a member of the ruling family of the "Earlier Yen dynasty", who
+withdrew during the actual fighting to pursue a policy of his own. With
+the vestiges of the Hsien-pi who followed him, mostly cavalry, he fought
+his way northwards into the old homeland of the Hsien-pi and there, in
+central Hopei, founded the "Later Yen dynasty" (384-409), himself
+reigning for twelve years. In the remaining thirteen years of the
+existence of that dynasty there were no fewer than five rulers, the
+last of them a member of another family. The history of this Hsien-pi
+dynasty, as of its predecessor, is an unedifying succession of
+intrigues; no serious effort was made to build up a true state.
+
+In the same year 384 there was founded, under several other Mu-jung
+princes of the ruling family of the "Earlier Yen dynasty", the "Western
+Yen dynasty" (384-394). Its nucleus was nothing more than a detachment
+of troops of the Hsien-pi which had been thrown by Fu Chien into the
+west of his empire, in Shensi, in the neighbourhood of the old capital
+Ch'ang-an. There its commanders, on learning the news of Fu Chien's
+collapse, declared their independence. In western China, however, far
+removed from all liaison with the main body of the Hsien-pi, they were
+unable to establish themselves, and when they tried to fight their way
+to the north-east they were dispersed, so that they failed entirely to
+form an actual state.
+
+There was a third attempt in 384 to form a state in north China. A
+Tibetan who had joined Fu Chien with his followers declared himself
+independent when Fu Chien came back, a beaten man, to Shensi. He caused
+Fu Chien and almost the whole of his family to be assassinated, occupied
+the capital, Ch'ang-an, and actually entered into the heritage of Fu
+Chien. This Tibetan dynasty is known as the "Later Ch'in dynasty"
+(384-417). It was certainly the strongest of those founded in 384, but
+it still failed to dominate any considerable part of China and remained
+of local importance, mainly confined to the present province of Shensi.
+Fu Chien's empire nominally had three further rulers, but they did not
+exert the slightest influence on events.
+
+With the collapse of the state founded by Fu Chien, the tribes of
+Hsien-pi who had left their homeland in the third century and migrated
+to the Ordos region proceeded to form their own state: a man of the
+Hsien-pi tribe of the Ch'i-fu founded the so-called "Western Ch'in
+dynasty" (385-431). Like the other Hsien-pi states, this one was of weak
+construction, resting on the military strength of a few tribes and
+failing to attain a really secure basis. Its territory lay in the east
+of the present province of Kansu, and so controlled the eastern end of
+the western Asian caravan route, which might have been a source of
+wealth if the Ch'i-fu had succeeded in attracting commerce by discreet
+treatment and in imposing taxation on it. Instead of this, the bulk of
+the long-distance traffic passed through the Ordos region, a little
+farther north, avoiding the Ch'i-fu state, which seemed to the merchants
+to be too insecure. The Ch'i-fu depended mainly on cattle-breeding in
+the remote mountain country in the south of their territory, a region
+that gave them relative security from attack; on the other hand, this
+made them unable to exercise any influence on the course of political
+events in western China.
+
+Mention must be made of one more state that rose from the ruins of Fu
+Chien's empire. It lay in the far west of China, in the western part of
+the present province of Kansu, and was really a continuation of the
+Chinese "Earlier Liang" realm, which had been annexed ten years earlier
+(376) by Fu Chien. A year before his great march to the south, Fu Chien
+had sent the Tibetan L� Kuang into the "Earlier Liang" region in order
+to gain influence over Turkestan. As mentioned previously, after the
+great Hun rulers Fu Chien was the first to make a deliberate attempt to
+secure cultural and political overlordship over the whole of China.
+Although himself a Tibetan, he never succumbed to the temptation of
+pursuing a "Tibetan" policy; like an entirely legitimate ruler of China,
+he was concerned to prevent the northern peoples along the frontier from
+uniting with the Tibetan peoples of the west for political ends. The
+possession of Turkestan would avert that danger, which had shown signs
+of becoming imminent of late: some tribes of the Hsien-pi had migrated
+as far as the high mountains of Tibet and had imposed themselves as a
+ruling class on the still very primitive Tibetans living there. From
+this symbiosis there began to be formed a new people, the so-called
+T'u-y�-hun, a hybridization of Mongol and Tibetan stock with a slight
+Turkish admixture. L� Kuang had had considerable success in Turkestan;
+he had brought considerable portions of eastern Turkestan under Fu
+Chien's sovereignty and administered those regions almost independently.
+When the news came of Fu Chien's end, he declared himself an independent
+ruler, of the "Later Liang" dynasty (386-403). Strictly speaking, this
+was simply a trading State, like the city-states of Turkestan: its basis
+was the transit traffic that brought it prosperity. For commerce brought
+good profit to the small states that lay right across the caravan route,
+whereas it was of doubtful benefit, as we know, to agrarian China as a
+whole, because the luxury goods which it supplied to the court were paid
+for out of the production of the general population.
+
+This "Later Liang" realm was inhabited not only by a few Tibetans and
+many Chinese, but also by Hsien-pi and Huns. These heterogeneous
+elements with their divergent cultures failed in the long run to hold
+together in this long but extremely narrow strip of territory, which was
+almost incapable of military defence. As early as 397 a group of Huns in
+the central section of the country made themselves independent, assuming
+the name of the "Northern Liang" (397-439). These Huns quickly conquered
+other parts of the "Later Liang" realm, which then fell entirely to
+pieces. Chinese again founded a state, "West Liang" (400-421) in western
+Kansu, and the Hsien-pi founded "South Liang" (379-414) in eastern
+Kansu. Thus the "Later Liang" fell into three parts, more or less
+differing ethnically, though they could not be described as ethnically
+unadulterated states.
+
+
+4 _Sociological analysis of the two great alien empires_
+
+The two great empires of north China at the time of its division had
+been founded by non-Chinese--the first by the Hun Liu Y�an, the second
+by the Tibetan Fu Chien. Both rulers went to work on the same principle
+of trying to build up truly "Chinese" empires, but the traditions of
+Huns and Tibetans differed, and the two experiments turned out
+differently. Both failed, but not for the same reasons and not with the
+same results. The Hun Liu Y�an was the ruler of a league of feudal
+tribes, which was expected to take its place as an upper class above the
+unchanged Chinese agricultural population with its system of officials
+and gentry. But Liu Y�an's successors were national reactionaries who
+stood for the maintenance of the nomad life against that new plan of
+transition to a feudal class of urban nobles ruling an agrarian
+population. Liu Y�an's more far-seeing policy was abandoned, with the
+result that the Huns were no longer in a position to rule an immense
+agrarian territory, and the empire soon disintegrated. For the various
+Hun tribes this failure meant falling back into political
+insignificance, but they were able to maintain their national character
+and existence.
+
+Fu Chien, as a Tibetan, was a militarist and soldier, in accordance with
+the past of the Tibetans. Under him were grouped Tibetans without tribal
+chieftains; the great mass of Chinese; and dispersed remnants of tribes
+of Huns, Hsien-pi, and others. His organization was militaristic and,
+outside the military sphere, a militaristic bureaucracy. The Chinese
+gentry, so far as they still existed, preferred to work with him rather
+than with the feudalist Huns. These gentry probably supported Fu Chien's
+southern campaign, for, in consequence of the wide ramifications of
+their families, it was to their interest that China should form a single
+economic unit. They were, of course, equally ready to work with another
+group, one of southern Chinese, to attain the same end by other means,
+if those means should prove more advantageous: thus the gentry were not
+a reliable asset, but were always ready to break faith. Among other
+things, Fu Chien's southern campaign was wrecked by that faithlessness.
+When an essentially military state suffers military defeat, it can only
+go to pieces. This explains the disintegration of that great empire
+within a single year into so many diminutive states, as already
+described.
+
+
+5 _Sociological analysis of the petty States_
+
+The states that took the place of Fu Chien's empire, those many
+diminutive states (the Chinese speak of the period of the Sixteen
+Kingdoms), may be divided from the economic point of view into two
+groups--trading states and warrior states; sociologically they also fall
+into two groups, tribal states and military states.
+
+The small states in the west, in Kansu (the Later Liang and the Western,
+Northern, and Southern Liang), were trading states: they lived on the
+earnings of transit trade with Turkestan. The eastern states were
+warrior states, in which an army commander ruled by means of an armed
+group of non-Chinese and exploited an agricultural population. It is
+only logical that such states should be short-lived, as in fact they all
+were.
+
+Sociologically regarded, during this period only the Southern and
+Northern Liang were still tribal states. In addition to these came the
+young Toba realm, which began in 385 but of which mention has not yet
+been made. The basis of that state was the tribe, not the family or the
+individual; after its political disintegration the separate tribes
+remained in existence. The other states of the east, however, were
+military states, made up of individuals with no tribal allegiance but
+subject to a military commandant. But where there is no tribal
+association, after the political downfall of a state founded by ethnical
+groups, those groups sooner or later disappear as such. We see this in
+the years immediately following Fu Chien's collapse: the Tibetan
+ethnical group to which he himself belonged disappeared entirely from
+the historical scene. The two Tibetan groups that outlasted him, also
+forming military states and not tribal states, similarly came to an end
+shortly afterwards for all time. The Hsien-pi groups in the various
+fragments of the empire, with the exception of the petty states in
+Kansu, also continued, only as tribal fragments led by a few old ruling
+families. They, too, after brief and undistinguished military rule, came
+to an end; they disappeared so completely that thereafter we no longer
+find the term Hsien-pi in history. Not that they had been exterminated.
+When the social structure and its corresponding economic form fall to
+pieces, there remain only two alternatives for its individuals. Either
+they must go over to a new form, which in China could only mean that
+they became Chinese; many Hsien-pi in this way became Chinese in the
+decades following 384. Or, they could retain their old way of living in
+association with another stock of similar formation; this, too, happened
+in many cases. Both these courses, however, meant the end of the
+Hsien-pi as an independent ethnical unit. We must keep this process and
+its reasons in view if we are to understand how a great people can
+disappear once and for all.
+
+The Huns, too, so powerful in the past, were suddenly scarcely to be
+found any longer. Among the many petty states there were many Hsien-pi
+kingdoms, but only a single, quite small Hun state, that of the Northern
+Liang. The disappearance of the Huns was, however, only apparent; at
+this time they remained in the Ordos region and in Shansi as separate
+nomad tribes with no integrating political organization; their time had
+still to come.
+
+
+6 _Spread of Buddhism_
+
+According to the prevalent Chinese view, nothing of importance was
+achieved during this period in north China in the intellectual sphere;
+there was no culture in the north, only in the south. This is natural:
+for a Confucian this period, the fourth century, was one of degeneracy
+in north China, for no one came into prominence as a celebrated
+Confucian. Nothing else could be expected, for in the north the gentry,
+which had been the class that maintained Confucianism since the Han
+period, had largely been destroyed; from political leadership especially
+it had been shut out during the periods of alien rule. Nor could we
+expect to find Taoists in the true sense, that is to say followers of
+the teaching of Lao Tzu, for these, too, had been dependent since the
+Han period on the gentry. Until the fourth century, these two had
+remained the dominant philosophies.
+
+What could take their place? The alien rulers had left little behind
+them. Most of them had been unable to write Chinese, and in so far as
+they were warriors they had no interest in literature or in political
+philosophy, for they were men of action. Few songs and poems of theirs
+remain extant in translations from their language into Chinese, but
+these preserve a strong alien flavour in their mental attitude and in
+their diction. They are the songs of fighting men, songs that were sung
+on horseback, songs of war and its sufferings. These songs have nothing
+of the excessive formalism and aestheticism of the Chinese, but give
+expression to simple emotions in unpolished language with a direct
+appeal. The epic of the Turkish peoples had clearly been developed
+already, and in north China it produced a rudimentary ballad literature,
+to which four hundred years later no less attention was paid than to the
+emotional world of contemporary songs.
+
+The actual literature, however, and the philosophy of this period are
+Buddhist. How can we explain that Buddhism had gained such influence?
+
+It will be remembered that Buddhism came to China overland and by sea in
+the Han epoch. The missionary monks who came from abroad with the
+foreign merchants found little approval among the Chinese gentry. They
+were regarded as second-rate persons belonging, according to Chinese
+notions, to an inferior social class. Thus the monks had to turn to the
+middle and lower classes in China. Among these they found widespread
+acceptance, not of their profound philosophic ideas, but of their
+doctrine of the after life. This doctrine was in a certain sense
+revolutionary: it declared that all the high officials and superiors who
+treated the people so unjustly and who so exploited them, would in their
+next reincarnation be born in poor circumstances or into inferior rank
+and would have to suffer punishment for all their ill deeds. The poor
+who had to suffer undeserved evils would be born in their next life into
+high rank and would have a good time. This doctrine brought a ray of
+light, a promise, to the country people who had suffered so much since
+the later Han period of the second century A.D. Their situation remained
+unaltered down to the fourth century; and under their alien rulers the
+Chinese country population became Buddhist.
+
+The merchants made use of the Buddhist monasteries as banks and
+warehouses. Thus they, too, were well inclined towards Buddhism and gave
+money and land for its temples. The temples were able to settle peasants
+on this land as their tenants. In those times a temple was a more
+reliable landlord than an individual alien, and the poorer peasants
+readily became temple tenants; this increased their inclination towards
+Buddhism.
+
+The Indian, Sogdian, and Turkestani monks were readily allowed to settle
+by the alien rulers of China, who had no national prejudice against
+other aliens. The monks were educated men and brought some useful
+knowledge from abroad. Educated Chinese were scarcely to be found, for
+the gentry retired to their estates, which they protected as well as
+they could from their alien ruler. So long as the gentry had no prospect
+of regaining control of the threads of political life that extended
+throughout China, they were not prepared to provide a class of officials
+and scholars for the anti-Confucian foreigners, who showed interest only
+in fighting and trading. Thus educated persons were needed at the courts
+of the alien rulers, and Buddhists were therefore engaged. These foreign
+Buddhists had all the important Buddhist writings translated into
+Chinese, and so made use of their influence at court for religious
+propaganda.
+
+This does not mean that every text was translated from Indian languages;
+especially in the later period many works appeared which came not from
+India but from Sogdia or Turkestan, or had even been written in China by
+Sogdians or other natives of Turkestan, and were then translated into
+Chinese. In Turkestan, Khotan in particular became a centre of Buddhist
+culture. Buddhism was influenced by vestiges of indigenous cults, so
+that Khotan developed a special religious atmosphere of its own; deities
+were honoured there (for instance, the king of Heaven of the
+northerners) to whom little regard was paid elsewhere. This "Khotan
+Buddhism" had special influence on the Buddhist Turkish peoples.
+
+Big translation bureaux were set up for the preparation of these
+translations into Chinese, in which many copyists simultaneously took
+down from dictation a translation made by a "master" with the aid of a
+few native helpers. The translations were not literal but were
+paraphrases, most of them greatly reduced in length, glosses were
+introduced when the translator thought fit for political or doctrinal
+reasons, or when he thought that in this way he could better adapt the
+texts to Chinese feeling.
+
+Buddhism, quite apart from the special case of "Khotan Buddhism",
+underwent extensive modification on its way across Central Asia. Its
+main Indian form (Hinayana) was a purely individualistic religion of
+salvation without a God--related in this respect to genuine Taoism--and
+based on a concept of two classes of people: the monks who could achieve
+salvation and, secondly, the masses who fed the monks but could not
+achieve salvation. This religion did not gain a footing in China; only
+traces of it can be found in some Buddhistic sects in China. Mahayana
+Buddhism, on the other hand, developed into a true popular religion of
+salvation. It did not interfere with the indigenous deities and did not
+discountenance life in human society; it did not recommend Nirvana at
+once, but placed before it a here-after with all the joys worth striving
+for. In this form Buddhism was certain of success in Asia. On its way
+from India to China it divided into countless separate streams, each
+characterized by a particular book. Every nuance, from profound
+philosophical treatises to the most superficial little tracts written
+for the simplest of souls, and even a good deal of Turkestan shamanism
+and Tibetan belief in magic, found their way into Buddhist writings, so
+that some Buddhist monks practised Central Asian Shamanism.
+
+In spite of Buddhism, the old religion of the peasants retained its
+vitality. Local diviners, Chinese shamans (_wu_), sorcerers, continued
+their practices, although from now on they sometimes used Buddhist
+phraseology. Often, this popular religion is called "Taoism", because a
+systematization of the popular pantheon was attempted, and Lao Tzu and
+other Taoists played a role in this pantheon. Philosophic Taoism
+continued in this time, aside from the church-Taoism of Chang Ling and,
+naturally, all kinds of contacts between these three currents occurred.
+The Chinese state cult, the cult of Heaven saturated with Confucianism,
+was another living form of religion. The alien rulers, in turn, had
+brought their own mixture of worship of Heaven and shamanism. Their
+worship of Heaven was their official "representative" religion; their
+shamanism the private religion of the individual in his daily life. The
+alien rulers, accordingly, showed interest in the Chinese shamans as
+well as in the shamanistic aspects of Mahayana Buddhism. Not
+infrequently competitions were arranged by the rulers between priests of
+the different religious systems, and the rulers often competed for the
+possession of monks who were particularly skilled in magic or
+soothsaying.
+
+But what was the position of the "official" religion? Were the aliens to
+hold to their own worship of heaven, or were they to take over the
+official Chinese cult, or what else? This problem posed itself already
+in the fourth century, but it was left unsolved.
+
+
+
+(D) The Toba empire in North China (A.D. 385-550)
+
+
+1 _The rise of the Toba State_
+
+On the collapse of Fu Chien's empire one more state made its appearance;
+it has not yet been dealt with, although it was the most important one.
+This was the empire of the Toba, in the north of the present province of
+Shansi. Fu Chien had brought down the small old Toba state in 376, but
+had not entirely destroyed it. Its territory was partitioned, and part
+was placed under the administration of a Hun: in view of the old rivalry
+between Toba and Huns, this seemed to Fu Chien to be the best way of
+preventing any revival of the Toba. However, a descendant of the old
+ruling family of the Toba succeeded, with the aid of related families,
+in regaining power and forming a small new kingdom. Very soon many
+tribes which still lived in north China and which had not been broken up
+into military units, joined him. Of these there were ultimately 119,
+including many Hun tribes from Shansi and also many Hsien-pi tribes.
+Thus the question who the Toba were is not easy to answer. The leading
+tribe itself had migrated southward in the third century from the
+frontier territory between northern Mongolia and northern Manchuria.
+After this migration the first Toba state, the so-called Tai state, was
+formed (338-376); not much is known about it. The tribes that, from 385
+after the break-up of the Tibetan empire, grouped themselves round this
+ruling tribe, were both Turkish and Mongol; but from the culture and
+language of the Toba we think it must be inferred that the ruling tribe
+itself as well as the majority of the other tribes were Turkish; in any
+case, the Turkish element seems to have been stronger than the
+Mongolian.
+
+Thus the new Toba kingdom was a tribal state, not a military state. But
+the tribes were no longer the same as in the time of Liu Y�an a hundred
+years earlier. Their total population must have been quite small; we
+must assume that they were but the remains of 119 tribes rather than 119
+full-sized tribes. Only part of them were still living the old nomad
+life; others had become used to living alongside Chinese peasants and
+had assumed leadership among the peasants. These Toba now faced a
+difficult situation. The country was arid and mountainous and did not
+yield much agricultural produce. For the many people who had come into
+the Toba state from all parts of the former empire of Fu Chien, to say
+nothing of the needs of a capital and a court which since the time of
+Liu Y�an had been regarded as the indispensable entourage of a ruler who
+claimed imperial rank, the local production of the Chinese peasants was
+not enough. All the government officials, who were Chinese, and all the
+slaves and eunuchs needed grain to eat. Attempts were made to settle
+more Chinese peasants round the new capital, but without success;
+something had to be done. It appeared necessary to embark on a campaign
+to conquer the fertile plain of eastern China. In the course of a number
+of battles the Hsien-pi of the "Later Yen" were annihilated and eastern
+China conquered (409).
+
+Now a new question arose: what should be done with all those people?
+Nomads used to enslave their prisoners and use them for watching their
+flocks. Some tribal chieftains had adopted the practice of establishing
+captives on their tribal territory as peasants. There was an opportunity
+now to subject the millions of Chinese captives to servitude to the
+various tribal chieftains in the usual way. But those captives who were
+peasants could not be taken away from their fields without robbing the
+country of its food; therefore it would have been necessary to spread
+the tribes over the whole of eastern China, and this would have added
+immensely to the strength of the various tribes and would have greatly
+weakened the central power. Furthermore almost all Chinese officials at
+the court had come originally from the territories just conquered. They
+had come from there about a hundred years earlier and still had all
+their relatives in the east. If the eastern territories had been placed
+under the rule of separate tribes, and the tribes had been distributed
+in this way, the gentry in those territories would have been destroyed
+and reduced to the position of enslaved peasants. The Chinese officials
+accordingly persuaded the Toba emperor not to place the new territories
+under the tribes, but to leave them to be administered by officials of
+the central administration. These officials must have a firm footing in
+their territory, for only they could extract from the peasants the grain
+required for the support of the capital. Consequently the Toba
+government did not enslave the Chinese in the eastern territory, but
+made the local gentry into government officials, instructing them to
+collect as much grain as possible for the capital. This Chinese local
+gentry worked in close collaboration with the Chinese officials at
+court, a fact which determined the whole fate of the Toba empire.
+
+The Hsien-pi of the newly conquered east no longer belonged to any
+tribe, but only to military units. They were transferred as soldiers to
+the Toba court and placed directly under the government, which was thus
+notably strengthened, especially as the millions of peasants under their
+Chinese officials were also directly responsible to the central
+administration. The government now proceeded to convert also its own
+Toba tribes into military formations. The tribal men of noble rank were
+brought to the court as military officers, and so were separated from
+the common tribesmen and the slaves who had to remain with the herds.
+This change, which robbed the tribes of all means of independent action,
+was not carried out without bloodshed. There were revolts of tribal
+chieftains which were ruthlessly suppressed. The central government had
+triumphed, but it realized that more reliance could be placed on Chinese
+than on its own people, who were used to independence. Thus the Toba
+were glad to employ more and more Chinese, and the Chinese pressed more
+and more into the administration. In this process the differing social
+organizations of Toba and Chinese played an important part. The Chinese
+have patriarchal families with often hundreds of members. When a member
+of a family obtains a good position, he is obliged to make provision for
+the other members of his family and to secure good positions for them
+too; and not only the members of his own family but those of allied
+families and of families related to it by marriage. In contrast the Toba
+had a patriarchal nuclear family system; as nomad warriors with no fixed
+abode, they were unable to form extended family groups. Among them the
+individual was much more independent; each one tried to do his best for
+himself. No Toba thought of collecting a large clique around himself;
+everybody should be the artificer of his own fortune. Thus, when a
+Chinese obtained an official post, he was followed by countless others;
+but when a Toba had a position he remained alone, and so the
+sinification of the Toba empire went on incessantly.
+
+
+2 _The Hun kingdom of the Hsia (407-431)_
+
+At the rebuilding of the Toba empire, however, a good many Hun tribes
+withdrew westward into the Ordos region beyond the reach of the Toba,
+and there they formed the Hun "Hsia" kingdom. Its ruler, Ho-lien
+P'o-p'o, belonged to the family of Mao Tun and originally, like Liu
+Y�an, bore the sinified family name Liu; but he altered this to a Hun
+name, taking the family name of Ho-lien. This one fact alone
+demonstrates that the Hsia rejected Chinese culture and were
+nationalistic Hun. Thus there were now two realms in North China, one
+undergoing progressive sinification, the other falling back to the old
+traditions of the Huns.
+
+
+3 _Rise of the Toba to a great Power_
+
+The present province of Szechwan, in the west, had belonged to Fu
+Chien's empire. At the break-up of the Tibetan state that province
+passed to the southern Chinese empire and gave the southern Chinese
+access, though it was very difficult access, to the caravan route
+leading to Turkestan. The small states in Kansu, which dominated the
+route, now passed on the traffic along two routes, one northward to the
+Toba and the other alien states in north China, the other through
+north-west Szechwan to south China. In this way the Kansu states were
+strengthened both economically and politically, for they were able to
+direct the commerce either to the northern states or to south China as
+suited them. When the South Chinese saw the break-up of Fu Chien's
+empire into numberless fragments, Liu Y�, who was then all-powerful at
+the South Chinese court, made an attempt to conquer the whole of western
+China. A great army was sent from South China into the province of
+Shensi, where the Tibetan empire of the "Later Ch'in" was situated. The
+Ch'in appealed to the Toba for help, but the Toba were themselves too
+hotly engaged to be able to spare troops. They also considered that
+South China would be unable to maintain these conquests, and that they
+themselves would find them later an easy prey. Thus in 417 the state of
+"Later Ch'in" received a mortal blow from the South Chinese army. Large
+numbers of the upper class fled to the Toba. As had been foreseen, the
+South Chinese were unable to maintain their hold over the conquered
+territory, and it was annexed with ease by the Hun Ho-lien P'o-p'o. But
+why not by the Toba?
+
+Towards the end of the fourth century, vestiges of Hun, Hsien-pi, and
+other tribes had united in Mongolia to form the new people of the
+Juan-juan (also called Ju-juan or Jou-jan). Scholars disagree as to
+whether the Juan-juan were Turks or Mongols; European investigators
+believe them to have been identical with the Avars who appeared in the
+Near East in 558 and later in Europe, and are inclined, on the strength
+of a few vestiges of their language, to regard them as Mongols.
+Investigations concerning the various tribes, however, show that among
+the Juan-juan there were both Mongol and Turkish tribes, and that the
+question cannot be decided in favour of either group. Some of the tribes
+belonging to the Juan-juan had formerly lived in China. Others had lived
+farther north or west and came into the history of the Far East now for
+the first time.
+
+This Juan-juan people threatened the Toba in the rear, from the north.
+It made raids into the Toba empire for the same reasons for which the
+Huns in the past had raided agrarian China; for agriculture had made
+considerable progress in the Toba empire. Consequently, before the Toba
+could attempt to expand southward, the Juan-juan peril must be removed.
+This was done in the end, after a long series of hard and not always
+successful struggles. That was why the Toba had played no part in the
+fighting against South China, and had been unable to take immediate
+advantage of that fighting.
+
+After 429 the Juan-juan peril no longer existed, and in the years that
+followed the whole of the small states of the west were destroyed, one
+after another, by the Toba--the "Hsia kingdom" in 431, bringing down
+with it the "Western Ch'in", and the "Northern Liang" in 439. The
+non-Chinese elements of the population of those countries were moved
+northwards and served the Toba as soldiers; the Chinese also, especially
+the remains of the Kansu "Western Liang" state (conquered in 420), were
+enslaved, and some of them transferred to the north. Here again,
+however, the influence of the Chinese gentry made itself felt after a
+short time. As we know, the Chinese of "Western Liang" in Kansu had
+originally migrated there from eastern China. Their eastern relatives
+who had come under Toba rule through the conquest of eastern China and
+who through their family connections with Chinese officials of the Toba
+empire had found safety, brought their influence to bear on behalf of
+the Chinese of Kansu, so that several families regained office and
+social standing.
+
+[Illustration: Map 4: The Toba empire _(about A.D. 500)_]
+
+Their expansion into Kansu gave the Toba control of the commerce with
+Turkestan, and there are many mentions of tribute missions to the Toba
+court in the years that followed, some even from India. The Toba also
+spread in the east. And finally there was fighting with South China
+(430-431), which brought to the Toba empire a large part of the province
+of Honan with the old capital, Loyang. Thus about 440 the Toba must be
+described as the most powerful state in the Far East, ruling the whole
+of North China.
+
+
+4 _Economic and social conditions_
+
+The internal changes of which there had only been indications in the
+first period of the Toba empire now proceeded at an accelerated pace.
+There were many different factors at work. The whole of the civil
+administration had gradually passed into Chinese hands, the Toba
+retaining only the military administration. But the wars in the south
+called for the services of specialists in fortification and in infantry
+warfare, who were only to be found among the Chinese. The growing
+influence of the Chinese was further promoted by the fact that many Toba
+families were exterminated in the revolts of the tribal chieftains, and
+others were wiped out in the many battles. Thus the Toba lost ground
+also in the military administration.
+
+The wars down to A.D. 440 had been large-scale wars of conquest,
+lightning campaigns that had brought in a great deal of booty. With
+their loot the Toba developed great magnificence and luxury. The
+campaigns that followed were hard and long-drawn-out struggles,
+especially against South China, where there was no booty, because the
+enemy retired so slowly that they could take everything with them. The
+Toba therefore began to be impoverished, because plunder was the main
+source of their wealth. In addition to this, their herds gradually
+deteriorated, for less and less use was made of them; for instance,
+horses were little required for the campaign against South China, and
+there was next to no fighting in the north. In contrast with the
+impoverishment of the Toba, the Chinese gentry grew not only more
+powerful but more wealthy.
+
+The Toba seem to have tried to prevent this development by introducing
+the famous "land equalization system" _(ch�n-t'ien)_, one of their most
+important innovations. The direct purposes of this measure were to
+resettle uprooted farm population; to prevent further migrations of
+farmers; and to raise production and taxes. The founder of this system
+was Li An-shih, member of a Toba family and later husband of an imperial
+princess. The plan was basically accepted in 477, put into action in
+485, and remained the land law until _c_. 750. Every man and every
+woman had a right to receive a certain amount of land for life-time.
+After their death, the land was redistributed. In addition to this
+"personal land" there was so-called "mulberry land" on which farmers
+could plant mulberries for silk production; but they also could plant
+other crops under the trees. This land could be inherited from father to
+son and was not redistributed. Incidentally we know many similar
+regulations for trees in the Near East and Central Asia. As the tax was
+levied upon the personal land in form of grain, and on the tree land in
+form of silk, this regulation stimulated the cultivation of diversified
+crops on the tree land which then was not taxable. The basic idea behind
+this law was, that all land belonged to the state, a concept for which
+the Toba could point to the ancient Chou but which also fitted well for
+a dynasty of conquest. The new "_ch�n-t'ien_" system required a complete
+land and population survey which was done in the next years. We know
+from much later census fragments that the government tried to enforce
+this equalization law, but did not always succeed; we read statements
+such as "X has so and so much land; he has a claim on so and so much
+land and, therefore, has to get so and so much"; but there are no
+records that X ever received the land due to him.
+
+One consequence of the new land law was a legal fixation of the social
+classes. Already during Han time (and perhaps even earlier) a
+distinction had been made between "free burghers" _(liang-min)_ and
+"commoners" _(ch'ien-min)_. This distinction had continued as informal
+tradition until, now, it became a legal concept. Only "burghers", i.e.
+gentry and free farmers, were real citizens with all rights of a free
+man. The "commoners" were completely or partly unfree and fell under
+several heads. Ranking as the lowest class were the real slaves (_nu_),
+divided into state and private slaves. By law, slaves were regarded as
+pieces of property, not as members of human society. They were, however,
+forced to marry and thus, as a class, were probably reproducing at a
+rate similar to that of the normal population, while slaves in Europe
+reproduced at a lower rate than the population. The next higher class
+were serfs (_fan-hu_), hereditary state servants, usually descendants of
+state slaves. They were obliged to work three months during the year for
+the state and were paid for this service. They were not registered in
+their place of residence but under the control of the Ministry of
+Agriculture which distributed them to other offices, but did not use
+them for farm work. Similar in status to them were the private bondsmen
+(_pu-ch'�_), hereditarily attached to gentry families. These serfs
+received only 50 per cent of the land which a free burgher received
+under the land law. Higher than these were the service families
+(_tsa-hu_) who were registered in their place of residence, but had to
+perform certain services; here we find "tomb families" who cared for the
+imperial tombs, "shepherd families", postal families, kiln families,
+soothsayer families, medical families, and musician families. Each of
+these categories of commoners had its own laws; each had to marry within
+the category. No intermarriage or adoption was allowed. It is
+interesting to observe that a similar fixation of the social status of
+citizens occurred in the Roman Empire from _c._ A.D. 300 on.
+
+Thus in the years between 440 and 490 there were great changes not only
+in the economic but in the social sphere. The Toba declined in number
+and influence. Many of them married into rich families of the Chinese
+gentry and regarded themselves as no longer belonging to the Toba. In
+the course of time the court was completely sinified.
+
+The Chinese at the court now formed the leading element, and they tried
+to persuade the emperor to claim dominion over all China, at least in
+theory, by installing his capital in Loyang, the old centre of China.
+This transfer had the advantage for them personally that the territories
+in which their properties were situated were close to that capital, so
+that the grain they produced found a ready market. And it was indeed no
+longer possible to rule the great Toba empire, now covering the whole of
+North China from North Shansi. The administrative staff was so great
+that the transport system was no longer able to bring in sufficient
+food. For the present capital did not lie on a navigable river, and all
+the grain had to be carted, an expensive and unsafe mode of transport.
+Ultimately, in 493-4, the Chinese gentry officials secured the transfer
+of the capital to Loyang. In the years 490 to 499 the Toba emperor Wen
+Ti (471-499) took further decisive steps required by the stage reached
+in internal development. All aliens were prohibited from using their own
+language in public life. Chinese became the official language. Chinese
+clothing and customs also became general. The system of administration
+which had largely followed a pattern developed by the Wei dynasty in the
+early third century, was changed and took a form which became the model
+for the T'ang dynasty in the seventh century. It is important to note
+that in this period, for the first time, an office for religious affairs
+was created which dealt mainly with Buddhistic monasteries. While after
+the Toba period such an office for religious affairs disappeared again,
+this idea was taken up later by Japan when Japan accepted a Chinese-type
+of administration.
+
+[Illustration: 6 Sun Ch'�an, ruler of Wu. _From a painting by Yen
+Li-pen_ (_c._ 640-680).]
+
+[Illustration: 7 General view of the Buddhist cave-temples of Y�n-kang.
+In the foreground, the present village; in the background, the rampart.
+_Photo H.�Hammer-Morrisson._]
+
+Owing to his bringing up, the emperor no longer regarded himself as Toba
+but as Chinese; he adopted the Chinese culture, acting as he was
+bound to do if he meant to be no longer an alien ruler in North China.
+Already he regarded himself as emperor of all China, so that the South
+Chinese empire was looked upon as a rebel state that had to be
+conquered. While, however, he succeeded in everything else, the campaign
+against the south failed except for some local successes.
+
+The transfer of the capital to Loyang was a blow to the Toba nobles.
+Their herds became valueless, for animal products could not be carried
+over the long distance to the new capital. In Loyang the Toba nobles
+found themselves parted from their tribes, living in an unaccustomed
+climate and with nothing to do, for all important posts were occupied by
+Chinese. The government refused to allow them to return to the north.
+Those who did not become Chinese by finding their way into Chinese
+families grew visibly poorer and poorer.
+
+
+5 _Victory and retreat of Buddhism_
+
+What we said in regard to the religious position of the other alien
+peoples applied also to the Toba. As soon, however, as their empire
+grew, they, too, needed an "official" religion of their own. For a few
+years they had continued their old sacrifices to Heaven; then another
+course opened to them. The Toba, together with many Chinese living in
+the Toba empire, were all captured by Buddhism, and especially by its
+shamanist element. One element in their preference of Buddhism was
+certainly the fact that Buddhism accepted all foreigners alike--both the
+Toba and the Chinese were "foreign" converts to an essentially Indian
+religion; whereas the Confucianist Chinese always made the non-Chinese
+feel that in spite of all their attempts they were still "barbarians"
+and that only real Chinese could be real Confucianists.
+
+Secondly, it can be assumed that the Toba rulers by fostering Buddhism
+intended to break the power of the Chinese gentry. A few centuries
+later, Buddhism was accepted by the Tibetan kings to break the power of
+the native nobility, by the Japanese to break the power of a federation
+of noble clans, and still later by the Burmese kings for the same
+reason. The acceptance of Buddhism by rulers in the Far East always
+meant also an attempt to create a more autocratic, absolutistic r�gime.
+Mahayana Buddhism, as an ideal, desired a society without clear-cut
+classes under one enlightened ruler; in such a society all believers
+could strive to attain the ultimate goal of salvation.
+
+Throughout the early period of Buddhism in the Far East, the question
+had been discussed what should be the relations between the Buddhist
+monks and the emperor, whether they were subject to him or not. This was
+connected, of course, with the fact that to the early fourth century the
+Buddhist monks were foreigners who, in the view prevalent in the Far
+East, owed only a limited allegiance to the ruler of the land. The
+Buddhist monks at the Toba court now submitted to the emperor, regarding
+him as a reincarnation of Buddha. Thus the emperor became protector of
+Buddhism and a sort of god. This combination was a good substitute for
+the old Chinese theory that the emperor was the Son of Heaven; it
+increased the prestige and the splendour of the dynasty. At the same
+time the old shamanism was legitimized under a Buddhist
+reinterpretation. Thus Buddhism became a sort of official religion. The
+emperor appointed a Buddhist monk as head of the Buddhist state church,
+and through this "Pope" he conveyed endowments on a large scale to the
+church. T'an-yao, head of the state church since 460, induced the state
+to attach state slaves, i.e. enslaved family members of criminals, and
+their families to state temples. They were supposed to work on temple
+land and to produce for the upkeep of the temples and monasteries. Thus,
+the institution of "temple slaves" was created, an institution which
+existed in South Asia and Burma for a long time, and which greatly
+strengthened the economic position of Buddhism.
+
+Like all Turkish peoples, the Toba possessed a myth according to which
+their ancestors came into the world from a sacred grotto. The Buddhists
+took advantage of this conception to construct, with money from the
+emperor, the vast and famous cave-temple of Y�n-kang, in northern
+Shansi. If we come from the bare plains into the green river valley, we
+may see to this day hundreds of caves cut out of the steep cliffs of the
+river bank. Here monks lived in their cells, worshipping the deities of
+whom they had thousands of busts and reliefs sculptured in stone, some
+of more than life-size, some diminutive. The majestic impression made
+today by the figures does not correspond to their original effect, for
+they were covered with a layer of coloured stucco.
+
+We know only few names of the artists and craftsmen who made these
+objects. Probably some at least were foreigners from Turkestan, for in
+spite of the predominantly Chinese character of these sculptures, some
+of them are reminiscent of works in Turkestan and even in the Near East.
+In the past the influences of the Near East on the Far East--influences
+traced back in the last resort to Greece--were greatly exaggerated; it
+was believed that Greek art, carried through Alexander's campaign as far
+as the present Afghanistan, degenerated there in the hands of Indian
+imitators (the so-called Gandhara art) and ultimately passed on in more
+and more distorted forms through Turkestan to China. Actually, however,
+some eight hundred years lay between Alexander's campaign and the Toba
+period sculptures at Y�n-kang and, owing to the different cultural
+development, the contents of the Greek and the Toba-period art were
+entirely different. We may say, therefore, that suggestions came from
+the centre of the Greco-Bactrian culture (in the present Afghanistan)
+and were worked out by the Toba artists; old forms were filled with a
+new content, and the elements in the reliefs of Y�n-kang that seem to us
+to be non-Chinese were the result of this synthesis of Western
+inspiration and Turkish initiative. It is interesting to observe that
+all steppe rulers showed special interest in sculpture and, as a rule,
+in architecture; after the Toba period, sculpture flourished in China in
+the T'ang period, the period of strong cultural influence from Turkish
+peoples, and there was a further advance of sculpture and of the
+cave-dwellers' worship in the period of the "Five Dynasties" (906-960;
+three of these dynasties were Turkish) and in the Mongol period.
+
+But not all Buddhists joined the "Church", just as not all Taoists had
+joined the Church of Chang Ling's Taoism. Some Buddhists remained in the
+small towns and villages and suffered oppression from the central
+Church. These village Buddhist monks soon became instigators of a
+considerable series of attempts at revolution. Their Buddhism was of the
+so-called "Maitreya school", which promised the appearance on earth of a
+new Buddha who would do away with all suffering and introduce a Golden
+Age. The Chinese peasantry, exploited by the gentry, came to the support
+of these monks whose Messianism gave the poor a hope in this world. The
+nomad tribes also, abandoned by their nobles in the capital and
+wandering in poverty with their now worthless herds, joined these monks.
+We know of many revolts of Hun and Toba tribes in this period, revolts
+that had a religious appearance but in reality were simply the result of
+the extreme impoverishment of these remaining tribes.
+
+In addition to these conflicts between state and popular Buddhism,
+clashes between Buddhists and representatives of organized Taoism
+occurred. Such fights, however, reflected more the power struggle
+between cliques than between religious groups. The most famous incident
+was the action against the Buddhists in 446 which brought destruction to
+many temples and monasteries and death to many monks. Here, a mighty
+Chinese gentry faction under the leadership of the Ts'ui family had
+united with the Taoist leader K'ou Ch'ien-chih against another faction
+under the leadership of the crown prince.
+
+With the growing influence of the Chinese gentry, however, Confucianism
+gained ground again, until with the transfer of the capital to Loyang it
+gained a complete victory, taking the place of Buddhism and becoming
+once more as in the past the official religion of the state. This
+process shows us once more how closely the social order of the gentry
+was associated with Confucianism.
+
+
+
+(E) Succession States of the Toba (A.D. 550-580): Northern Ch'i dynasty,
+Northern Chou dynasty
+
+
+1 _Reasons for the splitting of the Toba empire_
+
+Events now pursued their logical course. The contrast between the
+central power, now become entirely Chinese, and the remains of the
+tribes who were with their herds mainly in Shansi and the Ordos region
+and were hopelessly impoverished, grew more and more acute. From 530
+onward the risings became more and more formidable. A few Toba who still
+remained with their old tribes placed themselves at the head of the
+rebels and conquered not only the whole of Shansi but also the capital,
+where there was a great massacre of Chinese and pro-Chinese Toba. The
+rebels were driven back; in this a man of the Kao family distinguished
+himself, and all the Chinese and pro-Chinese gathered round him. The Kao
+family, which may have been originally a Hsien-pi family, had its
+estates in eastern China and so was closely associated with the eastern
+Chinese gentry, who were the actual rulers of the Toba State. In 534
+this group took the impotent emperor of their own creation to the city
+of Yeh in the east, where he reigned _de jure_ for a further sixteen
+years. Then he was deposed, and Kao Yang made himself the first emperor
+of the Northern Ch'i dynasty (550-577).
+
+The national Toba group, on the other hand, found another man of the
+imperial family and established him in the west. After a short time this
+puppet was removed from the throne and a man of the Y�-wen family made
+himself emperor, founding the "Northern Chou dynasty" (557-580). The
+Hsien-pi family of Y�-wen was a branch of the Hsien-pi, but was closely
+connected with the Huns and probably of Turkish origin. All the still
+existing remains of Toba tribes who had eluded sinification moved into
+this western empire.
+
+The splitting of the Toba empire into these two separate realms was the
+result of the policy embarked on at the foundation of the empire. Once
+the tribal chieftains and nobles had been separated from their tribes
+and organized militarily, it was inevitable that the two elements should
+have different social destinies. The nobles could not hold their own
+against the Chinese; if they were not actually eliminated in one way or
+another, they disappeared into Chinese families. The rest, the people of
+the tribe, became destitute and were driven to revolt. The northern
+peoples had been unable to perpetuate either their tribal or their
+military organization, and the Toba had been equally unsuccessful in
+their attempt to perpetuate the two forms of organization alongside each
+other.
+
+These social processes are of particular importance because the ethnical
+disappearance of the northern peoples in China had nothing to do with
+any racial inferiority or with any particular power of assimilation; it
+was a natural process resulting from the different economic, social, and
+cultural organizations of the northern peoples and the Chinese.
+
+
+2 _Appearance of the (G�k) Turks_
+
+The Toba had liberated themselves early in the fifth century from the
+Juan-juan peril. None of the fighting that followed was of any great
+importance. The Toba resorted to the old means of defence against
+nomads--they built great walls. Apart from that, after their move
+southward to Loyang, their new capital, they were no longer greatly
+interested in their northern territories. When the Toba empire split
+into the Ch'i and the Northern Chou, the remaining Juan-juan entered
+into treaties first with one realm and then with the other: each realm
+wanted to secure the help of the Juan-juan against the other.
+
+Meanwhile there came unexpectedly to the fore in the north a people
+grouped round a nucleus tribe of Huns, the tribal union of the
+"T'u-ch�eh", that is to say the G�k Turks, who began to pursue a policy
+of their own under their khan. In 546 they sent a mission to the western
+empire, then in the making, of the Northern Chou, and created the first
+bonds with it, following which the Northern Chou became allies of the
+Turks. The eastern empire, Ch'i, accordingly made terms with the
+Juan-juan, but in 552 the latter suffered a crushing defeat at the hands
+of the Turks, their former vassals. The remains of the Juan-juan either
+fled to the Ch'i state or went reluctantly into the land of the Chou.
+Soon there was friction between the Juan-juan and the Ch'i, and in 555
+the Juan-juan in that state were annihilated. In response to pressure
+from the Turks, the Juan-juan in the western empire of the Northern Chou
+were delivered up to them and killed in the same year. The Juan-juan
+then disappeared from the history of the Far East. They broke up into
+their several tribes, some of which were admitted into the Turks' tribal
+league. A few years later the Turks also annihilated the Ephthalites,
+who had been allied with the Juan-juan; this made the Turks the dominant
+power in Central Asia. The Ephthalites (Yeh-ta, Haytal) were a mixed
+group which contained elements of the old Y�eh-chih and spoke an
+Indo-European language. Some scholars regard them as a branch of the
+Tocharians of Central Asia. One menace to the northern states of China
+had disappeared--that of the Juan-juan. Their place was taken by a much
+more dangerous power, the Turks.
+
+
+3 _The Northern Ch'i dynasty; the Northern Chou dynasty_
+
+In consequence of this development the main task of the Northern Chou
+state consisted in the attempt to come to some settlement with its
+powerful Turkish neighbours, and meanwhile to gain what it could from
+shrewd negotiations with its other neighbours. By means of intrigues and
+diplomacy it intervened with some success in the struggles in South
+China. One of the pretenders to the throne was given protection; he was
+installed in the present Hankow as a quasi-feudal lord depending on
+Chou, and there he founded the "Later Liang dynasty" (555-587). In this
+way Chou had brought the bulk of South China under its control without
+itself making any real contribution to that result.
+
+Unlike the Chinese state of Ch'i, Chou followed the old Toba tradition.
+Old customs were revived, such as the old sacrifice to Heaven and the
+lifting of the emperor on to a carpet at his accession to the throne;
+family names that had been sinified were turned into Toba names again,
+and even Chinese were given Toba names; but in spite of this the inner
+cohesion had been destroyed. After two centuries it was no longer
+possible to go back to the old nomad, tribal life. There were also too
+many Chinese in the country, with whom close bonds had been forged
+which, in spite of all attempts, could not be broken. Consequently there
+was no choice but to organize a state essentially similar to that of the
+great Toba empire.
+
+There is just as little of importance that can be said of the internal
+politics of the Ch'i dynasty. The rulers of that dynasty were thoroughly
+repulsive figures, with no positive achievements of any sort to their
+credit. Confucianism had been restored in accordance with the Chinese
+character of the state. It was a bad time for Buddhists, and especially
+for the followers of the popularized Taoism. In spite of this, about
+A.D. 555 great new Buddhist cave-temples were created in Lung-men, near
+Loyang, in imitation of the famous temples of Y�n-kang.
+
+The fighting with the western empire, the Northern Chou state, still
+continued, and Ch'i was seldom successful. In 563 Chou made preparations
+for a decisive blow against Ch'i, but suffered defeat because the Turks,
+who had promised aid, gave none and shortly afterwards began campaigns
+of their own against Ch'i. In 571 Ch'i had some success in the west
+against Chou, but then it lost parts of its territory to the South
+Chinese empire, and finally in 576-7 it was defeated by Chou in a great
+counter-offensive. Thus for some three years all North China was once
+more under a single rule, though of nothing approaching the strength of
+the Toba at the height of their power. For in all these campaigns the
+Turks had played an important part, and at the end they annexed further
+territory in the north of Ch'i, so that their power extended far into
+the east.
+
+Meanwhile intrigue followed intrigue at the court of Chou; the mutual
+assassinations within the ruling group were as incessant as in the last
+years of the great Toba empire, until the real power passed from the
+emperor and his Toba entourage to a Chinese family, the Yang. Yang
+Chien's daughter was the wife of a Chou emperor; his son was married to
+a girl of the Hun family Tu-ku; her sister was the wife of the father of
+the Chou emperor. Amid this tangled relationship in the imperial house
+it is not surprising that Yang Chien should attain great power. The
+Tu-ku were a very old family of the Hun nobility; originally the name
+belonged to the Hun house from which the _shan-y�_ had to be descended.
+This family still observed the traditions of the Hun rulers, and
+relationship with it was regarded as an honour even by the Chinese.
+Through their centuries of association with aristocratically organized
+foreign peoples, some of the notions of nobility had taken root among
+the Chinese gentry; to be related with old ruling houses was a welcome
+means of evidencing or securing a position of special distinction among
+the gentry. Yang Chien gained useful prestige from his family
+connections. After the leading Chinese cliques had regained predominance
+in the Chou empire, much as had happened before in the Toba empire, Yang
+Chien's position was strong enough to enable him to massacre the members
+of the imperial family and then, in 581, to declare himself emperor.
+Thus began the Sui dynasty, the first dynasty that was once more to rule
+all China.
+
+But what had happened to the Toba? With the ending of the Chou empire
+they disappeared for all time, just as the Juan-juan had done a little
+earlier. So far as the tribes did not entirely disintegrate, the people
+of the tribes seem during the last years of Toba and Chou to have joined
+Turkish and other tribes. In any case, nothing more is heard of them as
+a people, and they themselves lived on under the name of the tribe that
+led the new tribal league.
+
+Most of the Toba nobility, on the other hand, became Chinese. This
+process can be closely followed in the Chinese annals. The tribes that
+had disintegrated in the time of the Toba empire broke up into families
+of which some adopted the name of the tribe as their family name, while
+others chose Chinese family names. During the centuries that followed,
+in some cases indeed down to modern times, these families continue to
+appear, often playing an important part in Chinese history.
+
+
+
+(F) The Southern Empires
+
+
+1 _Economic and social situation in the south_
+
+During the 260 years of alien rule in North China, the picture of South
+China also was full of change. When in 317 the Huns had destroyed the
+Chinese Chin dynasty in the north, a Chin prince who normally would not
+have become heir to the throne declared himself, under the name Y�an Ti,
+the first emperor of the "Eastern Chin dynasty" (317-419). The capital
+of this new southern empire adjoined the present Nanking. Countless
+members of the Chinese gentry had fled from the Huns at that time and
+had come into the southern empire. They had not done so out of loyalty
+to the Chinese dynasty or out of national feeling, but because they saw
+little prospect of attaining rank and influence at the courts of the
+alien rulers, and because it was to be feared that the aliens would turn
+the fields into pasturage, and also that they would make an end of the
+economic and monetary system which the gentry had evolved for their own
+benefit.
+
+But the south was, of course, not uninhabited. There were already two
+groups living there--the old autochthonous population, consisting of
+Yao, Tai and Y�eh, and the earlier Chinese immigrants from the north,
+who had mainly arrived in the time of the Three Kingdoms, at the
+beginning of the third century A.D. The countless new immigrants now
+came into sharp conflict with the old-established earlier immigrants.
+Each group looked down on the other and abused it. The two immigrant
+groups in particular not only spoke different dialects but had developed
+differently in respect to manners and customs. A look for example at
+Formosa in the years after 1948 will certainly help in an understanding
+of this situation: analogous tensions developed between the new
+refugees, the old Chinese immigrants, and the native Formosan
+population. But let us return to the southern empires.
+
+The two immigrant groups also differed economically and socially: the
+old immigrants were firmly established on the large properties they had
+acquired, and dominated their tenants, who were largely autochthones; or
+they had engaged in large-scale commerce. In any case, they possessed
+capital, and more capital than was usually possessed by the gentry of
+the north. Some of the new immigrants, on the other hand, were military
+people. They came with empty hands, and they had no land. They hoped
+that the government would give them positions in the military
+administration and so provide them with means; they tried to gain
+possession of the government and to exclude the old settlers as far as
+possible. The tension was increased by the effect of the influx of
+Chinese in bringing more land into cultivation, thus producing a boom
+period such as is produced by the opening up of colonial land. Everyone
+was in a hurry to grab as much land as possible. There was yet a further
+difference between the two groups of Chinese: the old settlers had long
+lost touch with the remainder of their families in the north. They had
+become South Chinese, and all their interests lay in the south. The new
+immigrants had left part of their families in the north under alien
+rule. Their interests still lay to some extent in the north. They were
+working for the reconquest of the north by military means; at times
+individuals or groups returned to the north, while others persuaded the
+rest of their relatives to come south. It would be wrong to suppose that
+there was no inter-communication between the two parts into which China
+had fallen. As soon as the Chinese gentry were able to regain any
+footing in the territories under alien rule, the official relations,
+often those of belligerency, proceeded alongside unofficial intercourse
+between individual families and family groupings, and these latter were,
+as a rule, in no way belligerent.
+
+The lower stratum in the south consisted mainly of the remains of the
+original non-Chinese population, particularly in border and southern
+territories which had been newly annexed from time to time. In the
+centre of the southern state the way of life of the non-Chinese was very
+quickly assimilated to that of the Chinese, so that the aborigines were
+soon indistinguishable from Chinese. The remaining part of the lower
+class consisted of impoverished Chinese peasants. This whole lower
+section of the population rarely took any active and visible part in
+politics, except at times in the form of great popular risings.
+
+Until the third century, the south had been of no great economic
+importance, in spite of the good climate and the extraordinary fertility
+of the Yangtze valley. The country had been too thinly settled, and the
+indigenous population had not become adapted to organized trade. After
+the move southward of the Chin dynasty the many immigrants had made the
+country of the lower Yangtze more thickly populated, but not
+over-populated. The top-heavy court with more than the necessary number
+of officials (because there was still hope for a re-conquest of the
+north which would mean many new jobs for administrators) was a great
+consumer; prices went up and stimulated local rice production. The
+estates of the southern gentry yielded more than before, and naturally
+much more than the small properties of the gentry in the north where,
+moreover, the climate is far less favourable. Thus the southern
+landowners were able to acquire great wealth, which ultimately made
+itself felt in the capital.
+
+One very important development was characteristic in this period in the
+south, although it also occurred in the north. Already in pre-Han times,
+some rulers had gardens with fruit trees. The Han emperors had large
+hunting parks which were systematically stocked with rare animals; they
+also had gardens and hot-houses for the production of vegetables for the
+court. These "gardens" (_y�an_) were often called "manors" (_pieh-yeh_)
+and consisted of fruit plantations with luxurious buildings. We hear
+soon of water-cooled houses for the gentry, of artificial ponds for
+pleasure and fish breeding, artificial water-courses, artificial
+mountains, bamboo groves, and parks with parrots, ducks, and large
+animals. Here, the wealthy gentry of both north and south, relaxed from
+government work, surrounded by their friends and by women. These manors
+grew up in the hills, on the "village commons" where formerly the
+villagers had collected their firewood and had grazed their animals.
+Thus, the village commons begin to disappear. The original farm land was
+taxed, because it produced one of the two products subject to taxation,
+namely grain or mulberry leaves for silk production. But the village
+common had been and remained tax-free because it did not produce taxable
+things. While land-holdings on the farmland were legally restricted in
+their size, the "gardens" were unrestricted. Around A.D. 500 the ruler
+allowed high officials to have manors of three hundred mou size, while
+in the north a family consisting of husband and wife and children below
+fifteen years of age were allowed a farm of sixty mou only; but we hear
+of manors which were many times larger than the allowed size of three
+hundred. These manors began to play an important economic role, too:
+they were cultivated by tenants and produced fishes, vegetables, fruit
+and bamboo for the market, thus they gave more income than ordinary rice
+or wheat land.
+
+With the creation of manors the total amount of land under cultivation
+increased, though not the amount of grain-producing land. We gain the
+impression that from _c._ the third century A.D. on to the eleventh
+century the intensity of cultivation was generally lower than in the
+period before.
+
+The period from _c_. A.D. 300 on also seems to be the time of the second
+change in Chinese dietary habits. The first change occurred probably
+between 400 and 100 B.C. when the meat-eating Chinese reduced their meat
+intake greatly, gave up eating beef and mutton and changed over to some
+pork and dog meat. This first change was the result of increase of
+population and decrease of available land for pasturage. Cattle breeding
+in China was then reduced to the minimum of one cow or water-buffalo per
+farm for ploughing. Wheat was the main staple for the masses of the
+people. Between A.D. 300 and 600 rice became the main staple in the
+southern states although, theoretically, wheat could have been grown and
+some wheat probably was grown in the south. The vitamin and protein
+deficiencies which this change from wheat to rice brought forth, were
+made up by higher consumption of vegetables, especially beans, and
+partially also by eating of fish and sea food. In the north, rice became
+the staple food of the upper class, while wheat remained the main food
+of the lower classes. However, new forms of preparation of wheat, such
+as dumplings of different types, were introduced. The foreign rulers
+consumed more meat and milk products. Chinese had given up the use of
+milk products at the time of the first change, and took to them to some
+extent only in periods of foreign rule.
+
+
+2 _Struggles between cliques under the Eastern Chin dynasty_ (A.D.
+317-419)
+
+The officials immigrating from the north regarded the south as colonial
+country, and so as more or less uncivilized. They went into its
+provinces in order to get rich as quickly as possible, and they had no
+desire to live there for long: they had the same dislike of a provincial
+existence as had the families of the big landowners. Thus as a rule the
+bulk of the families remained in the capital, close to the court.
+Thither the products accumulated in the provinces were sent, and they
+found a ready sale, as the capital was also a great and long-established
+trading centre with a rich merchant class. Thus in the capital there was
+every conceivable luxury and every refinement of civilization. The
+people of the gentry class, who were maintained in the capital by
+relatives serving in the provinces as governors or senior officers,
+themselves held offices at court, though these gave them little to do.
+They had time at their disposal, and made use of it--in much worse
+intrigues than ever before, but also in music and poetry and in the
+social life of the harems. There is no question at all that the highest
+refinement of the civilization of the Far East between the fourth and
+the sixth century was to be found in South China, but the accompaniments
+of this over-refinement were terrible.
+
+We cannot enter into all the intrigues recorded at this time. The
+details are, indeed, historically unimportant. They were concerned only
+with the affairs of the court and its entourage. Not a single ruler of
+the Eastern Chin dynasty possessed personal or political qualities of
+any importance. The rulers' power was extremely limited because, with
+the exception of the founder of the state, Y�an Ti, who had come rather
+earlier, they belonged to the group of the new immigrants, and so had no
+firm footing and were therefore caught at once in the net of the newly
+re-grouping gentry class.
+
+The emperor Y�an Ti lived to see the first great rising. This rising
+(under Wang Tun) started in the region of the present Hankow, a region
+that today is one of the most important in China; it was already a
+centre of special activity. To it lead all the trade routes from the
+western provinces of Szechwan and Kweichow and from the central
+provinces of Hupei, Hunan, and Kiangsi. Normally the traffic from those
+provinces comes down the Yangtze, and thus in practice this region is
+united with that of the lower Yangtze, the environment of Nanking, so
+that Hankow might just as well have been the capital as Nanking. For
+this reason, in the period with which we are now concerned the region of
+the present Hankow was several times the place of origin of great
+risings whose aim was to gain control of the whole of the southern
+empire.
+
+Wang Tun had grown rich and powerful in this region; he also had near
+relatives at the imperial court; so he was able to march against the
+capital. The emperor in his weakness was ready to abdicate but died
+before that stage was reached. His son, however, defeated Wang Tun with
+the aid of General Y� Liang (A.D. 323). Y� Liang was the empress's
+brother; he, too, came from a northern family. Y�an Ti's successor also
+died early, and the young son of Y� Liang's sister came to the throne as
+Emperor Ch'eng (326-342); his mother ruled as regent, but Y� Liang
+carried on the actual business of government. Against this clique rose
+Su Ch�n, another member of the northern gentry, who had made himself
+leader of a bandit gang in A.D. 300 but had then been given a military
+command by the dynasty. In 328 he captured the capital and kidnapped the
+emperor, but then fell before the counterthrust of the Y� Liang party.
+The domination of Y� Liang's clique continued after the death of the
+twenty-one-years-old emperor. His twenty-year-old brother was set in
+his place; he, too, died two years later, and his two-year-old son
+became emperor (Mu Ti, 345-361).
+
+Meanwhile this clique was reinforced by the very important Huan family.
+This family came from the same city as the imperial house and was a very
+old gentry family of that city. One of the family attained a high post
+through personal friendship with Y� Liang: on his death his son Huan Wen
+came into special prominence as military commander.
+
+Huan Wen, like Wang Tun and others before him, tried to secure a firm
+foundation for his power, once more in the west. In 347 he reconquered
+Szechwan and deposed the local dynasty. Following this, Huan Wen and the
+Y� family undertook several joint campaigns against northern states--the
+first reaction of the south against the north, which in the past had
+always been the aggressor. The first fighting took place directly to the
+north, where the collapse of the "Later Chao" seemed to make
+intervention easy. The main objective was the regaining of the regions
+of eastern Honan, northern Anhwei and Kiangsu, in which were the family
+seats of Huan's and the emperor's families, as well as that of the Hsieh
+family which also formed an important group in the court clique. The
+purpose of the northern campaigns was not, of course, merely to defend
+private interests of court cliques: the northern frontier was the weak
+spot of the southern empire, for its plains could easily be overrun. It
+was then observed that the new "Earlier Ch'in" state was trying to
+spread from the north-west eastwards into this plain, and Ch'in was
+attacked in an attempt to gain a more favourable frontier territory.
+These expeditions brought no important practical benefit to the south;
+and they were not embarked on with full force, because there was only
+the one court clique at the back of them, and that not whole-heartedly,
+since it was too much taken up with the politics of the court.
+
+Huan Wen's power steadily grew in the period that followed. He sent his
+brothers and relatives to administer the regions along the upper
+Yangtze; those fertile regions were the basis of his power. In 371 he
+deposed the reigning emperor and appointed in his place a frail old
+prince who died a year later, as required, and was replaced by a child.
+The time had now come when Huan Wen might have ascended the throne
+himself, but he died. None of his family could assemble as much power as
+Huan Wen had done. The equality of strength of the Huan and the Hsieh
+saved the dynasty for a time.
+
+In 383 came the great assault of the Tibetan Fu Chien against the
+south. As we know, the defence was carried out more by the methods of
+diplomacy and intrigue than by military means, and it led to the
+disaster in the north already described. The successes of the southern
+state especially strengthened the Hsieh family, whose generals had come
+to the fore. The emperor (Hsiao Wu Ti, 373-396), who had come to the
+throne as a child, played no part in events at any time during his
+reign. He occupied himself occasionally with Buddhism, and otherwise
+only with women and wine. He was followed by his five-year-old son. At
+this time there were some changes in the court clique. In the Huan
+family Huan Hs�an, a son of Huan Wen, came especially into prominence.
+He parted from the Hsieh family, which had been closest to the emperor,
+and united with the Wang (the empress's) and Yin families. The Wang, an
+old Shansi family, had already provided two empresses, and was therefore
+strongly represented at court. The Yin had worked at first with the
+Hsieh, especially as the two families came from the same region, but
+afterwards the Yin went over to Huan Hs�an. At first this new clique had
+success, but later one of its generals, Liu Lao-chih, went over to the
+Hsieh clique, and its power declined. Wang Kung was killed, and Yin
+Chung-k'an fell away from Huan Hs�an and was killed by him in 399. Huan
+Hs�an himself, however, held his own in the regions loyal to him. Liu
+Lao-chih had originally belonged to the Hsieh clique, and his family
+came from a region not far from that of the Hsieh. He was very
+ambitious, however, and always took the side which seemed most to his
+own interest. For a time he joined Huan Hs�an; then he went over to the
+Hsieh, and finally returned to Huan Hs�an in 402 when the latter reached
+the height of his power. At that moment Liu Lao-chih was responsible for
+the defence of the capital from Huan Hs�an, but instead he passed over
+to him. Thus Huan Hs�an conquered the capital, deposed the emperor, and
+began a dynasty of his own. Then came the reaction, led by an earlier
+subordinate of Liu Lao-chih, Liu Y�. It may be assumed that these two
+army commanders were in some way related, though the two branches of
+their family must have been long separated. Liu Y� had distinguished
+himself especially in the suppression of a great popular rising which,
+around the year 400, had brought wide stretches of Chinese territory
+under the rebels' power, beginning with the southern coast. This rising
+was the first in the south. It was led by members of a secret society
+which was a direct continuation of the "Yellow Turbans" of the latter
+part of the second century A.D. and of organized church-Taoism. The
+whole course of this rising of the exploited and ill-treated lower
+classes was very similar to that of the popular rising of the "Yellow
+Turbans". The movement spread as far as the neighbourhood of Canton,
+but in the end it was suppressed, mainly by Liu Y�.
+
+Through these achievements Liu Y�'s military power and political
+influence steadily increased; he became the exponent of all the cliques
+working against the Huan clique. He arranged for his supporters to
+dispose of Huan Hs�an's chief collaborators; and then, in 404, he
+himself marched on the capital. Huan Hs�an had to flee, and in his
+flight he was killed in the upper Yangtze region. The emperor was
+restored to his throne, but he had as little to say as ever, for the
+real power was Liu Y�'s.
+
+Before making himself emperor, Liu Y� began his great northern campaign,
+aimed at the conquest of the whole of western China. The Toba had
+promised to remain neutral, and in 415 he was able to conquer the "Later
+Ch'in" in Shensi. The first aim of this campaign was to make more
+accessible the trade routes to Central Asia, which up to now had led
+through the difficult mountain passes of Szechwan; to this end treaties
+of alliance had been concluded with the states in Kansu against the
+"Later Ch'in". In the second place, this war was intended to increase
+Liu Y�'s military strength to such an extent that the imperial crown
+would be assured to him; and finally he hoped to cut the claws of
+pro-Huan Hs�an elements in the "Later Ch'in" kingdom who, for the sake
+of the link with Turkestan, had designs on Szechwan.
+
+
+3 _The Liu-Sung dynasty (A.D. 420-478) and the Southern Ch'i dynasty
+(479-501)_
+
+After his successes in 416-17 in Shensi, Liu Y� returned to the capital,
+and shortly after he lost the chief fruits of his victory to Ho-lien
+P'o-p'o, the Hun ruler in the north, while Liu Y� himself was occupied
+with the killing of the emperor (419) and the installation of a puppet.
+In 420 the puppet had to abdicate and Liu Y� became emperor. He called
+his dynasty the Sung dynasty, but to distinguish it from another and
+more famous Sung dynasty of later time his dynasty is also called the
+Liu-Sung dynasty.
+
+The struggles and intrigues of cliques against each other continued as
+before. We shall pass quickly over this period after a glance at the
+nature of these internal struggles.
+
+Part of the old imperial family and its following fled northwards from
+Liu Y� and surrendered to the Toba. There they agitated for a campaign
+of vengeance against South China, and they were supported at the court
+of the Toba by many families of the gentry with landed interests in the
+south. Thus long-continued fighting started between Sung and Toba,
+concerned mainly with the domains of the deposed imperial family and
+its following. This fighting brought little success to south China, and
+about 450 it produced among the Toba an economic and social crisis that
+brought the wars to a temporary close. In this pause the Sung turned to
+the extreme south, and tried to gain influence there and in Annam. The
+merchant class and the gentry families of the capital who were allied
+with it were those chiefly interested in this expansion.
+
+About 450 began the Toba policy of shifting the central government to
+the region of the Yellow River, to Loyang; for this purpose the frontier
+had to be pushed farther south. Their great campaign brought the Toba in
+450 down to the Yangtze. The Sung suffered a heavy defeat; they had to
+pay tribute, and the Toba annexed parts of their northern territory.
+
+The Sung emperors who followed were as impotent as their predecessors
+and personally much more repulsive. Nothing happened at court but
+drinking, licentiousness, and continual murders.
+
+From 460 onward there were a number of important risings of princes; in
+some of them the Toba had a hand. They hoped by supporting one or
+another of the pretenders to gain overlordship over the whole of the
+southern empire. In these struggles in the south the Hsiao family,
+thanks mainly to General Hsiao Tao-ch'eng, steadily gained in power,
+especially as the family was united by marriage with the imperial house.
+In 477 Hsiao Tao-ch'eng finally had the emperor killed by an accomplice,
+the son of a shamaness; he set a boy on the throne and made himself
+regent. Very soon after this the boy emperor and all the members of the
+imperial family were murdered, and Hsiao Tao-ch'eng created the
+"Southern Ch'i" dynasty (479-501). Once more the remaining followers of
+the deposed dynasty fled northward to the Toba, and at once fighting
+between Toba and the south began again.
+
+This fighting ended with a victory for the Toba and with the final
+establishment of the Toba in the new capital of Loyang. South China was
+heavily defeated again and again, but never finally conquered. There
+were intervals of peace. In the years between 480 and 490 there was less
+disorder in the south, at all events in internal affairs. Princes were
+more often appointed to governorships, and the influence of the cliques
+was thus weakened. In spite of this, a stable r�gime was not built up,
+and in 494 a prince rose against the youthful emperor. This prince, with
+the help of his clique including the Ch'en family, which later attained
+importance, won the day, murdered the emperor, and became emperor
+himself. All that is recorded about him is that he fought unsuccessfully
+against the Toba, and that he had the whole of his own family killed
+out of fear that one of its members might act exactly as he had done.
+After his death there were conflicts between the emperor's few remaining
+relatives; in these the Toba again had a hand. The victor was a person
+named Hsiao Yen; he removed the reigning emperor in the usual way and
+made himself emperor. Although he belonged to the imperial family, he
+altered the name of the dynasty, and reigned from 502 as the first
+emperor of the "Liang dynasty".
+
+[Illustration: 8 Detail from the Buddhist cave-reliefs of Lungmen. _From
+a print in the author's possession_.]
+
+[Illustration: 9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the 'Great Buddha Temple' at Chengting (Hopei). _Photo H.
+Hammer-Morrisson_.]
+
+
+4 _The Liang dynasty_ (A.D. 502-556)
+
+The fighting with the Toba continued until 515. As a rule the Toba were
+the more successful, not at least through the aid of princes of the
+deposed "Southern Ch'i dynasty" and their followers. Wars began also in
+the west, where the Toba tried to cut off the access of the Liang to the
+caravan routes to Turkestan. In 507, however, the Toba suffered an
+important defeat. The southern states had tried at all times to work
+with the Kansu states against the northern states; the Toba now followed
+suit and allied themselves with a large group of native chieftains of
+the south, whom they incited to move against the Liang. This produced
+great native unrest, especially in the provinces by the upper Yangtze.
+The natives, who were steadily pushed back by the Chinese peasants, were
+reduced to migrating into the mountain country or to working for the
+Chinese in semi-servile conditions; and they were ready for revolt and
+very glad to work with the Toba. The result of this unrest was not
+decisive, but it greatly reduced the strength of the regions along the
+upper Yangtze. Thus the main strength of the southern state was more
+than ever confined to the Nanking region.
+
+The first emperor of the Liang dynasty, who assumed the name Wu Ti
+(502-549), became well known in the Western world owing to his love of
+literature and of Buddhism. After he had come to the throne with the aid
+of his followers, he took no further interest in politics; he left that
+to his court clique. From now on, however, the political initiative
+really belonged to the north. At this time there began in the Toba
+empire the risings of tribal leaders against the government which we
+have fully described above. One of these leaders, Hou Ching, who had
+become powerful as a military leader in the north, tried in 547 to
+conclude a private alliance with the Liang to strengthen his own
+position. At the same time the ruler of the northern state of the
+"Northern Ch'i", then in process of formation, himself wanted to
+negotiate an alliance with the Liang, in order to be able to get rid of
+Hou Ching. There was indecision in Liang. Hou Ching, who had been
+getting into difficulties, now negotiated with a dissatisfied prince in
+Liang, invaded the country in 548 with the prince's aid, captured the
+capital in 549, and killed Emperor Wu. Hou Ching now staged the usual
+spectacle: he put a puppet on the imperial throne, deposed him eighteen
+months later and made himself emperor.
+
+This man of the Toba on the throne of South China was unable, however,
+to maintain his position; he had not sufficient backing. He was at war
+with the new rulers in the northern empire, and his own army, which was
+not very large, melted away; above all, he proceeded with excessive
+harshness against the helpers who had gained access for him to the
+Liang, and thereafter he failed to secure a following from among the
+leading cliques at court. In 552 he was driven out by a Chinese army led
+by one of the princes and was killed.
+
+The new emperor had been a prince in the upper Yangtze region, and his
+closest associates were engaged there. They did not want to move to the
+distant capital, Nanking, because their private financial interests
+would have suffered. The emperor therefore remained in the city now
+called Hankow. He left the eastern territory in the hands of two
+powerful generals, one of whom belonged to the Ch'en family, which he no
+longer had the strength to remove. In this situation the generals in the
+east made themselves independent, and this naturally produced tension at
+once between the east and the west of the Liang empire; this tension was
+now exploited by the leaders of the Chou state then in the making in the
+north. On the invitation of a clique in the south and with its support,
+the Chou invaded the present province of Hupei and in 555 captured the
+Liang emperor's capital. They were now able to achieve their old
+ambition: a prince of the Chou dynasty was installed as a feudatory of
+the north, reigning until 587 in the present Hankow. He was permitted to
+call his quasi-feudal territory a kingdom and his dynasty, as we know
+already, the "Later Liang dynasty".
+
+
+5 _The Ch'en dynasty_ (A.D. 557-588) _and its ending by the Sui_
+
+The more important of the independent generals in the east, Ch'en
+Pa-hsien, installed a shadow emperor, forced him to abdicate, and made
+himself emperor. The Ch'en dynasty which thus began was even feebler
+than the preceding dynasties. Its territory was confined to the lower
+Yangtze valley. Once more cliques and rival pretenders were at work and
+prevented any sort of constructive home policy. Abroad, certain
+advantages were gained in north China over the Northern Ch'i dynasty,
+but none of any great importance.
+
+Meanwhile in the north Yang Chien had brought into power the Chinese Sui
+dynasty. It began by liquidating the quasi-feudal state of the "Later
+Liang". Then followed, in 588-9, the conquest of the Ch'en empire,
+almost without any serious resistance. This brought all China once more
+under united rule, and a period of 360 years of division was ended.
+
+
+6 _Cultural achievements of the south_
+
+For nearly three hundred years the southern empire had witnessed
+unceasing struggles between important cliques, making impossible any
+peaceful development within the country. Culturally, however, the period
+was rich in achievement. The court and the palaces of wealthy members of
+the gentry attracted scholars and poets, and the gentry themselves had
+time for artistic occupations. A large number of the best-known Chinese
+poets appeared in this period, and their works plainly reflect the
+conditions of that time: they are poems for the small circle of scholars
+among the gentry and for cultured patrons, spiced with quotations and
+allusions, elaborate in metre and construction, masterpieces of
+aesthetic sensitivity--but unintelligible except to highly educated
+members of the aristocracy. The works were of the most artificial type,
+far removed from all natural feeling.
+
+Music, too, was never so assiduously cultivated as at this time. But the
+old Chinese music disappeared in the south as in the north, where
+dancing troupes and women musicians in the Sogdian commercial colonies
+of the province of Kansu established the music of western Turkestan.
+Here in the south, native courtesans brought the aboriginal, non-Chinese
+music to the court; Chinese poets wrote songs in Chinese for this music,
+and so the old Chinese music became unfashionable and was forgotten. The
+upper class, the gentry, bought these girls, often in large numbers, and
+organized them in troupes of singers and dancers, who had to appear on
+festal occasions and even at the court. For merchants and other people
+who lacked full social recognition there were brothels, a quite natural
+feature wherever there were considerable commercial colonies or
+collections of merchants, including the capital of the southern empire.
+
+In their ideology, as will be remembered, the Chinese gentry were always
+in favour of Confucianism. Here in the south, however, the association
+with Confucianism was less serious, the southern gentry, with their
+relations with the merchant class, having acquired the character of
+"colonial" gentry. They were brought up as Confucians, but were
+interested in all sorts of different religious movements, and
+especially in Buddhism. A different type of Buddhism from that in the
+north had spread over most of the south, a meditative Buddhism that was
+very close ideologically to the original Taoism, and so fulfilled the
+same social functions as Taoism. Those who found the official life with
+its intrigues repulsive, occupied themselves with meditative Buddhism.
+The monks told of the sad fate of the wicked in the life to come, and
+industriously filled the gentry with apprehension, so that they tried to
+make up for their evil deeds by rich gifts to the monasteries. Many
+emperors in this period, especially Wu Ti of the Liang dynasty, inclined
+to Buddhism. Wu Ti turned to it especially in his old age, when he was
+shut out entirely from the tasks of a ruler and was no longer satisfied
+with the usual pleasures of the court. Several times he instituted
+Buddhist ceremonies of purification on a large scale in the hope of so
+securing forgiveness for the many murders he had committed.
+
+Genuine Taoism also came to the fore again, and with it the popular
+religion with its magic, now amplified with the many local deities that
+had been taken over from the indigenous population of the south. For a
+time it became the fashion at court to pass the time in learned
+discussions between Confucians, Buddhists, and Taoists, which were quite
+similar to the debates between learned men centuries earlier at the
+wealthy little Indian courts. For the court clique this was more a
+matter of pastime than of religious controversy. It seems thoroughly in
+harmony with the political events that here, for the first time in the
+history of Chinese philosophy, materialist currents made their
+appearance, running parallel with Machiavellian theories of power for
+the benefit of the wealthiest of the gentry.
+
+  Principal dynasties of North and South China
+
+  _North and South_
+
+  Western Chin dynasty (A.D. 265-317)
+
+  _North                                          South_
+
+   1. Earlier Chao (Hsiung-nu)   304-329  1. Eastern Chin (Chinese) 317-419
+   2. Later Chao (Hsiung-nu)     328-352
+   3. Earlier Ch'in (Tibetans)   351-394
+   4. Later Ch'in (Tibetans)     384-417
+   5. Western Ch'in (Hsiung-nu)  385-431
+   6. Earlier Yen (Hsien-pi)     352-370
+   7. Later Yen (Hsien-pi)       384-409
+   8. Western Yen (Hsien-pi)     384-395
+   9. Southern Yen (Hsien-pi)    398-410
+  10. Northern Yen (Hsien-pi)    409-436
+  11. Tai (Toba)                 338-376
+  12. Earlier Liang (Chinese)    313-376
+  13. Northern Liang (Hsiung-nu) 397-439
+  14. Western Liang (Chinese?)   400-421
+  15. Later Liang (Tibetans)     386-403
+  16. Southern Liang (Hsien-pi)  379-414
+  17. Hsia (Hsiung-nu)           407-431
+  18. Toba (Turks)               385-550
+                                          2. Liu-Sung               420-478
+                                          3. Southern Ch'i          479-501
+  19. Northern Ch'i (Chinese?)   550-576  4. Liang                  502-556
+  20. Northern Chou (Toba)       557-579  5. Ch'en                  557-588
+  21. Sui (Chinese)              580-618  6. Sui                    580-618
+
+
+
+
+Chapter Eight
+
+THE EMPIRES OF THE SUI AND THE T'ANG
+
+
+
+(A) The Sui dynasty (A.D. 580-618)
+
+
+1 _Internal situation in the newly unified empire_
+
+The last of the northern dynasties, the Northern Chou, had been brought
+to an end by Yang Chien: rapid campaigns had made an end of the
+remaining petty states, and thus the Sui dynasty had come into power.
+China, reunited after 360 years, was again under Chinese rule. This
+event brought about a new epoch in the history of the Far East. But the
+happenings of 360 years could not be wiped out by a change of dynasty.
+The short Sui period can only be described as a period of transition to
+unified forms.
+
+In the last resort the union of the various parts of China proceeded
+from the north. The north had always, beyond question, been militarily
+superior, because its ruling class had consisted of warlike peoples. Yet
+it was not a northerner who had united China but a Chinese though, owing
+to mixed marriages, he was certainly not entirely unrelated to the
+northern peoples. The rule, however, of the actual northern peoples was
+at an end. The start of the Sui dynasty, while the Chou still held the
+north, was evidence, just like the emergence in the north-east some
+thirty years earlier of the Northern Ch'i dynasty, that the Chinese
+gentry with their landowning basis had gained the upper hand over the
+warrior nomads.
+
+The Chinese gentry had not come unchanged out of that struggle.
+Culturally they had taken over many things from the foreigners,
+beginning with music and the style of their clothing, in which they had
+entirely adopted the northern pattern, and including other elements of
+daily life. Among the gentry were now many formerly alien families who
+had gradually become entirely Chinese. On the other hand, the
+foreigners' feudal outlook had influenced the gentry, so that a sense
+of distinctions of rank had developed among them. There were Chinese
+families who regarded themselves as superior to the rest, just as had
+been the case among the northern peoples, and who married only among
+themselves or with the ruling house and not with ordinary families of
+the gentry. They paid great attention to their genealogies, had the
+state keep records of them and insisted that the dynastic histories
+mentioned their families and their main family members. Lists of
+prominent gentry families were set up which mentioned the home of each
+clan, so that pretenders could easily be detected. The rules of giving
+personal names were changed so that it became possible to identify a
+person's genealogical position within the family. At the same time the
+contempt of the military underwent modification; the gentry were even
+ready to take over high military posts, and also to profit by them.
+
+The new Sui empire found itself faced with many difficulties. During the
+three and a half centuries of division, north and south had developed in
+different ways. They no longer spoke the same language in everyday life
+(we distinguish to this day between a Nanking and Peking "High Chinese",
+to say nothing of dialects). The social and economic structures were
+very different in the two parts of the country. How could unity be
+restored in these things?
+
+Then there was the problem of population. The north-eastern plain had
+always been thickly populated; it had early come under Toba rule and had
+been able to develop further. The region round the old northern capital
+Ch'ang-an, on the other hand, had suffered greatly from the struggles
+before the Toba period and had never entirely recovered. Meanwhile, in
+the south the population had greatly increased in the region north of
+Nanking, while the regions south of the Yangtze and the upper Yangtze
+valley were more thinly peopled. The real South, i.e. the modern
+provinces of Fukien, Kwangtung and Kwangsi, was still underdeveloped,
+mainly because of the malaria there. In the matter of population the
+north unquestionably remained prominent.
+
+The founder of the Sui dynasty, known by his reign name of Wen Ti
+(589-604), came from the west, close to Ch'ang-an. There he and his
+following had their extensive domains. Owing to the scanty population
+there and the resulting shortage of agricultural labourers, these
+properties were very much less productive than the small properties in
+the north-east. This state of things was well known in the south, and it
+was expected, with good reason, that the government would try to
+transfer parts of the population to the north-west, in order to settle a
+peasantry round the capital for the support of its greatly increasing
+staff of officials, and to satisfy the gentry of the region. This
+produced several revolts in the south.
+
+As an old soldier who had long been a subject of the Toba, Wen Ti had no
+great understanding of theory: he was a practical man. He was
+anti-intellectual and emotionally attached to Buddhism; he opposed
+Confucianism for emotional reasons and believed that it could give him
+no serviceable officials of the sort he wanted. He demanded from his
+officials the same obedience and sense of duty as from his soldiers; and
+he was above all thrifty, almost miserly, because he realized that the
+finances of his state could only be brought into order by the greatest
+exertions. The budget had to be drawn up for the vast territory of the
+empire without any possibility of saying in advance whether the revenues
+would come in and whether the transport of dues to the capital would
+function.
+
+This cautious calculation was entirely justified, but it aroused great
+opposition. Both east and south were used to a much better style of
+living; yet the gentry of both regions were now required to cut down
+their consumption. On top of this they were excluded from the conduct of
+political affairs. In the past, under the Northern Ch'i empire in the
+north-east and under the Ch'en empire in the south, there had been
+thousands of positions at court in which the whole of the gentry could
+find accommodation of some kind. Now the central government was far in
+the west, and other people were its administrators. In the past the
+gentry had had a profitable and easily accessible market for their
+produce in the neighbouring capital; now the capital was far away,
+entailing long-distance transport at heavy risk with little profit.
+
+The dissatisfied circles of the gentry in the north-east and in the
+south incited Prince Kuang to rebellion. The prince and his followers
+murdered the emperor and set aside the heir-apparent; and Kuang came to
+the throne, assuming the name of Yang Ti. His first act was to transfer
+the capital back to the east, to Loyang, close to the grain-producing
+regions. His second achievement was to order the construction of great
+canals, to facilitate the transport of grain to the capital and to
+provide a valuable new market for the producers in the north-east and
+the south. It was at this time that the first forerunner of the famous
+"Imperial Canal" was constructed, the canal that connects the Yangtze
+with the Yellow River. Small canals, connecting various streams, had
+long been in existence, so that it was possible to travel from north to
+south by water, but these canals were not deep enough or broad enough to
+take large freight barges. There are records of lighters of 500 and even
+800 tons capacity! These are dimensions unheard of in the West in those
+times. In addition to a serviceable canal to the south, Yang Ti made
+another that went north almost to the present Peking.
+
+Hand in hand with these successes of the north-eastern and southern
+gentry went strong support for Confucianism, and a reorganization of the
+Confucian examination system. As a rule, however, the examinations were
+circumvented as an unimportant formality; the various governors were
+ordered each to send annually to the capital three men with the required
+education, for whose quality they were held personally responsible;
+merchants and artisans were expressly excluded.
+
+
+2 _Relations with Turks and with Korea_
+
+In foreign affairs an extraordinarily fortunate situation for the Sui
+dynasty had come into existence. The T'u-ch�eh, the Turks, much the
+strongest people of the north, had given support now to one and now to
+another of the northern kingdoms, and this, together with their many
+armed incursions, had made them the dominant political factor in the
+north. But in the first year of the Sui period (581) they split into two
+sections, so that the Sui had hopes of gaining influence over them. At
+first both sections of the Turks had entered into alliance with China,
+but this was not a sufficient safeguard for the Sui, for one of the
+Turkish khans was surrounded by Toba who had fled from the vanished
+state of the Northern Chou, and who now tried to induce the Turks to
+undertake a campaign for the reconquest of North China. The leader of
+this agitation was a princess of the Y�-wen family, the ruling family of
+the Northern Chou. The Chinese fought the Turks several times; but much
+more effective results were gained by their diplomatic missions, which
+incited the eastern against the western Turks and vice versa, and also
+incited the Turks against the Toba clique. In the end one of the
+sections of Turks accepted Chinese overlordship, and some tribes of the
+other section were brought over to the Chinese side; also, fresh
+disunion was sown among the Turks.
+
+Under the emperor Yang Ti, P'ei Ch� carried this policy further. He
+induced the T�l�s tribes to attack the T'u-y�-hun, and then himself
+attacked the latter, so destroying their power. The T'u-y�-hun were a
+people living in the extreme north of Tibet, under a ruling class
+apparently of Hsien-pi origin; the people were largely Tibetan. The
+purpose of the conquest of the T'u-y�-hun was to safeguard access to
+Central Asia. An effective Turkestan policy was, however, impossible so
+long as the Turks were still a formidable power. Accordingly, the
+intrigues that aimed at keeping the two sections of Turks apart were
+continued. In 615 came a decisive counter-attack from the Turks. Their
+khan, Shih-pi, made a surprise assault on the emperor himself, with all
+his following, in the Ordos region, and succeeded in surrounding them.
+They were in just the same desperate situation as when, eight centuries
+earlier, the Chinese emperor had been beleaguered by Mao Tun. But the
+Chinese again saved themselves by a trick. The young Chinese commander,
+Li Shih-min, succeeded in giving the Turks the impression that large
+reinforcements were on the way; a Chinese princess who was with the
+Turks spread the rumour that the Turks were to be attacked by another
+tribe--and Shih-pi raised the siege, although the Chinese had been
+entirely defeated.
+
+In the Sui period the Chinese were faced with a further problem. Korea
+or, rather, the most important of the three states in Korea, had
+generally been on friendly terms with the southern state during the
+period of China's division, and for this reason had been more or less
+protected from its North Chinese neighbours. After the unification of
+China, Korea had reason for seeking an alliance with the Turks, in order
+to secure a new counterweight against China.
+
+A Turco-Korean alliance would have meant for China a sort of
+encirclement that might have grave consequences. The alliance might be
+extended to Japan, who had certain interests in Korea. Accordingly the
+Chinese determined to attack Korea, though at the same time negotiations
+were set on foot. The fighting, which lasted throughout the Sui period,
+involved technical difficulties, as it called for combined land and sea
+attacks; in general it brought little success.
+
+
+3 _Reasons for collapse_
+
+The continual warfare entailed great expense, and so did the intrigues,
+because they depended for their success on bribery. Still more expensive
+were the great canal works. In addition to this, the emperor Yang Ti,
+unlike his father, was very extravagant. He built enormous palaces and
+undertook long journeys throughout the empire with an immense following.
+All this wrecked the prosperity which his father had built up and had
+tried to safeguard. The only productive expenditure was that on the
+canals, and they could not begin to pay in so short a period. The
+emperor's continual journeys were due, no doubt, in part simply to the
+pursuit of pleasure, though they were probably intended at the same time
+to hinder risings and to give the emperor direct control over every part
+of the country. But the empire was too large and too complex for its
+administration to be possible in the midst of journeying. The whole of
+the chancellery had to accompany the emperor, and all the transport
+necessary for the feeding of the emperor and his government had
+continually to be diverted to wherever he happened to be staying. All
+this produced disorder and unrest. The gentry, who at first had so
+strongly supported the emperor and had been able to obtain anything they
+wanted from him, now began to desert him and set up pretenders. From 615
+onward, after the defeat at the hands of the Turks, risings broke out
+everywhere. The emperor had to establish his government in the south,
+where he felt safer. There, however, in 618, he was assassinated by
+conspirators led by Toba of the Y�-wen family. Everywhere now
+independent governments sprang up, and for five years China was split up
+into countless petty states.
+
+[Illustration: Map 5: The T'ang realm _(about A.D. 750)_]
+
+
+
+(B) The T'ang dynasty (A.D. 618-906)
+
+
+1 _Reforms and decentralization_
+
+The hero of the Turkish siege, Li Shih-min, had allied himself with the
+Turks in 615-16. There were special reasons for his ability to do this.
+In his family it had been a regular custom to marry women belonging to
+Toba families, so that he naturally enjoyed the confidence of the Toba
+party among the Turks. There are various theories as to the origin of
+his family, the Li. The family itself claimed to be descended from the
+ruling family of the Western Liang. It is doubtful whether that family
+was purely Chinese, and in any case Li Shih-min's descent from it is a
+matter of doubt. It is possible that his family was a sinified Toba
+family, or at least came from a Toba region. However this may be, Li
+Shih-min continued the policy which had been pursued since the beginning
+of the Sui dynasty by the members of the deposed Toba ruling family of
+the Northern Chou--the policy of collaboration with the Turks in the
+effort to remove the Sui.
+
+The nominal leadership in the rising that now began lay in the hands of
+Li Shih-min's father, Li Y�an; in practice Li Shih-min saw to
+everything. At the end of 617 he was outside the first capital of the
+Sui, Ch'ang-an, with a Turkish army that had come to his aid on the
+strength of the treaty of alliance. After capturing Ch'ang-an he
+installed a puppet emperor there, a grandson of Yang Ti. In 618 the
+puppet was dethroned and Li Y�an, the father, was made emperor, in the
+T'ang dynasty. Internal fighting went on until 623, and only then was
+the whole empire brought under the rule of the T'ang.
+
+Great reforms then began. A new land law aimed at equalizing ownership,
+so that as far as possible all peasants should own the same amount of
+land and the formation of large estates be prevented. The law aimed also
+at protecting the peasants from the loss of their land. The law was,
+however, nothing but a modification of the Toba land law (_ch�n-t'ien_),
+and it was hoped that now it would provide a sound and solid economic
+foundation for the empire. From the first, however, members of the
+gentry who were connected with the imperial house were given a
+privileged position; then officials were excluded from the prohibition
+of leasing, so that there continued to be tenant farmers in addition to
+the independent peasants. Moreover, the temples enjoyed special
+treatment, and were also exempted from taxation. All these exceptions
+brought grist to the mills of the gentry, and so did the failure to
+carry into effect many of the provisions of the law. Before long a new
+gentry had been formed, consisting of the old gentry together with those
+who had directly aided the emperor's ascent to the throne. From the
+beginning of the eighth century there were repeated complaints that
+peasants were "disappearing". They were entering the service of the
+gentry as tenant farmers or farm workers, and owing to the privileged
+position of the gentry in regard to taxation, the revenue sank in
+proportion as the number of independent peasants decreased. One of the
+reasons for the flight of farmers may have been the corv�e laws
+connected with the "equal land" system: small families were much less
+affected by the corv�e obligation than larger families with many sons.
+It may be, therefore, that large families or at least sons of the sons
+in large families moved away in order to escape these obligations. In
+order to prevent irregularities, the T'ang renewed the old "_pao-chia_"
+system, as a part of a general reform of the administration in 624. In
+this system groups of five families were collectively responsible for
+the payment of taxes, the corv�e, for crimes committed by individuals
+within one group, and for loans from state agencies. Such a system is
+attested for pre-Christian times already; it was re-activated in the
+eleventh century and again from time to time, down to the present.
+
+Yet the system of land equalization soon broke down and was abolished
+officially around A.D. 780. But the classification of citizens into
+different classes, first legalized under the Toba, was retained and even
+more refined.
+
+As early as in the Han period there had been a dual administration--the
+civil and, independent of it, the military administration. One and the
+same area would belong to a particular administrative prefecture
+(_ch�n_) and at the same time to a particular military prefecture
+(_chou_). This dual organization had persisted during the Toba period
+and, at first, remained unchanged in the beginning of the T'ang.
+
+The backbone of the military power in the seventh century was the
+militia, some six hundred units of an average of a thousand men,
+recruited from the general farming population for short-term service:
+one month in five in the areas close to the capital. These men formed a
+part of the emperor's guards and were under the command of members of
+the Shensi gentry. This system which had its direct parallels in the Han
+time and evolved out of a Toba system, broke down when short offensive
+wars were no longer fought. Other imperial guards were staffed with
+young sons of the gentry who were stationed in the most delicate parts
+of the palaces. The emperor T'ai-tsung had his personal bodyguard, a
+part of his own army of conquest, consisting of his former bondsmen
+(_pu-ch'�_). The ranks of the Army of conquest were later filled by
+descendants of the original soldiers and by orphans.
+
+In the provinces, the armies of the military prefectures gradually lost
+their importance when wars became longer and militiamen proved
+insufficient. Many of the soldiers here were convicts and exiles. It is
+interesting to note that the title of the commander of these armies,
+_tu-tu_, in the fourth century meant a commander in the church-Taoist
+organization; it was used by the Toba and from the seventh century on
+became widely accepted as title among the Uigurs, Tibetans, Sogdians,
+Turks and Khotanese.
+
+When the prefectural armies and the militia forces weakened, special
+regional armies were created (from 678 on); this institution had existed
+among the Toba, but they had greatly reduced these armies after 500. The
+commanders of these new T'ang armies soon became more important than the
+civil administrators, because they commanded a number of districts
+making up a whole province. This assured a better functioning of the
+military machine, but put the governors-general in a position to pursue
+a policy of their own, even against the central government. In addition
+to this, the financial administration of their commands was put under
+them, whereas in the past it had been in the hands of the civil
+administration of the various provinces. The civil administration was
+also reorganized (see the table on pages 83-84).
+
+Towards the end of the T'ang period the state secretariat was set up in
+two parts: it was in possession of all information about the economic
+and political affairs of the empire, and it made the actual decisions.
+Moreover, a number of technical departments had been created--in all, a
+system that might compare favourably with European systems of the
+eighteenth century. At the end of the T'ang period there was added to
+this system a section for economic affairs, working quite independently
+of it and directly under the emperor; it was staffed entirely with
+economic or financial experts, while for the staffing of the other
+departments no special qualification was demanded besides the passing of
+the state examinations. In addition to these, at the end of the T'ang
+period a new department was in preparation, a sort of Privy Council, a
+mainly military organization, probably intended to control the generals
+(section 3 of the table on page 83), just as the state secretariat
+controlled the civil officials. The Privy Council became more and more
+important in the tenth century and especially in the Mongol epoch. Its
+absence in the early T'ang period gave the military governors much too
+great freedom, ultimately with baneful results.
+
+At first, however, the reforms of A.D. 624 worked well. The
+administration showed energy, and taxes flowed in. In the middle of the
+eighth century the annual budget of the state included the following
+items: over a million tons of grain for the consumption of the capital
+and the palace and for salaries of civil and military officials;
+twenty-seven million pieces of textiles, also for the consumption of
+capital and palace and army, and for supplementary purchases of grain;
+two million strings of money (a string nominally held a thousand copper
+coins) for salaries and for the army. This was much more than the state
+budget of the Han period. The population of the empire had also
+increased; it seems to have amounted to some fifty millions. In the
+capital a large staff of officials had been created to meet all
+administrative needs. The capital grew enormously, at times containing
+two million people. Great numbers of young members of the gentry
+streamed into the capital for the examinations held under the Confucian
+system.
+
+The crowding of people into the capital and the accumulation of
+resources there promoted a rich cultural life. We know of many poets of
+that period whose poems were real masterpieces; and artists whose works
+were admired centuries later. These poets and artists were the pioneers
+of the flourishing culture of the later T'ang period. Hand in hand with
+this went luxury and refinement of manners. For those who retired from
+the bustle of the capital to work on their estates and to enjoy the
+society of their friends, there was time to occupy themselves with
+Taoism and Buddhism, especially meditative Buddhism. Everyone, of
+course, was Confucian, as was fitting for a member of the gentry, but
+Confucianism was so taken for granted that it was not discussed. It was
+the basis of morality for the gentry, but held no problems. It no longer
+contained anything of interest.
+
+Conditions had been much the same once before, at the court of the Han
+emperors, but with one great difference: at that time everything of
+importance took place in the capital; now, in addition to the actual
+capital, Ch'ang-an, there was the second capital, Loyang, in no way
+inferior to the other in importance; and the great towns in the south
+also played their part as commercial and cultural centres that had
+developed in the 360 years of division between north and south. There
+the local gentry gathered to lead a cultivated life, though not quite in
+the grand style of the capital. If an official was transferred to the
+Yangtze, it no longer amounted to a punishment as in the past; he would
+not meet only uneducated people, but a society resembling that of the
+capital. The institution of governors-general further promoted this
+decentralization: the governor-general surrounded himself with a little
+court of his own, drawn from the local gentry and the local
+intelligentsia. This placed the whole edifice of the empire on a much
+broader foundation, with lasting results.
+
+
+2 _Turkish policy_
+
+The foreign policy of this first period of the T'ang, lasting until
+about 690, was mainly concerned with the Turks and Turkestan. There were
+still two Turkish realms in the Far East, both of considerable strength
+but in keen rivalry with each other. The T'ang had come into power with
+the aid of the eastern Turks, but they admitted the leader of the
+western Turks to their court; he had been at Ch'ang-an in the time of
+the Sui. He was murdered, however, by Chinese at the instigation of the
+eastern Turks. The next khan of the eastern Turks nevertheless turned
+against the T'ang, and gave his support to a still surviving pretender
+to the throne representing the Sui dynasty; the khan contended that the
+old alliance of the eastern Turks had been with the Sui and not with the
+T'ang. The T'ang therefore tried to come to terms once more with the
+western Turks, who had been affronted by the assassination; but the
+negotiations came to nothing in face of an approach made by the eastern
+Turks to the western, and of the distrust of the Chinese with which all
+the Turks were filled. About 624 there were strong Turkish invasions,
+carried right up to the capital. Suddenly, however, for reasons not
+disclosed by the Chinese sources, the Turks withdrew, and the T'ang were
+able to conclude a fairly honourable peace. This was the time of the
+maximum power of the eastern Turks. Shortly afterwards disturbances
+broke out (627), under the leadership of Turkish Uighurs and their
+allies. The Chinese took advantage of these disturbances, and in a great
+campaign in 629-30 succeeded in overthrowing the eastern Turks; the khan
+was taken to the imperial court in Ch'ang-an, and the Chinese emperor
+made himself "Heavenly Khan" of the Turks. In spite of the protest of
+many of the ministers, who pointed to the result of the settlement
+policy of the Later Han dynasty, the eastern Turks were settled in the
+bend of the upper Hwang-ho and placed more or less under the
+protectorate of two governors-general. Their leaders were admitted into
+the Chinese army, and the sons of their nobles lived at the imperial
+court. No doubt it was hoped in this way to turn the Turks into Chinese,
+as had been done with the Toba, though for entirely different reasons.
+More than a million Turks were settled in this way, and some of them
+actually became Chinese later and gained important posts.
+
+In general, however, this in no way broke the power of the Turks. The
+great Turkish empire, which extended as far as Byzantium, continued to
+exist. The Chinese success had done no more than safeguard the frontier
+from a direct menace and frustrate the efforts of the supporters of the
+Sui dynasty and the Toba dynasty, who had been living among the eastern
+Turks and had built on them. The power of the western Turks remained a
+lasting menace to China, especially if they should succeed in
+co-operating with the Tibetans. After the annihilation of the T'u-y�-hun
+by the Sui at the very beginning of the seventh century, a new political
+unit had formed in northern Tibet, the T'u-fan, who also seem to have
+had an upper class of Turks and Mongols and a Tibetan lower class. Just
+as in the Han period, Chinese policy was bound to be directed to
+preventing a union between Turks and Tibetans. This, together with
+commercial interests, seems to have been the political motive of the
+Chinese Turkestan policy under the T'ang.
+
+
+3 _Conquest of Turkestan and Korea. Summit of power_
+
+The Turkestan wars began in 639 with an attack on the city-state of
+Kao-ch'ang (Khocho). This state had been on more or less friendly terms
+with North China since the Toba period, and it had succeeded again and
+again in preserving a certain independence from the Turks. Now, however,
+Kao-ch'ang had to submit to the western Turks, whose power was
+constantly increasing. China made that submission a pretext for war. By
+640 the whole basin of Turkestan was brought under Chinese dominance.
+The whole campaign was really directed against the western Turks, to
+whom Turkestan had become subject. The western Turks had been crippled
+by two internal events, to the advantage of the Chinese: there had been
+a tribal rising, and then came the rebellion and the rise of the Uighurs
+(640-650). These events belong to Turkish history, and we shall confine
+ourselves here to their effects on Chinese history. The Chinese were
+able to rely on the Uighurs; above all, they were furnished by the T�l�s
+Turks with a large army, with which they turned once more against
+Turkestan in 647-48, and now definitely established their rule there.
+
+The active spirit at the beginning of the T'ang rule had not been the
+emperor but his son Li Shih-min, who was not, however, named as heir to
+the throne because he was not the eldest son. The result of this was
+tension between Li Shih-min and his father and brothers, especially the
+heir to the throne. When the brothers learned that Li Shih-min was
+claiming the succession, they conspired against him, and in 626, at the
+very moment when the western Turks had made a rapid incursion and were
+once more threatening the Chinese capital, there came an armed collision
+between the brothers, in which Li Shih-min was the victor. The brothers
+and their families were exterminated, the father compelled to abdicate,
+and Li Shih-min became emperor, assuming the name T'ai Tsung (627-649).
+His reign marked the zenith of the power of China and of the T'ang
+dynasty. Their inner struggles and the Chinese penetration of Turkestan
+had weakened the position of the Turks; the reorganization of the
+administration and of the system of taxation, the improved transport
+resulting from the canals constructed under the Sui, and the useful
+results of the creation of great administrative areas under strong
+military control, had brought China inner stability and in consequence
+external power and prestige. The reputation which she then obtained as
+the most powerful state of the Far East endured when her inner stability
+had begun to deteriorate. Thus in 638 the Sassanid ruler Jedzgerd sent a
+mission to China asking for her help against the Arabs. Three further
+missions came at intervals of a good many years. The Chinese declined,
+however, to send a military expedition to such a distance; they merely
+conferred on the ruler the title of a Chinese governor; this was of
+little help against the Arabs, and in 675 the last ruler, Peruz, fled to
+the Chinese court.
+
+The last years of T'ai Tsung's reign were filled with a great war
+against Korea, which represented a continuation of the plans of the Sui
+emperor Yang Ti. This time Korea came firmly into Chinese possession. In
+661, under T'ai Tsung's son, the Korean fighting was resumed, this time
+against Japanese who were defending their interests in Korea. This was
+the period of great Japanese enthusiasm for China. The Chinese system of
+administration was copied, and Buddhism was adopted, together with every
+possible element of Chinese culture. This meant increased trade with
+Japan, bringing in large profits to China, and so the Korean middleman
+was to be eliminated.
+
+T'ai Tsung's son, Kao Tsung (650-683), merely carried to a conclusion
+what had been begun. Externally China's prestige continued at its
+zenith. The caravans streamed into China from western and central Asia,
+bringing great quantities of luxury goods. At this time, however, the
+foreign colonies were not confined to the capital but were installed in
+all the important trading ports and inland trade centres. The whole
+country was covered by a commercial network; foreign merchants who had
+come overland to China met others who had come by sea. The foreigners
+set up their own counting-houses and warehouses; whole quarters of the
+capital were inhabited entirely by foreigners who lived as if they were
+in their own country. They brought with them their own religions:
+Manichaeism, Mazdaism, and Nestorian Christianity. The first Jews came
+into China, apparently as dealers in fabrics, and the first Arabian
+Mohammedans made their appearance. In China the the foreigners bought
+silkstuffs and collected everything of value that they could find,
+especially precious metals. Culturally this influx of foreigners
+enriched China; economically, as in earlier periods, it did not; its
+disadvantages were only compensated for a time by the very beneficial
+results of the trade with Japan, and this benefit did not last long.
+
+
+4 _The reign of the empress Wu: Buddhism and capitalism_
+
+The pressure of the western Turks had been greatly weakened in this
+period, especially as their attention had been diverted to the west,
+where the advance of Islam and of the Arabs was a new menace for them.
+On the other hand, from 650 onward the Tibetans gained immensely in
+power, and pushed from the south into the Tarim basin. In 678 they
+inflicted a heavy defeat on the Chinese, and it cost the T'ang decades
+of diplomatic effort before they attained, in 699, their aim of breaking
+up the Tibetans' realm and destroying their power. In the last year of
+Kao Tsung's reign, 683, came the first of the wars of liberation of the
+northern Turks, known until then as the western Turks, against the
+Chinese. And with the end of Kao Tsung's reign began the decline of the
+T'ang regime. Most of the historians attribute it to a woman, the later
+empress Wu. She had been a concubine of T'ai Tsung, and after his death
+had become a Buddhist nun--a frequent custom of the time--until Kao
+Tsung fell in love with her and made her a concubine of his own. In the
+end he actually divorced the empress and made the concubine empress
+(655). She gained more and more influence, being placed on a par with
+the emperor and soon entirely eliminating him in practice; in 680 she
+removed the rightful heir to the throne and put her own son in his
+place; after Kao Tsung's death in 683 she became regent for her son.
+Soon afterward she dethroned him in favour of his twenty-two-year-old
+brother; in 690 she deposed him too and made herself empress in the
+"Chou dynasty" (690-701). This officially ended the T'ang dynasty.
+
+Matters, however, were not so simple as this might suggest. For
+otherwise on the empress's deposition there would not have been a mass
+of supporters moving heaven and earth to treat the new empress Wei
+(705-712) in the same fashion. There is every reason to suppose that
+behind the empress Wu there was a group opposing the ruling clique. In
+spite of everything, the T'ang government clique was very pro-Turkish,
+and many Turks and members of Toba families had government posts and,
+above all, important military commands. No campaign of that period was
+undertaken without Turkish auxiliaries. The fear seems to have been felt
+in some quarters that this T'ang group might pursue a military policy
+hostile to the gentry. The T'ang group had its roots mainly in western
+China; thus the eastern Chinese gentry were inclined to be hostile to
+it. The first act of the empress Wu had been to transfer the capital to
+Loyang in the east. Thus, she tried to rely upon the co-operation of the
+eastern gentry which since the Northern Chou and Sui dynasties had been
+out of power. While the western gentry brought their children into
+government positions by claiming family privileges (a son of a high
+official had the right to a certain position without having passed the
+regular examinations), the sons of the eastern gentry had to pass
+through the examinations. Thus, there were differences in education and
+outlook between both groups which continued long after the death of the
+empress. In addition, the eastern gentry, who supported the empress Wu
+and later the empress Wei, were closely associated with the foreign
+merchants of western Asia and the Buddhist Church to which they adhered.
+In gratitude for help from the Buddhists, the empress Wu endowed them
+with enormous sums of money, and tried to make Buddhism a sort of state
+religion. A similar development had taken place in the Toba and also in
+the Sui period. Like these earlier rulers, the empress Wu seems to have
+aimed at combining spiritual leadership with her position as ruler of
+the empire.
+
+In this epoch Buddhism helped to create the first beginnings of
+large-scale capitalism. In connection with the growing foreign trade,
+the monasteries grew in importance as repositories of capital; the
+temples bought more and more land, became more and more wealthy, and so
+gained increasing influence over economic affairs. They accumulated
+large quantities of metal, which they stored in the form of bronze
+figures of Buddha, and with these stocks they exercised controlling
+influence over the money market. There is a constant succession of
+records of the total weight of the bronze figures, as an indication of
+the money value they represented. It is interesting to observe that
+temples and monasteries acquired also shops and had rental income from
+them. They further operated many mills, as did the owners of private
+estates (now called "_chuang_") and thus controlled the price of flour,
+and polished rice.
+
+The cultural influence of Buddhism found expression in new and improved
+translations of countless texts, and in the passage of pilgrims along
+the caravan routes, helped by the merchants, as far as western Asia and
+India, like the famous Hs�an-tsang. Translations were made not only from
+Indian or other languages into Chinese, but also, for instance, from
+Chinese into the Uighur and other Turkish tongues, and into Tibetan,
+Korean, and Japanese.
+
+The attitude of the Turks can only be understood when we realize that
+the background of events during the time of empress Wu was formed by the
+activities of groups of the eastern Chinese gentry. The northern Turks,
+who since 630 had been under Chinese overlordship, had fought many wars
+of liberation against the Chinese; and through the conquest of
+neighbouring Turks they had gradually become once more, in the
+decade-and-a-half after the death of Kao Tsung, a great Turkish realm.
+In 698 the Turkish khan, at the height of his power, demanded a Chinese
+prince for his daughter--not, as had been usual in the past, a princess
+for his son. His intention, no doubt, was to conquer China with the
+prince's aid, to remove the empress Wu, and to restore the T'ang
+dynasty--but under Turkish overlordship! Thus, when the empress Wu sent
+a member of her own family, the khan rejected him and demanded the
+restoration of the deposed T'ang emperor. To enforce this demand, he
+embarked on a great campaign against China. In this the Turks must have
+been able to rely on the support of a strong group inside China, for
+before the Turkish attack became dangerous the empress Wu recalled the
+deposed emperor, at first as "heir to the throne"; thus she yielded to
+the khan's principal demand.
+
+In spite of this, the Turkish attacks did not cease. After a series of
+imbroglios within the country in which a group under the leadership of
+the powerful Ts'ui gentry family had liquidated the supporters of the
+empress Wu shortly before her death, a T'ang prince finally succeeded in
+killing empress Wei and her clique. At first, his father ascended the
+throne, but was soon persuaded to abdicate in favour of his son, now
+called emperor Hs�ang Tsung (713-755), just as the first ruler of the
+T'ang dynasty had done. The practice of abdicating--in contradiction
+with the Chinese concept of the ruler as son of Heaven and the duties of
+a son towards his father--seems to have impressed Japan where similar
+steps later became quite common. With Hs�an Tsung there began now a
+period of forty-five years, which the Chinese describe as the second
+blossoming of T'ang culture, a period that became famous especially for
+its painting and literature.
+
+
+5 _Second blossoming of T'ang culture_
+
+The T'ang literature shows the co-operation of many favourable factors.
+The ancient Chinese classical style of official reports and decrees
+which the Toba had already revived, now led to the clear prose style of
+the essayists, of whom Han Y� (768-825) and Liu Tsung-y�an (747-796)
+call for special mention. But entirely new forms of sentences make their
+appearance in prose writing, with new pictures and similes brought from
+India through the medium of the Buddhist translations. Poetry was also
+enriched by the simple songs that spread in the north under Turkish
+influence, and by southern influences. The great poets of the T'ang
+period adopted the rules of form laid down by the poetic art of the
+south in the fifth century; but while at that time the writing of poetry
+was a learned pastime, precious and formalistic, the T'ang poets brought
+to it genuine feeling. Widespread fame came to Li T'ai-po (701-762) and
+Tu Fu (712-770); in China two poets almost equal to these two in
+popularity were Po Ch�-i (772-846) and Y�an Chen (779-831), who in their
+works kept as close as possible to the vernacular.
+
+New forms of poetry rarely made their appearance in the T'ang period,
+but the existing forms were brought to the highest perfection. Not until
+the very end of the T'ang period did there appear the form of a "free"
+versification, with lines of no fixed length. This form came from the
+indigenous folk-songs of south-western China, and was spread through the
+agency of the _filles de joie_ in the tea-houses. Before long it became
+the custom to string such songs together in a continuous series--the
+first step towards opera. For these song sequences were sung by way of
+accompaniment to the theatrical productions. The Chinese theatre had
+developed from two sources--from religious games, bullfights and
+wrestling, among Turkish and Mongol peoples, which developed into
+dancing displays; and from sacrificial games of South Chinese origin.
+Thus the Chinese theatre, with its union with music, should rather be
+called opera, although it offers a sort of pantomimic show. What
+amounted to a court conservatoire trained actors and musicians as early
+as in the T'ang period for this court opera. These actors and musicians
+were selected from the best-looking "commoners", but they soon tended to
+become a special caste with a legal status just below that of
+"burghers".
+
+In plastic art there are fine sculptures in stone and bronze, and we
+have also technically excellent fabrics, the finest of lacquer, and
+remains of artistic buildings; but the principal achievement of the
+T'ang period lies undoubtedly in the field of painting. As in poetry, in
+painting there are strong traces of alien influences; even before the
+T'ang period, the painter Hsieh Ho laid down the six fundamental laws of
+painting, in all probability drawn from Indian practice. Foreigners were
+continually brought into China as decorators of Buddhist temples, since
+the Chinese could not know at first how the new gods had to be
+presented. The Chinese regarded these painters as craftsmen, but admired
+their skill and their technique and learned from them.
+
+The most famous Chinese painter of the T'ang period is Wu Tao-tzu, who
+was also the painter most strongly influenced by Central Asian works. As
+a pious Buddhist he painted pictures for temples among others. Among the
+landscape painters, Wang Wei (721-759) ranks first; he was also a famous
+poet and aimed at uniting poem and painting into an integral whole. With
+him begins the great tradition of Chinese landscape painting, which
+attained its zenith later, in the Sung epoch.
+
+Porcelain had been invented in China long ago. There was as yet none of
+the white porcelain that is preferred today; the inside was a
+brownish-yellow; but on the whole it was already technically and
+artistically of a very high quality. Since porcelain was at first
+produced only for the requirements of the court and of high
+dignitaries--mostly in state factories--a few centuries later the T'ang
+porcelain had become a great rarity. But in the centuries that followed,
+porcelain became an important new article of Chinese export. The Chinese
+prisoners taken by the Arabs in the great battle of Samarkand (751), the
+first clash between the world of Islam and China, brought to the West
+the knowledge of Chinese culture, of several Chinese crafts, of the art
+of papermaking, and also of porcelain.
+
+The emperor Hs�an Tsung gave active encouragement to all things
+artistic. Poets and painters contributed to the elegance of his
+magnificent court ceremonial. As time went on he showed less and less
+interest in public affairs, and grew increasingly inclined to Taoism and
+mysticism in general--an outcome of the fact that the conduct of matters
+of state was gradually taken out of his hands. On the whole, however,
+Buddhism was pushed into the background in favour of Confucianism, as a
+reaction from the unusual privileges that had been accorded to the
+Buddhists in the past fifteen years under the empress Wu.
+
+
+6 _Revolt of a military governor_
+
+At the beginning of Hs�an Tsung's reign the capital had been in the east
+at Loyang; then it was transferred once more to Ch'ang-an in the west
+due to pressure of the western gentry. The emperor soon came under the
+influence of the unscrupulous but capable and energetic Li Lin-fu, a
+distant relative of the ruler. Li was a virtual dictator at the court
+from 736 to 752, who had first advanced in power by helping the
+concubine Wu, a relative of the famous empress Wu, and by continually
+playing the eastern against the western gentry. After the death of the
+concubine Wu, he procured for the emperor a new concubine named Yang, of
+a western family. This woman, usually called "Concubine Yang" (Yang
+Kui-fei), became the heroine of countless stage-plays and stories and
+even films; all the misfortunes that marked the end of Hs�an Tsung's
+reign were attributed solely to her. This is incorrect, as she was but a
+link in the chain of influences that played upon the emperor. Naturally
+she found important official posts for her brothers and all her
+relatives; but more important than these was a military governor named
+An Lu-shan (703-757). His mother was a Turkish shamaness, his father, a
+foreigner probably of Sogdian origin. An Lu-shan succeeded in gaining
+favour with the Li clique, which hoped to make use of him for its own
+ends. Chinese sources describe him as a prodigy of evil, and it will be
+very difficult today to gain a true picture of his personality. In any
+case, he was certainly a very capable officer. His rise started from a
+victory over the Kitan in 744. He spent some time establishing relations
+with the court and then went back to resume operations against the
+Kitan. He made so much of the Kitan peril that he was permitted a larger
+army than usual, and he had command of 150,000 troops in the
+neighbourhood of Peking. Meanwhile Li Lin-fu died. He had sponsored An
+as a counterbalance against the western gentry. When now, within the
+clique of Li Lin-fu, the Yang family tried to seize power, they turned
+against An Lu-shan. But he marched against the capital, Ch'ang-an, with
+200,000 men; on his way he conquered Loyang and made himself emperor
+(756: Yen dynasty). T'ang troops were sent against him under the
+leadership of the Chinese Kuo Tzu-i, a Kitan commander, and a Turk,
+Ko-shu Han.
+
+The first two generals had considerable success, but Ko-shu Han, whose
+task was to prevent access to the western capital, was quickly defeated
+and taken prisoner. The emperor fled betimes, and An Lu-shan captured
+Ch'ang-an. The emperor now abdicated; his son, emperor Su Tsung
+(756-762), also fled, though not with him into Szechwan, but into
+north-western Shensi. There he defended himself against An Lu-shan and
+his capable general Shih Ssu-ming (himself a Turk), and sought aid in
+Central Asia. A small Arab troop came from the caliph Abu-Jafar, and
+also small bands from Turkestan; of more importance was the arrival of
+Uighur cavalry in substantial strength. At the end of 757 there was a
+great battle in the neighbourhood of the capital, in which An Lu-shan
+was defeated by the Uighurs; shortly afterwards he was murdered by one
+of his eunuchs. His followers fled; Loyang was captured and looted by
+the Uighurs. The victors further received in payment from the T'ang
+government 10,000 rolls of silk with a promise of 20,000 rolls a year;
+the Uighur khan was given a daughter of the emperor as his wife. An
+Lu-shan's general, the Turk Shih Ssu-ming, entered into An Lu-shan's
+heritage, and dominated so large a part of eastern China that the
+Chinese once more made use of the Uighurs to bring him down. The
+commanders in the fighting against Shih Ssu-ming this time were once
+more Kuo Tzu-i and the Kitan general, together with P'u-ku Huai-en, a
+member of a T�l�s family that had long been living in China. At first
+Shih Ssu-ming was victorious, and he won back Loyang, but then he was
+murdered by his own son, and only by taking advantage of the
+disturbances that now arose were the government troops able to quell the
+dangerous rising.
+
+In all this, two things seem interesting and important. To begin with,
+An Lu-shan had been a military governor. His rising showed that while
+this new office, with its great command of power, was of value in
+attacking external enemies, it became dangerous, especially if the
+central power was weak, the moment there were no external enemies of any
+importance. An Lu-shan's rising was the first of many similar ones in
+the later T'ang period. The gentry of eastern China had shown themselves
+entirely ready to support An Lu-shan against the government, because
+they had hoped to gain advantage as in the past from a realm with its
+centre once more in the east. In the second place, the important part
+played by aliens in events within China calls for notice: not only were
+the rebels An Lu-shan and Shih Ssu-ming non-Chinese, but so also were
+most of the generals opposed to them. But they regarded themselves as
+Chinese, not as members of another national group. The Turkish Uighurs
+brought in to help against them were fighting actually against Turks,
+though they regarded those Turks as Chinese. We must not bring to the
+circumstances of those times the present-day notions with regard to
+national feeling.
+
+
+7 _The role of the Uighurs. Confiscation of the capital of the
+monasteries_
+
+This rising and its sequels broke the power of the dynasty, and also of
+the empire. The extremely sanguinary wars had brought fearful suffering
+upon the population. During the years of the rising, no taxes came in
+from the greater part of the empire, but great sums had to be paid to
+the peoples who had lent aid to the empire. And the looting by
+government troops and by the auxiliaries injured the population as much
+as the war itself did.
+
+When the emperor Su Tsung died, in 762, Tengri, the khan of the Uighurs,
+decided to make himself ruler over China. The events of the preceding
+years had shown him that China alone was entirely defenceless. Part of
+the court clique supported him, and only by the intervention of P'u-ku
+Huai-en, who was related to Tengri by marriage, was his plan frustrated.
+Naturally there were countless intrigues against P'u-ku Huai-en. He
+entered into alliance with the Tibetan T'u-fan, and in this way the
+union of Turks and Tibetans, always feared by the Chinese, had come into
+existence. In 763 the Tibetans captured and burned down the western
+capital, while P'u-ku Huai-en with the Uighurs advanced from the north.
+Undoubtedly this campaign would have been successful, giving an entirely
+different turn to China's destiny, if P'u-ku Huai-en had not died in 765
+and the Chinese under Kuo Tzu-i had not succeeded in breaking up the
+alliance. The Uighurs now came over into an alliance with the Chinese,
+and the two allies fell upon the Tibetans and robbed them of their
+booty. China was saved once more.
+
+Friendship with the Uighurs had to be paid for this time even more
+dearly. They crowded into the capital and compelled the Chinese to buy
+horses, in payment for which they demanded enormous quantities of
+silkstuffs. They behaved in the capital like lords, and expected to be
+maintained at the expense of the government. The system of military
+governors was adhered to in spite of the country's experience of them,
+while the difficult situation throughout the empire, and especially
+along the western and northern frontiers, facing the Tibetans and the
+more and more powerful Kitan, made it necessary to keep considerable
+numbers of soldiers permanently with the colours. This made the military
+governors stronger and stronger; ultimately they no longer remitted any
+taxes to the central government, but spent them mainly on their armies.
+Thus from 750 onward the empire consisted of an impotent central
+government and powerful military governors, who handed on their
+positions to their sons as a further proof of their independence. When
+in 781 the government proposed to interfere with the inheriting of the
+posts, there was a great new rising, which in 783 again extended as far
+as the capital; in 784 the T'ang government at last succeeded in
+overcoming it. A compromise was arrived at between the government and
+the governors, but it in no way improved the situation. Life became more
+and more difficult for the central government. In 780, the "equal land"
+system was finally officially given up and with it a tax system which
+was based upon the idea that every citizen had the same amount of land
+and, therefore, paid the same amount of taxes. The new system tried to
+equalize the tax burden and the corv�e obligation, but not the land.
+This change may indicate a step towards greater freedom for private
+enterprise. Yet it did not benefit the government, as most of the tax
+income was retained by the governors and was used for their armies and
+their own court.
+
+In the capital, eunuchs ruled in the interests of various cliques.
+Several emperors fell victim to them or to the drinking of "elixirs of
+long life".
+
+Abroad, the Chinese lost their dominion over Turkestan, for which
+Uighurs and Tibetans competed. There is nothing to gain from any full
+description of events at court. The struggle between cliques soon became
+a struggle between eunuchs and literati, in much the same way as at the
+end of the second Han dynasty. Trade steadily diminished, and the state
+became impoverished because no taxes were coming in and great armies had
+to be maintained, though they did not even obey the government.
+
+Events that exerted on the internal situation an influence not to be
+belittled were the break-up of the Uighurs (from 832 onward) the
+appearance of the Turkish Sha-t'o, and almost at the same time, the
+dissolution of the Tibetan empire (from 842). Many other foreigners had
+placed themselves under the Uighurs living in China, in order to be able
+to do business under the political protection of the Uighur embassy, but
+the Uighurs no longer counted, and the T'ang government decided to seize
+the capital sums which these foreigners had accumulated. It was hoped in
+this way especially to remedy the financial troubles of the moment,
+which were partly due to a shortage of metal for minting. As the trading
+capital was still placed with the temples as banks, the government
+attacked the religion of the Uighurs, Manichaeism, and also the
+religions of the other foreigners, Mazdaism, Nestorianism, and
+apparently also Islam. In 843 alien religions were prohibited; aliens
+were also ordered to dress like Chinese. This gave them the status of
+Chinese citizens and no longer of foreigners, so that Chinese justice
+had a hold over them. That this law abolishing foreign religions was
+aimed solely at the foreigners' capital is shown by the proceedings at
+the same time against Buddhism which had long become a completely
+Chinese Church. Four thousand, six hundred Buddhist temples, 40,000
+shrines and monasteries were secularized, and all statues were required
+to be melted down and delivered to the government, even those in private
+possession. Two hundred and sixty thousand, five hundred monks were to
+become ordinary citizens once more. Until then monks had been free of
+taxation, as had millions of acres of land belonging to the temples and
+leased to tenants or some 150,000 temple slaves.
+
+Thus the edict of 843 must not be described as concerned with religion:
+it was a measure of compulsion aimed at filling the government coffers.
+All the property of foreigners and a large part of the property of the
+Buddhist Church came into the hands of the government. The law was not
+applied to Taoism, because the ruling gentry of the time were, as so
+often before, Confucianist and at the same time Taoist. As early as 846
+there came a reaction: with the new emperor, Confucians came into power
+who were at the same time Buddhists and who now evicted some of the
+Taoists. From this time one may observe closer co-operation between
+Confucianism and Buddhism; not only with meditative Buddhism (Dhyana) as
+at the beginning of the T'ang epoch and earlier, but with the main
+branch of Buddhism, monastery Buddhism (Vinaya). From now onward the
+Buddhist doctrines of transmigration and retribution, which had been
+really directed against the gentry and in favour of the common people,
+were turned into an instrument serving the gentry: everyone who was
+unfortunate in this life must show such amenability to the government
+and the gentry that he would have a chance of a better existence at
+least in the next life. Thus the revolutionary Buddhist doctrine of
+retribution became a reactionary doctrine that was of great service to
+the gentry. One of the Buddhist Confucians in whose works this revised
+version makes its appearance most clearly was Niu Seng-yu, who was at
+once summoned back to court in 846 by the new emperor. Three new large
+Buddhist sects came into existence in the T'ang period. One of them, the
+school of the Pure Land (_Ching-t'u tsung_, since 641) required of its
+mainly lower class adherents only the permanent invocation of the Buddha
+Amithabha who would secure them a place in the "Western Paradise"--a
+place without social classes and economic troubles. The cult of
+Maitreya, which was always more revolutionary, receded for a while.
+
+
+8 _First successful peasant revolt. Collapse of the empire_
+
+The chief sufferers from the continual warfare of the military
+governors, the sanguinary struggles between the cliques, and the
+universal impoverishment which all this fighting produced, were, of
+course, the common people. The Chinese annals are filled with records of
+popular risings, but not one of these had attained any wide extent, for
+want of organization. In 860 began the first great popular rising, a
+revolt caused by famine in the province of Chekiang. Government troops
+suppressed it with bloodshed. Further popular risings followed. In 874
+began a great rising in the south of the present province of Hopei, the
+chief agrarian region.
+
+The rising was led by a peasant, Wang Hsien-chih, together with Huang
+Ch'ao, a salt merchant, who had fallen into poverty and had joined the
+hungry peasants, forming a fighting group of his own. It is important to
+note that Huang was well educated. It is said that he failed in the
+state examination. Huang is not the first merchant who became rebel. An
+Lu-shan, too, had been a businessman for a while. It was pointed out
+that trade had greatly developed in the T'ang period; of the lower
+Yangtze region people it was said that "they were so much interested in
+business that they paid no attention to agriculture". Yet merchants were
+subject to many humiliating conditions. They could not enter the
+examinations, except by illegal means. In various periods, from the Han
+time on, they had to wear special dress. Thus, a law from _c_. A.D. 300
+required them to wear a white turban on which name and type of business
+was written, and to wear one white and one black shoe. They were subject
+to various taxes, but were either not allowed to own land, or were
+allotted less land than ordinary citizens. Thus they could not easily
+invest in land, the safest investment at that time. Finally, the
+government occasionally resorted to the method which was often used in
+the Near East: when in 782 the emperor ran out of money, he requested
+the merchants of the capital to "loan" him a large sum--a request which
+in fact was a special tax.
+
+Wang and Huang both proved good organizers of the peasant masses, and in
+a short time they had captured the whole of eastern China, without the
+military governors being able to do anything against them, for the
+provincial troops were more inclined to show sympathy to the peasant
+armies than to fight them. The terrified government issued an order to
+arm the people of the other parts of the country against the rebels;
+naturally this helped the rebels more than the government, since the
+peasants thus armed went over to the rebels. Finally Wang was offered a
+high office. But Huang urged him not to betray his own people, and Wang
+declined the offer. In the end the government, with the aid of the
+troops of the Turkish Sha-t'o, defeated Wang and beheaded him (878).
+Huang Ch'ao now moved into the south-east and the south, where in 879 he
+captured and burned down Canton; according to an Arab source, over
+120,000 foreign merchants lost their lives in addition to the Chinese.
+From Canton Huang Ch'ao returned to the north, laden with loot from that
+wealthy commercial city. His advance was held up again by the Sha-t'o
+troops; he turned away to the lower Yangtze, and from there marched
+north again. At the end of 880 he captured the eastern capital. The
+emperor fled from the western capital, Ch'ang-an, into Szechwan, and
+Huang Ch'ao now captured with ease the western capital as well, and
+removed every member of the ruling family on whom he could lay hands. He
+then made himself emperor, in a Ch'i dynasty. It was the first time that
+a peasant rising had succeeded against the gentry.
+
+There was still, however, the greatest disorder in the empire. There
+were other peasant armies on the move, armies that had deserted their
+governors and were fighting for themselves; finally, there were still a
+few supporters of the imperial house and, above all, the Turkish
+Sha-t'o, who had a competent commander with the sinified name of Li
+K'o-yung. The Sha-t'o, who had remained loyal to the government,
+revolted the moment the government had been overthrown. They ran the
+risk, however, of defeat at the hands of an alien army of the Chinese
+government's, commanded by an Uighur, and they therefore fled to the
+Tatars. In spite of this, the Chinese entered again into relations with
+the Sha-t'o, as without them there could be no possibility of getting
+rid of Huang Ch'ao. At the end of 881 Li K'o-yung fell upon the capital;
+there was a fearful battle. Huang Ch'ao was able to hold out, but a
+further attack was made in 883 and he was defeated and forced to flee;
+in 884 he was killed by the Sha-t'o.
+
+This popular rising, which had only been overcome with the aid of
+foreign troops, brought the end of the T'ang dynasty. In 885 the T'ang
+emperor was able to return to the capital, but the only question now was
+whether China should be ruled by the Sha-t'o under Li K'o-yung or by
+some other military commander. In a short time Chu Ch'�an-chung, a
+former follower of Huang Ch'ao, proved to be the strongest of the
+commanders. In 890 open war began between the two leaders. Li K'o-yung
+was based on Shansi; Chu Ch'�an-chung had control of the plains in the
+east. Meanwhile the governors of Szechwan in the west and Chekiang in
+the south-east made themselves independent. Both declared themselves
+kings or emperors and set up dynasties of their own (from 895).
+
+Within the capital, the emperor was threatened several times by revolts,
+so that he had to flee and place himself in the hands of Li K'o-yung as
+the only leader on whose loyalty he could count. Soon after this,
+however, the emperor fell into the hands of Chu Ch'�an-chung, who killed
+the whole entourage of the emperor, particularly the eunuchs; after a
+time he had the emperor himself killed, set a puppet--as had become
+customary--on the throne, and at the beginning of 907 took over the rule
+from him, becoming emperor in the "Later Liang dynasty".
+
+That was the end of the T'ang dynasty, at the beginning of which China
+had risen to unprecedented power. Its downfall had been brought about by
+the military governors, who had built up their power and had become
+independent hereditary satraps, exploiting the people for their own
+purposes, and by their continual mutual struggles undermining the
+economic structure of the empire. In addition to this, the empire had
+been weakened first by its foreign trade and then by the dependence on
+foreigners, especially Turks, into which it had fallen owing to internal
+conditions. A large part of the national income had gone abroad. Such is
+the explanation of the great popular risings which ultimately brought
+the dynasty to its end.
+
+
+
+
+MODERN TIMES
+
+
+
+
+Chapter Nine
+
+THE EPOCH OF THE SECOND DIVISION OF CHINA
+
+
+
+(A) The period of transition: the Five Dynasties (A.D. 906-960)
+
+1 _Beginning of a new epoch_
+
+The rebellion of Huang Ch'ao in fact meant the end of the T'ang dynasty
+and the division of China into a number of independent states. Only for
+reasons of convenience we keep the traditional division into dynasties
+and have our new period begin with the official end of the T'ang dynasty
+in 906. We decided to call the new thousand years of Chinese history
+"Modern Times" in order to indicate that from _c_. 860 on changes in
+China's social structure came about which set this epoch off from the
+earlier thousand years which we called "The Middle Ages". Any division
+into periods is arbitrary as changes do not happen from one year to the
+next. The first beginnings of the changes which lead to the "Modern
+Times" actually can be seen from the end of An Lu-shan's rebellion on,
+from _c_. A.D. 780 on, and the transformation was more or less completed
+only in the middle of the eleventh century.
+
+If we want to characterize the "Modern Times" by one concept, we would
+have to call this epoch the time of the emergence of a middle class, and
+it will be remembered that the growth of the middle class in Europe was
+also the decisive change between the Middle Ages and Modern Times in
+Europe. The parallelism should, however, not be overdone. The gentry
+continued to play a role in China during the Modern Times, much more
+than the aristocracy did in Europe. The middle class did not ever really
+get into power during the whole period.
+
+While we will discuss the individual developments later in some detail,
+a few words about the changes in general might be given already here.
+The wars which followed Huang Ch'ao's rebellion greatly affected the
+ruling gentry. A number of families were so strongly affected that they
+lost their importance and disappeared. Commoners from the followers of
+Huang Ch'ao or other armies succeeded to get into power, to acquire
+property and to enter the ranks of the gentry. At about A.D. 1000 almost
+half of the gentry families were new families of low origin. The state,
+often ruled by men who had just moved up, was no more interested in the
+aristocratic manners of the old gentry families, especially no more
+interested in their genealogies. When conditions began to improve after
+A.D. 1000, and when the new families felt themselves as real gentry
+families, they tried to set up a mechanism to protect the status of
+their families. In the eleventh century private genealogies began to be
+kept, so that any claim against the clan could be checked. Clans set up
+rules of behaviour and procedure to regulate all affairs of the clan
+without the necessity of asking the state to interfere in case of
+conflict. Many such "clan rules" exist in China and also in Japan which
+took over this innovation. Clans set apart special pieces of land as
+clan land; the income of this land was to be used to secure a minimum of
+support for every clan member and his own family, so that no member ever
+could fall into utter poverty. Clan schools which were run by income
+from special pieces of clan land were established to guarantee an
+education for the members of the clan, again in order to make sure that
+the clan would remain a part of the _�lite_. Many clans set up special
+marriage rules for clan members, and after some time cross-cousin
+marriages between two or three families were legally allowed; such
+marriages tended to fasten bonds between clans and to prevent the loss
+of property by marriage. While on the one hand, a new "clan
+consciousness" grew up among the gentry families in order to secure
+their power, tax and corv�e legislation especially in the eleventh
+century induced many families to split up into small families.
+
+It can be shown that over the next centuries, the power of the family
+head increased. He was now regarded as owner of the property, not only
+mere administrator of family property. He got power over life and death
+of his children. This increase of power went together with a change of
+the position of the ruler. The period transition (until _c_. A.D. 1000)
+was followed by a period of "moderate absolutism" (until 1278) in which
+emperors as persons played a greater role than before, and some
+emperors, such as Shen Tsung (in 1071), even declared that they regarded
+the welfare of the masses as more important than the profit of the
+gentry. After 1278, however, the personal influence of the emperors grew
+further towards absolutism and in times became pure despotism.
+
+Individuals, especially family heads, gained more freedom in "Modern
+Times". Not only the period of transition, but also the following period
+was a time of much greater social mobility than existed in the Middle
+Ages. By various legal and/or illegal means people could move up into
+positions of power and wealth: we know of many merchants who succeeded
+in being allowed to enter the state examina and thus got access to jobs
+in the administration. Large, influential gentry families in the capital
+protected sons from less important families and thus gave them a chance
+to move into the gentry. Thus, these families built up a clientele of
+lesser gentry families which assisted them and upon the loyalty of which
+they could count. The gentry can from now on be divided into two parts.
+First, there was a "big gentry" which consisted of much fewer families
+than in earlier times and which directed the policy in the capital; and
+secondly, there was a "small gentry" which was operating mainly in the
+provincial cities, directing local affairs and bound by ties of loyalty
+to big gentry families. Gentry cliques now extended into the provinces
+and it often became possible to identify a clique with a geographical
+area, which, however, usually did not indicate particularistic
+tendencies.
+
+Individual freedom did not show itself only in greater social mobility.
+The restrictions which, for instance, had made the craftsmen and
+artisans almost into serfs, were gradually lifted. From the early
+sixteenth century on, craftsmen were free and no more subject to forced
+labour services for the state. Most craftsmen in this epoch still had
+their shops in one lane or street and lived above their shops, as they
+had done in the earlier period. But from now on, they began to organize
+in guilds of an essentially religious character, as similar guilds in
+other parts of Asia at the same time also did. They provided welfare
+services for their members, made some attempts towards standardization
+of products and prices, imposed taxes upon their members, kept their
+streets clean and tried to regulate salaries. Apprentices were initiated
+in a kind of semi-religious ceremony, and often meetings took place in
+temples. No guild, however, connected people of the same craft living in
+different cities. Thus, they did not achieve political power.
+Furthermore, each trade had its own guild; in Peking in the nineteenth
+century there existed over 420 different guilds. Thus, guilds failed to
+achieve political influence even within individual cities.
+
+Probably at the same time, regional associations, the so-called
+"_hui-kuan_" originated. Such associations united people from one city
+or one area who lived in another city. People of different trades, but
+mainly businessmen, came together under elected chiefs and councillors.
+Sometimes, such regional associations could function as pressure groups,
+especially as they were usually financially stronger than the guilds.
+They often owned city property or farm land. Not all merchants, however,
+were so organized. Although merchants remained under humiliating
+restrictions as to the colour and material of their dress and the
+prohibition to ride a horse, they could more often circumvent such
+restrictions and in general had much more freedom in this epoch.
+
+Trade, including overseas trade, developed greatly from now on. Soon we
+find in the coastal ports a special office which handled custom and
+registration affairs, supplied interpreters for foreigners, received
+them officially and gave good-bye dinners when they left. Down to the
+thirteenth century, most of this overseas trade was still in the hands
+of foreigners, mainly Indians. Entrepreneurs hired ships, if they were
+not ship-owners, hired trained merchants who in turn hired sailors
+mainly from the South-East Asian countries, and sold their own
+merchandise as well as took goods on commission. Wealthy Chinese gentry
+families invested money in such foreign enterprises and in some cases
+even gave their daughters in marriage to foreigners in order to profit
+from this business.
+
+We also see an emergence of industry from the eleventh century on. We
+find men who were running almost monopolistic enterprises, such as
+preparing charcoal for iron production and producing iron and steel at
+the same time; some of these men had several factories, operating under
+hired and qualified managers with more than 500 labourers. We find
+beginnings of a labour legislation and the first strikes (A.D. 782 the
+first strike of merchants in the capital; 1601 first strike of textile
+workers).
+
+Some of these labourers were so-called "vagrants", farmers who had
+secretly left their land or their landlord's land for various reasons,
+and had shifted to other regions where they did not register and thus
+did not pay taxes. Entrepreneurs liked to hire them for industries
+outside the towns where supervision by the government was not so strong;
+naturally, these "vagrants" were completely at the mercy of their
+employers.
+
+Since _c._ 780 the economy can again be called a money economy; more and
+more taxes were imposed in form of money instead of in kind. This
+pressure forced farmers out of the land and into the cities in order to
+earn there the cash they needed for their tax payments. These men
+provided the labour force for industries, and this in turn led to the
+strong growth of the cities, especially in Central China where trade and
+industries developed most.
+
+Wealthy people not only invested in industrial enterprises, but also
+began to make heavy investments in agriculture in the vicinity of
+cities in order to increase production and thus income. We find men who
+drained lakes in order to create fields below the water level for easy
+irrigation; others made floating fields on lakes and avoided land tax
+payments; still others combined pig and fish breeding in one operation.
+
+The introduction of money economy and money taxes led to a need for more
+coinage. As metal was scarce and minting very expensive, iron coins were
+introduced, silver became more and more common as means of exchange, and
+paper money was issued. As the relative value of these moneys changed
+with supply and demand, speculation became a flourishing business which
+led to further enrichment of people in business. Even the government
+became more money-minded: costs of operations and even of wars were
+carefully calculated in order to achieve savings; financial specialists
+were appointed by the government, just as clans appointed such men for
+the efficient administration of their clan properties.
+
+Yet no real capitalism or industrialism developed until towards the end
+of this epoch, although at the end of the twelfth century almost all
+conditions for such a development seemed to be given.
+
+
+2 _Political situation in the tenth century_
+
+The Chinese call the period from 906 to 960 the "period of the Five
+Dynasties" (_Wu Tai_). This is not quite accurate. It is true that there
+were five dynasties in rapid succession in North China; but at the same
+time there were ten other dynasties in South China. The ten southern
+dynasties, however, are regarded as not legitimate. The south was much
+better off with its illegitimate dynasties than the north with the
+legitimate ones. The dynasties in the south (we may dispense with giving
+their names) were the realms of some of the military governors so often
+mentioned above. These governors had already become independent at the
+end of the T'ang epoch; they declared themselves kings or emperors and
+ruled particular provinces in the south, the chief of which covered the
+territory of the present provinces of Szechwan, Kwangtung and Chekiang.
+In these territories there was comparative peace and economic
+prosperity, since they were able to control their own affairs and were
+no longer dependent on a corrupt central government. They also made
+great cultural progress, and they did not lose their importance later
+when they were annexed in the period of the Sung dynasty.
+
+As an example of these states one may mention the small state of Ch'u in
+the present province of Hunan. Here, Ma Yin, a former carpenter (died
+931), had made himself a king. He controlled some of the main trade
+routes, set up a clean administration, bought up all merchandise which
+the merchants brought, but allowed them to export only local products,
+mainly tea, iron and lead. This regulation gave him a personal income of
+several millions every year, and in addition fostered the exploitation
+of the natural resources of this hitherto retarded area.
+
+
+3 _Monopolistic trade in South China. Printing and paper money in the
+north_
+
+The prosperity of the small states of South China was largely due to the
+growth of trade, especially the tea trade. The habit of drinking tea
+seems to have been an ancient Tibetan custom, which spread to
+south-eastern China in the third century A.D. Since then there had been
+two main centres of production, Szechwan and south-eastern China. Until
+the eleventh century Szechwan had remained the leading producer, and tea
+had been drunk in the Tibetan fashion, mixed with flour, salt, and
+ginger. It then began to be drunk without admixture. In the T'ang epoch
+tea drinking spread all over China, and there sprang up a class of
+wholesalers who bought the tea from the peasants, accumulated stocks,
+and distributed them. From 783 date the first attempts of the state to
+monopolize the tea trade and to make it a source of revenue; but it
+failed in an attempt to make the cultivation a state monopoly. A tea
+commissariat was accordingly set up to buy the tea from the producers
+and supply it to traders in possession of a state licence. There
+naturally developed then a pernicious collaboration between state
+officials and the wholesalers. The latter soon eliminated the small
+traders, so that they themselves secured all the profit; official
+support was secured by bribery. The state and the wholesalers alike were
+keenly interested in the prevention of tea smuggling, which was strictly
+prohibited.
+
+The position was much the same with regard to salt. We have here for the
+first time the association of officials with wholesalers or even with a
+monopoly trade. This was of the utmost importance in all later times.
+Monopoly progressed most rapidly in Szechwan, where there had always
+been a numerous commercial community. In the period of political
+fragmentation Szechwan, as the principal tea-producing region and at the
+same time an important producer of salt, was much better off than any
+other part of China. Salt in Szechwan was largely produced by,
+technically, very interesting salt wells which existed there since _c._
+the first century B.C. The importance of salt will be understood if we
+remember that a grown-up person in China uses an average of twelve
+pounds of salt per year. The salt tax was the top budget item around
+A.D. 900.
+
+South-eastern China was also the chief centre of porcelain production,
+although china clay is found also in North China. The use of porcelain
+spread more and more widely. The first translucent porcelain made its
+appearance, and porcelain became an important article of commerce both
+within the country and for export. Already the Muslim rulers of Baghdad
+around 800 used imported Chinese porcelain, and by the end of the
+fourteenth century porcelain was known in Eastern Africa. Exports to
+South-East Asia and Indonesia, and also to Japan gained more and more
+importance in later centuries. Manufacture of high quality porcelain
+calls for considerable amounts of capital investment and working
+capital; small manufacturers produce too many second-rate pieces; thus
+we have here the first beginnings of an industry that developed
+industrial towns such as Ching-t�, in which the majority of the
+population were workers and merchants, with some 10,000 families alone
+producing porcelain. Yet, for many centuries to come, the state
+controlled the production and even the design of porcelain and
+appropriated most of the production for use at court or as gifts.
+
+The third important new development to be mentioned was that of
+printing, which since _c_. 770 was known in the form of wood-block
+printing. The first reference to a printed book dated from 835, and the
+most important event in this field was the first printing of the
+Classics by the orders of Feng Tao (882-954) around 940. The first
+attempts to use movable type in China occurred around 1045, although
+this invention did not get general acceptance in China. It was more
+commonly used in Korea from the thirteenth century on and revolutionized
+Europe from 1538 on. It seems to me that from the middle of the
+twentieth century on, the West, too, shows a tendency to come back to
+the printing of whole pages, but replacing the wood blocks by
+photographic plates or other means. In the Far East, just as in Europe,
+the invention of printing had far-reaching consequences. Books, which
+until then had been very dear, because they had had to be produced by
+copyists, could now be produced cheaply and in quantity. It became
+possible for a scholar to accumulate a library of his own and to work in
+a wide field, where earlier he had been confined to a few books or even
+a single text. The results were the spread of education, beginning with
+reading and writing, among wider groups, and the broadening of
+education: a large number of texts were read and compared, and no longer
+only a few. Private libraries came into existence, so that the imperial
+libraries were no longer the only ones. Publishing soon grew in extent,
+and in private enterprise works were printed that were not so serious
+and politically important as the classic books of the past. Thus a new
+type of literature, the literature of entertainment, could come into
+existence. Not all these consequences showed themselves at once; some
+made their first appearance later, in the Sung period.
+
+A fourth important innovation, this time in North China, was the
+introduction of prototypes of paper money. The Chinese copper "cash" was
+difficult or expensive to transport, simply because of its weight. It
+thus presented great obstacles to trade. Occasionally a region with an
+adverse balance of trade would lose all its copper money, with the
+result of a local deflation. From time to time, iron money was
+introduced in such deficit areas; it had for the first time been used in
+Szechwan in the first century B.C., and was there extensively used in
+the tenth century when after the conquest of the local state all copper
+was taken to the east by the conquerors. So long as there was an orderly
+administration, the government could send it money, though at
+considerable cost; but if the administration was not functioning well,
+the deflation continued. For this reason some provinces prohibited the
+export of copper money from their territory at the end of the eighth
+century. As the provinces were in the hands of military governors, the
+central government could do next to nothing to prevent this. On the
+other hand, the prohibition automatically made an end of all external
+trade. The merchants accordingly began to prepare deposit certificates,
+and in this way to set up a sort of transfer system. Soon these deposit
+certificates entered into circulation as a sort of medium of payment at
+first again in Szechwan, and gradually this led to a banking system and
+the linking of wholesale trade with it. This made possible a much
+greater volume of trade. Towards the end of the T'ang period the
+government began to issue deposit certificates of its own: the merchant
+deposited his copper money with a government agency, receiving in
+exchange a certificate which he could put into circulation like money.
+Meanwhile the government could put out the deposited money at interest,
+or throw it into general circulation. The government's deposit
+certificates were now printed. They were the predecessors of the paper
+money used from the time of the Sung.
+
+
+4 _Political history of the Five Dynasties_
+
+The southern states were a factor not to be ignored in the calculations
+of the northern dynasties. Although the southern kingdoms were involved
+in a confusion of mutual hostilities, any one of them might come to the
+fore as the ally of Turks or other northern powers. The capital of the
+first of the five northern dynasties (once more a Liang dynasty, but not
+to be confused with the Liang dynasty of the south in the sixth century)
+was, moreover, quite close to the territories of the southern dynasties,
+close to the site of the present K'aifeng, in the fertile plain of
+eastern China with its good means of transport. Militarily the town
+could not be held, for its one and only defence was the Yellow River.
+The founder of this Later Liang dynasty, Chu Ch'�an-chung (906), was
+himself an eastern Chinese and, as will be remembered, a past supporter
+of the revolutionary Huang Ch'ao, but he had then gone over to the T'ang
+and had gained high military rank.
+
+His northern frontier remained still more insecure than the southern,
+for Chu Ch'�an-chung did not succeed in destroying the Turkish general
+Li K'o-yung; on the contrary, the latter continually widened the range
+of his power. Fortunately he, too, had an enemy at his back--the Kitan
+(or Khitan), whose ruler had made himself emperor in 916, and so staked
+a claim to reign over all China. The first Kitan emperor held a middle
+course between Chu and Li, and so was able to establish and expand his
+empire in peace. The striking power of his empire, which from 937 onward
+was officially called the Liao empire, grew steadily, because the old
+tribal league of the Kitan was transformed into a centrally commanded
+military organization.
+
+To these dangers from abroad threatening the Later Liang state internal
+troubles were added. Chu Ch'�an-chung's dynasty was one of the three
+Chinese dynasties that have ever come to power through a popular rising.
+He himself was of peasant origin, and so were a large part of his
+subordinates and helpers. Many of them had originally been independent
+peasant leaders; others had been under Huang Ch'ao. All of them were
+opposed to the gentry, and the great slaughter of the gentry of the
+capital, shortly before the beginning of Chu's rule, had been welcomed
+by Chu and his followers. The gentry therefore would not co-operate with
+Chu and preferred to join the Turk Li K'o-yung. But Chu could not
+confidently rely on his old comrades. They were jealous of his success
+in gaining the place they all coveted, and were ready to join in any
+independent enterprise as opportunity offered. All of them, moreover, as
+soon as they were given any administrative post, busied themselves with
+the acquisition of money and wealth as quickly as possible. These abuses
+not only ate into the revenues of the state but actually produced a
+common front between the peasantry and the remnants of the gentry
+against the upstarts.
+
+In 917, after Li K'o-yung's death, the Sha-t'o Turks beat off an attack
+from the Kitan, and so were safe for a time from the northern menace.
+They then marched against the Liang state, where a crisis had been
+produced in 912 after the murder of Chu Ch'�an-chung by one of his sons.
+The Liang generals saw no reason why they should fight for the dynasty,
+and all of them went over to the enemy. Thus the "Later T'ang dynasty"
+(923-936) came into power in North China, under the son of Li K'o-yung.
+
+The dominant element at this time was quite clearly the Chinese gentry,
+especially in western and central China. The Sha-t'o themselves must
+have been extraordinarily few in number, probably little more than
+100,000 men. Most of them, moreover, were politically passive, being
+simple soldiers. Only the ruling family and its following played any
+active part, together with a few families related to it by marriage. The
+whole state was regarded by the Sha-t'o rulers as a sort of family
+enterprise, members of the family being placed in the most important
+positions. As there were not enough of them, they adopted into the
+family large numbers of aliens of all nationalities. Military posts were
+given to faithful members of Li K'o-yung's or his successor's bodyguard,
+and also to domestic servants and other clients of the family. Thus,
+while in the Later Liang state elements from the peasantry had risen in
+the world, some of these neo-gentry reaching the top of the social
+pyramid in the centuries that followed, in the Sha-t'o state some of its
+warriors, drawn from the most various peoples, entered the gentry class
+through their personal relations with the ruler. But in spite of all
+this the bulk of the officials came once more from the Chinese. These
+educated Chinese not only succeeded in winning over the rulers
+themselves to the Chinese cultural ideal, but persuaded them to adopt
+laws that substantially restricted the privileges of the Sha-t'o and
+brought advantages only to the Chinese gentry. Consequently all the
+Chinese historians are enthusiastic about the "Later T'ang", and
+especially about the emperor Ming Ti, who reigned from 927 onward, after
+the assassination of his predecessor. They also abused the Liang because
+they were against the gentry.
+
+In 936 the Later T'ang dynasty gave place to the Later Chin dynasty
+(936-946), but this involved no change in the structure of the empire.
+The change of dynasty meant no more than that instead of the son
+following the father the son-in-law had ascended the throne. It was of
+more importance that the son-in-law, the Sha-t'o Turk Shih Ching-t'ang,
+succeeded in doing this by allying himself with the Kitan and ceding to
+them some of the northern provinces. The youthful successor, however, of
+the first ruler of this dynasty was soon made to realize that the Kitan
+regarded the founding of his dynasty as no more than a transition stage
+on the way to their annexation of the whole of North China. The old
+Sha-t'o nobles, who had not been sinified in the slightest, suggested a
+preventive war; the actual court group, strongly sinified, hesitated,
+but ultimately were unable to avoid war. The war was very quickly
+decided by several governors in eastern China going over to the Kitan,
+who had promised them the imperial title. In the course of 946-7 the
+Kitan occupied the capital and almost the whole of the country. In 947
+the Kitan ruler proclaimed himself emperor of the Kitan and the Chinese.
+
+[Illustration: Map 6: The State of the later Tang dynasty]
+
+The Chinese gentry seem to have accepted this situation because a Kitan
+emperor was just as acceptable to them as a Sha-t'o emperor; but the
+Sha-t'o were not prepared to submit to the Kitan r�gime, because under
+it they would have lost their position of privilege. At the head of this
+opposition group stood the Sha-t'o general Liu Chih-y�an, who founded
+the "Later Han dynasty" (947-950). He was able to hold out against the
+Kitan only because in 947 the Kitan emperor died and his son had to
+leave China and retreat to the north; fighting had broken out between
+the empress dowager, who had some Chinese support, and the young heir to
+the throne. The new Turkish dynasty, however, was unable to withstand
+the internal Chinese resistance. Its founder died in 948, and his son,
+owing to his youth, was entirely in the hands of a court clique. In his
+effort to free himself from the tutelage of this group he made a
+miscalculation, for the men on whom he thought he could depend were
+largely supporters of the clique. So he lost his throne and his life,
+and a Chinese general, Kuo Wei, took his place, founding the "Later Chou
+dynasty" (951-959).
+
+A feature of importance was that in the years of the short-lived "Later
+Han dynasty" a tendency showed itself among the Chinese military leaders
+to work with the states in the south. The increase in the political
+influence of the south was due to its economic advance while the north
+was reduced to economic chaos by the continual heavy fighting, and by
+the complete irresponsibility of the Sha-t'o ruler in financial matters:
+several times in this period the whole of the money in the state
+treasury was handed out to soldiers to prevent them from going over to
+some enemy or other. On the other hand, there was a tendency in the
+south for the many neighbouring states to amalgamate, and as this
+process took place close to the frontier of North China the northern
+states could not passively look on. During the "Later Han" period there
+were wars and risings, which continued in the time of the "Later Chou".
+
+On the whole, the few years of the rule of the second emperor of the
+"Later Chou" (954-958) form a bright spot in those dismal fifty-five
+years. Sociologically regarded, that dynasty formed merely a transition
+stage on the way to the Sung dynasty that now followed: the Chinese
+gentry ruled under the leadership of an upstart who had risen from the
+ranks, and they ruled in accordance with the old principles of gentry
+rule. The Sha-t'o, who had formed the three preceding dynasties, had
+been so reduced that they were now a tiny minority and no longer
+counted. This minority had only been able to maintain its position
+through the special social conditions created by the "Later Liang"
+dynasty: the Liang, who had come from the lower classes of the
+population, had driven the gentry into the arms of the Sha-t'o Turks. As
+soon as the upstarts, in so far as they had not fallen again or been
+exterminated, had more or less assimilated themselves to the old gentry,
+and on the other hand the leaders of the Sha-t'o had become numerically
+too weak, there was a possibility of resuming the old form of rule.
+
+There had been certain changes in this period. The north-west of China,
+the region of the old capital Ch'ang-an, had been so ruined by the
+fighting that had gone on mainly there and farther north, that it was
+eliminated as a centre of power for a hundred years to come; it had been
+largely depopulated. The north was under the rule of the Kitan: its
+trade, which in the past had been with the Huang-ho basin, was now
+perforce diverted to Peking, which soon became the main centre of the
+power of the Kitan. The south, particularly the lower Yangtze region and
+the province of Szechwan, had made economic progress, at least in
+comparison with the north; consequently it had gained in political
+importance.
+
+One other event of this time has to be mentioned: the great persecution
+of Buddhism in 955, but not only because 30,336 temples and monasteries
+were secularized and only some 2,700 with 61,200 monks were left.
+Although the immediate reason for this action seems to have been that
+too many men entered the monasteries in order to avoid being taken as
+soldiers, the effect of the law of 955 was that from now on the
+Buddhists were put under regulations which clarified once and for ever
+their position within the framework of a society which had as its aim to
+define clearly the status of each individual within each social class.
+Private persons were no more allowed to erect temples and monasteries.
+The number of temples per district was legally fixed. A person could
+become monk only if the head of the family gave its permission. He had
+to be over fifteen years of age and had to know by heart at least one
+hundred pages of texts. The state took over the control of the
+ordinations which could be performed only after a successful
+examination. Each year a list of all monks had to be submitted to the
+government in two copies. Monks had to carry six identification cards
+with them, one of which was the ordination diploma for which a fee had
+to be paid to the government (already since 755). The diploma was, in
+the eleventh century, issued by the Bureau of Sacrifices, but the money
+was collected by the Ministry of Agriculture. It can be regarded as a
+payment _in lieu_ of land tax. The price was in the eleventh century 130
+strings, which represented the value of a small farm or the value of
+some 17,000 litres of grain. The price of the diploma went up to 220
+strings in 1101, and the then government sold 30,000 diplomas per year
+in order to get still more cash. But as diplomas could be traded, a
+black market developed, on which they were sold for as little as twenty
+strings.
+
+
+
+(B) Period of Moderate Absolutism
+
+
+(1) The Northern Sung dynasty
+
+1 _Southward expansion_
+
+The founder of the Sung dynasty, Chao K'uang-yin, came of a Chinese
+military family living to the south of Peking. He advanced from general
+to emperor, and so differed in no way from the emperors who had preceded
+him. But his dynasty did not disappear as quickly as the others; for
+this there were several reasons. To begin with, there was the simple
+fact that he remained alive longer than the other founders of dynasties,
+and so was able to place his rule on a firmer foundation. But in
+addition to this he followed a new course, which in certain ways
+smoothed matters for him and for his successors, in foreign policy.
+
+This Sung dynasty, as Chao K'uang-yin named it, no longer turned against
+the northern peoples, particularly the Kitan, but against the south.
+This was not exactly an heroic policy: the north of China remained in
+the hands of the Kitan. There were frequent clashes, but no real effort
+was made to destroy the Kitan, whose dynasty was now called "Liao". The
+second emperor of the Sung was actually heavily defeated several times
+by the Kitan. But they, for their part, made no attempt to conquer the
+whole of China, especially since the task would have become more and
+more burdensome the farther south the Sung expanded. And very soon there
+were other reasons why the Kitan should refrain from turning their whole
+strength against the Chinese.
+
+[Illustration: 10 Ladies of the Court: clay models which accompanied the
+dead person to the grave. T'ang period. _In the collection of the Museum
+f�r V�lkerkunde, Berlin_.]
+
+[Illustration: 11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan. _Museum f�r V�lkerkunde, Berlin, No. 1B_ 4524,
+_illustration B_ 408.]
+
+As we said, the Sung turned at once against the states in the south.
+Some of the many small southern states had made substantial economic and
+cultural advance, but militarily they were not strong. Chao
+K'uang-yin (named as emperor T'ai Tsu) attacked them in succession. Most
+of them fell very quickly and without any heavy fighting, especially
+since the Sung dealt mildly with the defeated rulers and their
+following. The gentry and the merchants in these small states could not
+but realize the advantages of a widened and well-ordered economic field,
+and they were therefore entirely in favour of the annexation of their
+country so soon as it proved to be tolerable. And the Sung empire could
+only endure and gain strength if it had control of the regions along the
+Yangtze and around Canton, with their great economic resources. The
+process of absorbing the small states in the south continued until 980.
+Before it was ended, the Sung tried to extend their influence in the
+south beyond the Chinese border, and secured a sort of protectorate over
+parts of Annam (973). This sphere of influence was politically
+insignificant and not directly of any economic importance; but it
+fulfilled for the Sung the same functions which colonial territories
+fulfilled for Europeans, serving as a field of operation for the
+commercial class, who imported raw materials from it--mainly, it is
+true, luxury articles such as special sorts of wood, perfumes, ivory,
+and so on--and exported Chinese manufactures. As the power of the empire
+grew, this zone of influence extended as far as Indonesia: the process
+had begun in the T'ang period. The trade with the south had not the
+deleterious effects of the trade with Central Asia. There was no sale of
+refined metals, and none of fabrics, as the natives produced their own
+textiles which sufficed for their needs. And the export of porcelain
+brought no economic injury to China, but the reverse.
+
+This Sung policy was entirely in the interest of the gentry and of the
+trading community which was now closely connected with them. Undoubtedly
+it strengthened China. The policy of nonintervention in the north was
+endurable even when peace with the Kitan had to be bought by the payment
+of an annual tribute. From 1004 onwards, 100,000 ounces of silver and
+200,000 bales of silk were paid annually to the Kitan, amounting in
+value to about 270,000 strings of cash, each of 1,000 coins. The state
+budget amounted to some 20,000,000 strings of cash. In 1038 the payments
+amounted to 500,000 strings, but the budget was by then much larger. One
+is liable to get a false impression when reading of these big payments
+if one does not take into account what percentage they formed of the
+total revenues of the state. The tribute to the Kitan amounted to less
+than 2 per cent of the revenue, while the expenditure on the army
+accounted for 25 per cent of the budget. It cost much less to pay
+tribute than to maintain large armies and go to war. Financial
+considerations played a great part during the Sung epoch. The taxation
+revenue of the empire rose rapidly after the pacification of the south;
+soon after the beginning of the dynasty the state budget was double that
+of the T'ang. If the state expenditure in the eleventh century had not
+continually grown through the increase in military expenditure--in spite
+of everything!--there would have come a period of great prosperity in
+the empire.
+
+
+2 _Administration and army. Inflation_
+
+The Sung emperor, like the rulers of the transition period, had gained
+the throne by his personal abilities as military leader; in fact, he had
+been made emperor by his soldiers as had happened to so many emperors in
+later Imperial Rome. For the next 300 years we observe a change in the
+position of the emperor. On the one hand, if he was active and
+intelligent enough, he exercised much more personal influence than the
+rulers of the Middle Ages. On the other hand, at the same time, the
+emperors were much closer to their ministers as before. We hear of
+ministers who patted the ruler on the shoulders when they retired from
+an audience; another one fell asleep on the emperor's knee and was not
+punished for this familiarity. The emperor was called "_kuan-chia_"
+(Administrator) and even called himself so. And in the early twelfth
+century an emperor stated "I do not regard the empire as my personal
+property; my job is to guide the people". Financially-minded as the Sung
+dynasty was, the cost of the operation of the palace was calculated, so
+that the emperor had a budget: in 1068 the salaries of all officials in
+the capital amounted to 40,000 strings of money per month, the armies
+100,000, and the emperor's ordinary monthly budget was 70,000 strings.
+For festivals, imperial birthdays, weddings and burials extra allowances
+were made. Thus, the Sung rulers may be called "moderate absolutists"
+and not despots.
+
+One of the first acts of the new Sung emperor, in 963, was a fundamental
+reorganization of the administration of the country. The old system of a
+civil administration and a military administration independent of it was
+brought to an end and the whole administration of the country placed in
+the hands of civil officials. The gentry welcomed this measure and gave
+it full support, because it enabled the influence of the gentry to grow
+and removed the fear of competition from the military, some of whom did
+not belong by birth to the gentry. The generals by whose aid the empire
+had been created were put on pension, or transferred to civil
+employment, as quickly as possible. The army was demobilized, and this
+measure was bound up with the settlement of peasants in the regions
+which war had depopulated, or on new land. Soon after this the revenue
+noticeably increased. Above all, the army was placed directly under the
+central administration, and the system of military governors was thus
+brought to an end. The soldiers became mercenaries of the state, whereas
+in the past there had been conscription. In 975 the army had numbered
+only 378,000, and its cost had not been insupportable. Although the
+numbers increased greatly, reaching 912,000 in 1017 and 1,259,000 in
+1045, this implied no increase in military strength; for men who had
+once been soldiers remained with the army even when they were too old
+for service. Moreover, the soldiers grew more and more exacting; when
+detachments were transferred to another region, for instance, the
+soldiers would not carry their baggage; an army of porters had to be
+assembled. The soldiers also refused to go to regions remote from their
+homes until they were given extra pay. Such allowances gradually became
+customary, and so the military expenditure grew by leaps and bounds
+without any corresponding increase in the striking power of the army.
+
+The government was unable to meet the whole cost of the army out of
+taxation revenue. The attempt was made to cover the expenditure by
+coining fresh money. In connection with the increase in commercial
+capital described above, and the consequent beginning of an industry,
+China's metal production had greatly increased. In 1050 thirteen times
+as much silver, eight times as much copper, and fourteen times as much
+iron was produced as in 800. Thus the circulation of the copper currency
+was increased. The cost of minting, however, amounted in China to about
+75 per cent and often over 100 per cent of the value of the money
+coined. In addition to this, the metal was produced in the south, while
+the capital was in the north. The coin had therefore to be carried a
+long distance to reach the capital and to be sent on to the soldiers in
+the north.
+
+To meet the increasing expenditure, an unexampled quantity of new money
+was put into circulation. The state budget increased from 22,200,000 in
+A.D. 1000 to 150,800,000 in 1021. The Kitan state coined a great deal of
+silver, and some of the tribute was paid to it in silver. The greatly
+increased production of silver led to its being put into circulation in
+China itself. And this provided a new field of speculation, through the
+variations in the rates for silver and for copper. Speculation was also
+possible with the deposit certificates, which were issued in quantities
+by the state from the beginning of the eleventh century, and to which
+the first true paper money was soon added. The paper money and the
+certificates were redeemable at a definite date, but at a reduction of
+at least 3 per cent of their value; this, too, yielded a certain revenue
+to the state.
+
+The inflation that resulted from all these measures brought profit to
+the big merchants in spite of the fact that they had to supply directly
+or indirectly all non-agricultural taxes (in 1160 some 40,000,000
+strings annually), especially the salt tax (50 per cent), wine tax (36
+per cent), tea tax (7 per cent) and customs (7 per cent). Although the
+official economic thinking remained Confucian, i.e. anti-business and
+pro-agrarian, we find in this time insight in price laws, for instance,
+that peace times and/or decrease of population induce deflation. The
+government had always attempted to manipulate the prices by
+interference. Already in much earlier times, again and again, attempts
+had been made to lower the prices by the so-called "ever-normal
+granaries" of the government which threw grain on the market when prices
+were too high and bought grain when prices were low. But now, in
+addition to such measures, we also find others which exhibit a deeper
+insight: in a period of starvation, the scholar and official Fan
+Chung-yen instead of officially reducing grain prices, raised the prices
+in his district considerably. Although the population got angry,
+merchants started to import large amounts of grain; as soon as this
+happened, Fan (himself a big landowner) reduced the price again. Similar
+results were achieved by others by just stimulating merchants to import
+grain into deficit areas.
+
+With the social structure of medieval Europe, similar financial and
+fiscal developments which gave new chances to merchants, eventually led
+to industrial capitalism and industrial society. In China, however, the
+gentry in their capacity of officials hindered the growth of independent
+trade, and permitted its existence only in association with themselves.
+As they also represented landed property, it was in land that the
+newly-formed capital was invested. Thus we see in the Sung period, and
+especially in the eleventh century, the greatest accumulation of estates
+that there had ever been up to then in China.
+
+Many of these estates came into origin as gifts of the emperor to
+individuals or to temples, others were created on hillsides on land
+which belonged to the villages. From this time on, the rest of the
+village commons in China proper disappeared. Villagers could no longer
+use the top-soil of the hills as fertilizer, or the trees as firewood
+and building material. In addition, the hillside estates diverted the
+water of springs and creeks, thus damaging severely the irrigation works
+of the villagers in the plains. The estates _(chuang)_ were controlled
+by appointed managers who often became hereditary managers. The tenants
+on the estates were quite often non-registered migrants, of whom we
+spoke previously as "vagrants", and as such they depended upon the
+managers who could always denounce them to the authorities which would
+lead to punishment because nobody was allowed to leave his home without
+officially changing his registration. Many estates operated mills and
+even textile factories with non-registered weavers. Others seem to have
+specialized in sheep breeding. Present-day village names ending with
+_-chuang_ indicate such former estates. A new development in this period
+were the "clan estates" _(i-chuang)_, created by Fan Chung-yen
+(989-1052) in 1048. The income of these clan estates were used for the
+benefit of the whole clan, were controlled by clan-appointed managers
+and had tax-free status, guaranteed by the government which regarded
+them as welfare institutions. Technically, they might better be called
+corporations because they were similar in structure to some of our
+industrial corporations. Under the Chinese economic system, large-scale
+landowning always proved socially and politically injurious. Up to very
+recent times the peasant who rented his land paid 40-50 per cent of the
+produce to the landowner, who was responsible for payment of the normal
+land tax. The landlord, however, had always found means of evading
+payment. As each district had to yield a definite amount of taxation,
+the more the big landowners succeeded in evading payment the more had to
+be paid by the independent small farmers. These independent peasants
+could then either "give" their land to the big landowner and pay rent to
+him, thus escaping from the attentions of the tax-officer, or simply
+leave the district and secretly enter another one where they were not
+registered. In either case the government lost taxes.
+
+Large-scale landowning proved especially injurious in the Sung period,
+for two reasons. To begin with, the official salaries, which had always
+been small in China, were now totally inadequate, and so the officials
+were given a fixed quantity of land, the yield of which was regarded as
+an addition to salary. This land was free from part of the taxes. Before
+long the officials had secured the liberation of the whole of their land
+from the chief taxes. In the second place, the taxation system was
+simplified by making the amount of tax proportional to the amount of
+land owned. The lowest bracket, however, in this new system of taxation
+comprised more land than a poor peasant would actually own, and this was
+a heavy blow to the small peasant-owners, who in the past had paid a
+proportion of their produce. Most of them had so little land that they
+could barely live on its yield. Their liability to taxation was at all
+times a very heavy burden to them while the big landowners got off
+lightly. Thus this measure, though administratively a saving of
+expense, proved unsocial.
+
+All this made itself felt especially in the south with its great estates
+of tax-evading landowners. Here the remaining small peasant-owners had
+to pay the new taxes or to become tenants of the landowners and lose
+their property. The north was still suffering from the war-devastation
+of the tenth century. As the landlords were always the first sufferers
+from popular uprisings as well as from war, they had disappeared,
+leaving their former tenants as free peasants. From this period on, we
+have enough data to observe a social "law": as the capital was the
+largest consumer, especially of high-priced products such as vegetables
+which could not be transported over long distances, the gentry always
+tried to control the land around the capital. Here, we find the highest
+concentration of landlords and tenants. Production in this circle
+shifted from rice and wheat to mulberry trees for silk, and vegetables
+grown under the trees. These urban demands resulted in the growth of an
+"industrial" quarter on the outskirts of the capital, in which
+especially silk for the upper classes was produced. The next circle also
+contained many landlords, but production was more in staple foods such
+as wheat and rice which could be transported. Exploitation in this
+second circle was not much less than in the first circle, because of
+less close supervision by the authorities. In the third circle we find
+independent subsistence farmers. Some provincial capitals, especially in
+Szechwan, exhibited a similar pattern of circles. With the shift of the
+capital, a complete reorganization appeared: landlords and officials
+gave up their properties, cultivation changed, and a new system of
+circles began to form around the new capital. We find, therefore, the
+grotesque result that the thinly populated province of Shensi in the
+north-west yielded about a quarter of the total revenues of the state:
+it had no large landowners, no wealthy gentry, with their evasion of
+taxation, only a mass of newly-settled small peasants' holdings. For
+this reason the government was particularly interested in that province,
+and closely watched the political changes in its neighbourhood. In 990 a
+man belonging to a sinified Toba family, living on the border of Shensi,
+had made himself king with the support of remnants of Toba tribes. In
+1034 came severe fighting, and in 1038 the king proclaimed himself
+emperor, in the Hsia dynasty, and threatened the whole of north-western
+China. Tribute was now also paid to this state (250,000 strings), but
+the fight against it continued, to save that important province.
+
+These were the main events in internal and external affairs during the
+Sung period until 1068. It will be seen that foreign affairs were of
+much less importance than developments in the country.
+
+
+3 _Reforms and Welfare schemes_
+
+The situation just described was bound to produce a reaction. In spite
+of the inflationary measures the revenue fell, partly in consequence of
+the tax evasions of the great landowners. It fell from 150,000,000 in
+1021 to 116,000,000 in 1065. Expenditure did not fall, and there was a
+constant succession of budget deficits. The young emperor Shen Tsung
+(1068-1085) became convinced that the policy followed by the ruling
+clique of officials and gentry was bad, and he gave his adhesion to a
+small group led by Wang An-shih (1021-1086). The ruling gentry clique
+represented especially the interests of the large tea producers and
+merchants in Szechwan and Kiangsi. It advocated a policy
+of _laisser-faire_ in trade: it held that everything would adjust itself.
+Wang An-shih himself came from Kiangsi and was therefore supported at
+first by the government clique, within which the Kiangsi group was
+trying to gain predominance over the Szechwan group. But Wang An-shih
+came from a poor family, as did his supporters, for whom he quickly
+secured posts. They represented the interests of the small landholders
+and the small dealers. This group succeeded in gaining power, and in
+carrying out a number of reforms, all directed against the monopolist
+merchants. Credits for small peasants were introduced, and officials
+were given bigger salaries, in order to make them independent and to
+recruit officials who were not big landowners. The army was greatly
+reduced, and in addition to the paid soldiery a national militia was
+created. Special attention was paid to the province of Shensi, whose
+conditions were taken more or less as a model.
+
+It seems that one consequence of Wang's reforms was a strong fall in the
+prices, i.e. a deflation; therefore, as soon as the first decrees were
+issued, the large plantation owners and the merchants who were allied to
+them, offered furious opposition. A group of officials and landlords who
+still had large properties in the vicinity of Loyang--at that time a
+quiet cultural centre--also joined them. Even some of Wang An-shih's
+former adherents came out against him. After a few years the emperor was
+no longer able to retain Wang An-shih and had to abandon the new policy.
+How really economic interests were here at issue may be seen from the
+fact that for many of the new decrees which were not directly concerned
+with economic affairs, such, for instance, as the reform of the
+examination system, Wang An-shih was strongly attacked though his
+opponents had themselves advocated them in the past and had no practical
+objection to offer to them. The contest, however, between the two groups
+was not over. The monopolistic landowners and their merchants had the
+upper hand from 1086 to 1102, but then the advocates of the policy
+represented by Wang again came into power for a short time. They had but
+little success to show, as they did not remain in power long enough and,
+owing to the strong opposition, they were never able to make their
+control really effective.
+
+Basically, both groups were against allowing the developing middle class
+and especially the merchants to gain too much freedom, and whatever
+freedom they in fact gained, came through extra-legal or illegal
+practices. A proverb of the time said "People hate their ruler as
+animals hate the net (of the hunter)". The basic laws of medieval times
+which had attempted to create stable social classes remained: down to
+the nineteenth century there were slaves, different classes of serfs or
+"commoners", and free burghers. Craftsmen remained under work
+obligation. Merchants were second-class people. Each class had to wear
+dresses of special colour and material, so that the social status of a
+person, even if he was not an official and thus recognizable by his
+insignia, was immediately clear when one saw him. The houses of
+different classes differed from one another by the type of tiles, the
+decorations of the doors and gates; the size of the main reception room
+of the house was prescribed and was kept small for all non-officials;
+and even size and form of the tombs was prescribed in detail for each
+class. Once a person had a certain privilege, he and his descendants
+even if they had lost their position in the bureaucracy, retained these
+privileges over generations. All burghers were admitted to the
+examinations and, thus, there was a certain social mobility allowed
+within the leading class of the society, and a new "small gentry"
+developed by this system.
+
+Yet, the wars of the transition period had created a feeling of
+insecurity within the gentry. The eleventh and twelfth centuries were
+periods of extensive social legislation in order to give the lower
+classes some degree of security and thus prevent them from attempting to
+upset the status quo. In addition to the "ever-normal granaries" of the
+state, "social granaries" were revived, into which all farmers of a
+village had to deliver grain for periods of need. In 1098 a bureau for
+housing and care was created which created homes for the old and
+destitute; 1102 a bureau for medical care sent state doctors to homes
+and hospitals as well as to private homes to care for poor patients;
+from 1104 a bureau of burials took charge of the costs of burials of
+poor persons. Doctors as craftsmen were under corv�e obligation and
+could easily be ordered by the state. Often, however, Buddhist priests
+took charge of medical care, burial costs and hospitalization. The state
+gave them premiums if they did good work. The Ministry of Civil Affairs
+made the surveys of cases and costs, while the Ministry of Finances paid
+the costs. We hear of state orphanages in 1247, a free pharmacy in 1248,
+state hospitals were reorganized in 1143. In 1167 the government gave
+low-interest loans to poor persons and (from 1159 on) sold cheap grain
+from state granaries. Fire protection services in large cities were
+organized. Finally, from 1141 on, the government opened up to
+twenty-three geisha houses for the entertainment of soldiers who were
+far from home in the capital and had no possibility for other
+amusements. Public baths had existed already some centuries ago; now
+Buddhist temples opened public baths as social service.
+
+Social services for the officials were also extended. Already from the
+eighth century on, offices were closed every tenth day and during
+holidays, a total of almost eighty days per year. Even criminals got
+some leave and exilees had the right of a home leave once every three
+years. The pensions for retired officials after the age of seventy which
+amounted to 50 per cent of the salary from the eighth century on, were
+again raised, though widows did not receive benefits.
+
+
+4 _Cultural situation (philosophy, religion, literature, painting)_
+
+Culturally the eleventh century was the most active period China had so
+far experienced, apart from the fourth century B.C. As a consequence of
+the immensely increased number of educated people resulting from the
+invention of printing, circles of scholars and private schools set up by
+scholars were scattered all over the country. The various philosophical
+schools differed in their political attitude and in the choice of
+literary models with which they were politically in sympathy. Thus Wang
+An-shih and his followers preferred the rigid classic style of Han Y�
+(768-825) who lived in the T'ang period and had also been an opponent of
+the monopolistic tendencies of pre-capitalism. For the Wang An-shih
+group formed itself into a school with a philosophy of its own and with
+its own commentaries on the classics. As the representative of the small
+merchants and the small landholders, this school advocated policies of
+state control and specialized in the study and annotation of classical
+books which seemed to favour their ideas.
+
+But the Wang An-shih school was unable to hold its own against the
+school that stood for monopolist trade capitalism, the new philosophy
+described as Neo-Confucianism or the Sung school. Here Confucianism and
+Buddhism were for the first time united. In the last centuries,
+Buddhistic ideas had penetrated all of Chinese culture: the slaughtering
+of animals and the executions of criminals were allowed only on certain
+days, in accordance with Buddhist rules. Formerly, monks and nuns had to
+greet the emperor as all citizens had to do; now they were exempt from
+this rule. On the other hand, the first Sung emperor was willing to
+throw himself to the earth in front of the Buddha statues, but he was
+told he did not have to do it because he was the "Buddha of the present
+time" and thus equal to the God. Buddhist priests participated in the
+celebrations on the emperor's birthday, and emperors from time to time
+gave free meals to large crowds of monks. Buddhist thought entered the
+field of justice: in Sung time we hear complaints that judges did not
+apply the laws and showed laxity, because they hoped to gain religious
+merit by sparing the lives of criminals. We had seen how the main
+current of Buddhism had changed from a revolutionary to a reactionary
+doctrine. The new greater gentry of the eleventh century adopted a
+number of elements of this reactionary Buddhism and incorporated them in
+the Confucianist system. This brought into Confucianism a metaphysic
+which it had lacked in the past, greatly extending its influence on the
+people and at the same time taking the wind out of the sails of
+Buddhism. The greater gentry never again placed themselves on the side
+of the Buddhist Church as they had done in the T'ang period. When they
+got tired of Confucianism, they interested themselves in Taoism of the
+politically innocent, escapist, meditative Buddhism.
+
+Men like Chou Tun-i (1017-1073) and Chang Tsai (1020-1077) developed a
+cosmological theory which could measure up with Buddhistic cosmology and
+metaphysics. But perhaps more important was the attempt of the
+Neo-Confucianists to explain the problem of evil. Confucius and his
+followers had believed that every person could perfect himself by
+overcoming the evil in him. As the good persons should be the _�lite_
+and rule the others, theoretically everybody who was a member of human
+society, could move up and become a leader. It was commonly assumed that
+human nature is good or indifferent, and that human feelings are evil
+and have to be tamed and educated. When in Han time with the
+establishment of the gentry society and its social classes, the idea
+that any person could move up to become a leader if he only perfected
+himself, appeared to be too unrealistic, the theory of different grades
+of men was formed which found its clearest formulation by Han Y�: some
+people have a good, others a neutral, and still others a bad nature;
+therefore, not everybody can become a leader. The Neo-Confucianists,
+especially Ch'eng Hao (1032-1085) and Ch'eng I (1033-1107), tried to
+find the reasons for this inequality. According to them, nature is
+neutral; but physical form originates with the combination of nature
+with Material Force (_ch'i_). This combination produces individuals in
+which there is a lack of balance or harmony. Man should try to transform
+physical form and recover original nature. The creative force by which
+such a transformation is possible is _jen_, love, the creative,
+life-giving quality of nature itself.
+
+It should be remarked that Neo-Confucianism accepts an inequality of
+men, as early Confucianism did; and that _jen_, love, in its practical
+application has to be channelled by _li_, the system of rules of
+behaviour. The _li_, however, always started from the idea of a
+stratified class society. Chu Hsi (1130-1200), the famous scholar and
+systematizer of Neo-Confucian thoughts, brought out rules of behaviour
+for those burghers who did not belong to the gentry and could not,
+therefore, be expected to perform all _li_; his "simplified _li_"
+exercized a great influence not only upon contemporary China, but also
+upon Korea and Annam and there strengthened a hitherto looser
+patriarchal, patrilinear family system.
+
+The Neo-Confucianists also compiled great analytical works of history
+and encyclopaedias whose authority continued for many centuries. They
+interpreted in these works all history in accordance with their outlook;
+they issued new commentaries on all the classics in order to spread
+interpretations that served their purposes. In the field of commentary
+this school of thought was given perfect expression by Chu Hsi, who also
+wrote one of the chief historical works. Chu Hsi's commentaries became
+standard works for centuries, until the beginning of the twentieth
+century. Yet, although Chu became the symbol of conservativism, he was
+quite interested in science, and in this field he had an open eye for
+changes.
+
+The Sung period is so important, because it is also the time of the
+greatest development of Chinese science and technology. Many new
+theories, but also many practical, new inventions were made. Medicine
+made substantial progress. About 1145 the first autopsy was made, on the
+body of a South Chinese captive. In the field of agriculture, new
+varieties of rice were developed, new techniques applied, new plants
+introduced.
+
+The Wang An-shih school of political philosophy had opponents also in
+the field of literary style, the so-called Shu Group (Shu means the
+present province of Szechwan), whose leaders were the famous Three Sus.
+The greatest of the three was Su Tung-p'o (1036-1101); the others were
+his father, Su Shih, and his brother, Su Che. It is characteristic of
+these Shu poets, and also of the Kiangsi school associated with them,
+that they made as much use as they could of the vernacular. It had not
+been usual to introduce the phrases of everyday life into poetry, but Su
+Tung-p'o made use of the most everyday expressions, without diminishing
+his artistic effectiveness by so doing; on the contrary, the result was
+to give his poems much more genuine feeling than those of other poets.
+These poets were in harmony with the writings of the T'ang period poet
+Po Ch�-i (772-846) and were supported, like Neo-Confucianism, by
+representatives of trade capitalism. Politically, in their conservatism
+they were sharply opposed to the Wang An-shih group. Midway between the
+two stood the so-called Loyang-School, whose greatest leaders were the
+historian and poet Ssu-ma Kuang (1019-1086) and the philosopher-poet
+Shao Yung (1011-1077).
+
+In addition to its poems, the Sung literature was famous for the
+so-called _pi-chi_ or miscellaneous notes. These consist of short notes
+of the most various sort, notes on literature, art, politics,
+archaeology, all mixed together. The _pi-chi_ are a treasure-house for
+the history of the culture of the time; they contain many details, often
+of importance, about China's neighbouring peoples. They were intended to
+serve as suggestions for learned conversation when scholars came
+together; they aimed at showing how wide was a scholar's knowledge. To
+this group we must add the accounts of travel, of which some of great
+value dating from the Sung period are still extant; they contain
+information of the greatest importance about the early Mongols and also
+about Turkestan and South China.
+
+While the Sung period was one of perfection in all fields of art,
+painting undoubtedly gained its highest development in this time. We
+find now two main streams in painting: some painters preferred the
+decorative, pompous, but realistic approach, with great attention to the
+detail. Later theoreticians brought this school in connection with one
+school of meditative Buddhism, the so-called northern school. Men who
+belonged to this school of painting often were active court officials or
+painted for the court and for other representative purposes. One of the
+most famous among them, Li Lung-mien (ca. 1040-1106), for instance
+painted the different breeds of horses in the imperial stables. He was
+also famous for his Buddhistic figures. Another school, later called the
+southern school, regarded painting as an intimate, personal expression.
+They tried to paint inner realities and not outer forms. They, too, were
+educated, but they did not paint for anybody. They painted in their
+country houses when they felt in the mood for expression. Their
+paintings did not stress details, but tried to give the spirit of a
+landscape, for in this field they excelled most. Best known of them is
+Mi Fei (ca. 1051-1107), a painter as well as a calligrapher, art
+collector, and art critic. Typically, his paintings were not much liked
+by the emperor Hui Tsung (ruled 1101-1125) who was one of the greatest
+art collectors and whose catalogue of his collection became very famous.
+He created the Painting Academy, an institution which mainly gave
+official recognition to painters in form of titles which gave the
+painter access to and status at court. Ma Y�an (_c_. 1190-1224), member
+of a whole painter's family, and Hsia Kui (_c_. 1180-1230) continued the
+more "impressionistic" tradition. Already in Sung time, however, many
+painters could and did paint in different styles, "copying", i.e.
+painting in the way of T'ang painters, in order to express their
+changing emotions by changed styles, a fact which often makes the dating
+of Chinese paintings very difficult.
+
+Finally, art craft has left us famous porcelains of the Sung period. The
+most characteristic production of that time is the green porcelain known
+as "Celadon". It consists usually of a rather solid paste, less like
+porcelain than stoneware, covered with a green glaze; decoration is
+incised, not painted, under the glaze. In the Sung period, however, came
+the first pure white porcelain with incised ornamentation under the
+glaze, and also with painting on the glaze. Not until near the end of
+the Sung period did the blue and white porcelain begin (blue painting on
+a white ground). The cobalt needed for this came from Asia Minor. In
+exchange for the cobalt, Chinese porcelain went to Asia Minor. This
+trade did not, however, grow greatly until the Mongol epoch; later
+really substantial orders were placed in China, the Chinese executing
+the patterns wanted in the West.
+
+
+5 _Military collapse_
+
+In foreign affairs the whole eleventh century was a period of diplomatic
+manoeuvring, with every possible effort to avoid war. There was
+long-continued fighting with the Kitan, and at times also with the
+Turco-Tibetan Hsia, but diplomacy carried the day: tribute was paid to
+both enemies, and the effort was made to stir up the Kitan against the
+Hsia and vice versa; the other parties also intrigued in like fashion.
+In 1110 the situation seemed to improve for the Sung in this game, as a
+new enemy appeared in the rear of the Liao (Kitan), the Tungusic Juch�n
+(Jurchen), who in the past had been more or less subject to the Kitan.
+In 1114 the Juch�n made themselves independent and became a political
+factor. The Kitan were crippled, and it became an easy matter to attack
+them. But this pleasant situation did not last long. The Juch�n
+conquered Peking, and in 1125 the Kitan empire was destroyed; but in the
+same year the Juch�n marched against the Sung. In 1126 they captured
+the Sung capital; the emperor and his art-loving father, who had retired
+a little earlier, were taken prisoner, and the Northern Sung dynasty was
+at an end.
+
+The collapse came so quickly because the whole edifice of security
+between the Kitan and the Sung was based on a policy of balance and of
+diplomacy. Neither state was armed in any way, and so both collapsed at
+the first assault from a military power.
+
+
+(2) The Liao (Kitan) dynasty in the north (937-1125)
+
+1 _Social structure. Claim to the Chinese imperial throne_
+
+The Kitan, a league of tribes under the leadership of an apparently
+Mongol tribe, had grown steadily stronger in north-eastern Mongolia
+during the T'ang epoch. They had gained the allegiance of many tribes in
+the west and also in Korea and Manchuria, and in the end, about A.D.
+900, had become the dominant power in the north. The process of growth
+of this nomad power was the same as that of other nomad states, such as
+the Toba state, and therefore need not be described again in any detail
+here. When the T'ang dynasty was deposed, the Kitan were among the
+claimants to the Chinese throne, feeling fully justified in their claim
+as the strongest power in the Far East. Owing to the strength of the
+Sha-t'o Turks, who themselves claimed leadership in China, the expansion
+of the Kitan empire slowed down. In the many battles the Kitan suffered
+several setbacks. They also had enemies in the rear, a state named
+Po-hai, ruled by Tunguses, in northern Korea, and the new Korean state
+of Kao-li, which liberated itself from Chinese overlordship in 919.
+
+In 927 the Kitan finally destroyed Po-hai. This brought many Tungus
+tribes, including the Jurchen (Juch�n), under Kitan dominance. Then, in
+936, the Kitan gained the allegiance of the Turkish general Shih
+Ching-t'ang, and he was set on the Chinese throne as a feudatory of the
+Kitan. It was hoped now to secure dominance over China, and accordingly
+the Mongol name of the dynasty was altered to "Liao dynasty" in 937,
+indicating the claim to the Chinese throne. Considerable regions of
+North China came at once under the direct rule of the Liao. As a whole,
+however, the plan failed: the feudatory Shih Ching-t'ang tried to make
+himself independent; Chinese fought the Liao; and the Chinese sceptre
+soon came back into the hands of a Sha-t'o dynasty (947). This ended the
+plans of the Liao to conquer the whole of China.
+
+For this there were several reasons. A nomad people was again ruling
+the agrarian regions of North China. This time the representatives of
+the ruling class remained military commanders, and at the same time
+retained their herds of horses. As early as 1100 they had well over
+10,000 herds, each of more than a thousand animals. The army commanders
+had been awarded large regions which they themselves had conquered. They
+collected the taxes in these regions, and passed on to the state only
+the yield of the wine tax. On the other hand, in order to feed the
+armies, in which there were now many Chinese soldiers, the frontier
+regions were settled, the soldiers working as peasants in times of
+peace, and peasants being required to contribute to the support of the
+army. Both processes increased the interest of the Kitan ruling class in
+the maintenance of peace. That class was growing rich, and preferred
+living on the income from its properties or settlements to going to war,
+which had become a more and more serious matter after the founding of
+the great Sung empire, and was bound to be less remunerative. The herds
+of horses were a further excellent source of income, for they could be
+sold to the Sung, who had no horses. Then, from 1004 onward, came the
+tribute payments from China, strengthening the interest in the
+maintenance of peace. Thus great wealth accumulated in Peking, the
+capital of the Liao; in this wealth the whole Kitan ruling class
+participated, but the tribes in the north, owing to their remoteness,
+had no share in it. In 988 the Chinese began negotiations, as a move in
+their diplomacy, with the ruler of the later realm of the Hsia; in 990
+the Kitan also negotiated with him, and they soon became a third partner
+in the diplomatic game. Delegations were continually going from one to
+another of the three realms, and they were joined by trade missions.
+Agreement was soon reached on frontier questions, on armament, on
+questions of demobilization, on the demilitarization of particular
+regions, and so on, for the last thing anyone wanted was to fight.
+
+Then came the rising of the tribes of the north. They had remained
+military tribes; of all the wealth nothing reached them, and they were
+given no military employment, so that they had no hope of improving
+their position. The leadership was assumed by the tribe of the Juch�n
+(1114). In a campaign of unprecedented rapidity they captured Peking,
+and the Liao dynasty was ended (1125), a year earlier, as we know, than
+the end of the Sung.
+
+
+2 _The State of the Kara-Kitai_
+
+A small troop of Liao, under the command of a member of the ruling
+family, fled into the west. They were pursued without cessation, but
+they succeeded in fighting their way through. After a few years of
+nomad life in the mountains of northern Turkestan, they were able to
+gain the collaboration of a few more tribes, and with them they then
+invaded western Turkestan. There they founded the "Western Liao" state,
+or, as the western sources call it, the "Kara-Kitai" state, with its
+capital at Balasagun. This state must not be regarded as a purely Kitan
+state. The Kitan formed only a very thin stratum, and the real power was
+in the hands of autochthonous Turkish tribes, to whom the Kitan soon
+became entirely assimilated in culture. Thus the history of this state
+belongs to that of western Asia, especially as the relations of the
+Kara-Kitai with the Far East were entirely broken off. In 1211 the state
+was finally destroyed.
+
+
+(3) The Hsi-Hsia State in the north (1038-1227)
+
+1 _Continuation of Turkish traditions_
+
+After the end of the Toba state in North China in 550, some tribes of
+the Toba, including members of the ruling tribe with the tribal name
+Toba, withdrew to the borderland between Tibet and China, where they
+ruled over Tibetan and Tangut tribes. At the beginning of the T'ang
+dynasty this tribe of Toba joined the T'ang. The tribal leader received
+in return, as a distinction, the family name of the T'ang dynasty, Li.
+His dependence on China was, however, only nominal and soon came
+entirely to an end. In the tenth century the tribe gained in strength.
+It is typical of the long continuance of old tribal traditions that a
+leader of the tribe in the tenth century married a woman belonging to
+the family to which the khans of the Hsiung-nu and all Turkish ruling
+houses had belonged since 200 B.C. With the rise of the Kitan in the
+north and of the Tibetan state in the south, the tribe decided to seek
+the friendship of China. Its first mission, in 982, was well received.
+Presents were sent to the chieftain of the tribe, he was helped against
+his enemies, and he was given the status of a feudatory of the Sung; in
+988 the family name of the Sung, Chao, was conferred on him. Then the
+Kitan took a hand. They over-trumped the Sung by proclaiming the tribal
+chieftain king of Hsia (990). Now the small state became interesting. It
+was pampered by Liao and Sung in the effort to win it over or to keep
+its friendship. The state grew; in 1031 its ruler resumed the old family
+name of the Toba, thus proclaiming his intention to continue the Toba
+empire; in 1034 he definitely parted from the Sung, and in 1038 he
+proclaimed himself emperor in the Hsia dynasty, or, as the Chinese
+generally called it, the "HsiHsia", which means the Western Hsia. This
+name, too, had associations with the old Hun tradition; it recalled
+the state of Ho-lien P'o-p'o in the early fifth century. The state soon
+covered the present province of Kansu, small parts of the adjoining
+Tibetan territory, and parts of the Ordos region. It attacked the
+province of Shensi, but the Chinese and the Liao attached the greatest
+importance to that territory. Thus that was the scene of most of the
+fighting.
+
+[Illustration: 12 Ancient tiled pagoda at Chengting (Hopei). _Photo H.
+Hammer-Morrisson._]
+
+[Illustration: 13 Horse-training. Painting by Li Lung-mien. Late Sung
+period. _Manchu Royal House Collection_.]
+
+The Hsia state had a ruling group of Toba, but these Toba had become
+entirely tibetanized. The language of the country was Tibetan; the
+customs were those of the Tanguts. A script was devised, in imitation of
+the Chinese script. Only in recent years has it begun to be studied.
+
+In 1125, when the Tungusic Juch�n destroyed the Liao, the Hsia also lost
+large territories in the east of their country, especially the province
+of Shensi, which they had conquered; but they were still able to hold
+their own. Their political importance to China, however, vanished, since
+they were now divided from southern China and as partners were no longer
+of the same value to it. Not until the Mongols became a power did the
+Hsia recover some of their importance; but they were among the first
+victims of the Mongols: in 1209 they had to submit to them, and in 1227,
+the year of the death of Genghiz Khan, they were annihilated.
+
+
+(4) The empire of the Southern Sung dynasty (1127-1279)
+
+1 _Foundation_
+
+In the disaster of 1126, when the Juch�n captured the Sung capital and
+destroyed the Sung empire, a brother of the captive emperor escaped. He
+made himself emperor in Nanking and founded the "Southern Sung" dynasty,
+whose capital was soon shifted to the present Hangchow. The foundation
+of the new dynasty was a relatively easy matter, and the new state was
+much more solid than the southern kingdoms of 800 years earlier, for the
+south had already been economically supreme, and the great families that
+had ruled the state were virtually all from the south. The loss of the
+north, i.e. the area north of the Yellow River and of parts of Kiangsu,
+was of no importance to this governing group and meant no loss of
+estates to it. Thus the transition from the Northern to the Southern
+Sung was not of fundamental importance. Consequently the Juch�n had no
+chance of success when they arranged for Liu Y�, who came of a northern
+Chinese family of small peasants and had become an official, to be
+proclaimed emperor in the "Ch'i" dynasty in 1130. They hoped that this
+puppet might attract the southern Chinese, but seven years later they
+dropped him.
+
+
+2 _Internal situation_
+
+As the social structure of the Southern Sung empire had not been
+changed, the country was not affected by the dynastic development. Only
+the policy of diplomacy could not be pursued at once, as the Juch�n were
+bellicose at first and would not negotiate. There were therefore several
+battles at the outset (in 1131 and 1134), in which the Chinese were
+actually the more successful, but not decisively. The Sung military
+group was faced as early as in 1131 with furious opposition from the
+greater gentry, led by Ch'in K'ui, one of the largest landowners of all.
+His estates were around Nanking, and so in the deployment region and the
+region from which most of the soldiers had to be drawn for the defensive
+struggle. Ch'in K'ui secured the assassination of the leader of the
+military party, General Yo Fei, in 1141, and was able to conclude peace
+with the Juch�n. The Sung had to accept the status of vassals and to pay
+annual tribute to the Juch�n. This was the situation that best pleased
+the greater gentry. They paid hardly any taxes (in many districts the
+greater gentry directly owned more than 30 per cent of the land, in
+addition to which they had indirect interests in the soil), and they
+were now free from the war peril that ate into their revenues. The
+tribute amounted only to 500,000 strings of cash. Popular literature,
+however, to this day represents Ch'in K'ui as a traitor and Yo Fei as a
+national hero.
+
+In 1165 it was agreed between the Sung and the Juch�n to regard each
+other as states with equal rights. It is interesting to note here that
+in the treaties during the Han time with the Hsiung-nu, the two
+countries called one another brothers--with the Chinese ruler as the
+older and thus privileged brother; but the treaties since the T'ang time
+with northern powers and with Tibetans used the terms father-in-law and
+son-in-law. The foreign power was the "father-in-law", i.e. the older
+and, therefore, in a certain way the more privileged; the Chinese were
+the "son-in-law", the representative of the paternal lineage and,
+therefore, in another respect also the more privileged! In spite of such
+agreements with the Juch�n, fighting continued, but it was mainly of the
+character of frontier engagements. Not until 1204 did the military
+party, led by Han T'o-wei, regain power; it resolved upon an active
+policy against the north. In preparation for this a military reform was
+carried out. The campaign proved a disastrous failure, as a result of
+which large territories in the north were lost. The Sung sued for
+peace; Han T'o-wei's head was cut off and sent to the Juch�n. In this
+way peace was restored in 1208. The old treaty relationship was now
+resumed, but the relations between the two states remained tense.
+Meanwhile the Sung observed with malicious pleasure how the Mongols were
+growing steadily stronger, first destroying the Hsia state and then
+aiming the first heavy blows against the Juch�n. In the end the Sung
+entered into alliance with the Mongols (1233) and joined them in
+attacking the Juch�n, thus hastening the end of the Juch�n state.
+
+The Sung now faced the Mongols, and were defenceless against them. All
+the buffer states had gone. The Sung were quite without adequate
+military defence. They hoped to stave off the Mongols in the same way as
+they had met the Kitan and the Juch�n. This time, however, they
+misjudged the situation. In the great operations begun by the Mongols in
+1273 the Sung were defeated over and over again. In 1276 their capital
+was taken by the Mongols and the emperor was made prisoner. For three
+years longer there was a Sung emperor, in flight from the Mongols, until
+the last emperor perished near Macao in South China.
+
+
+3 _Cultural situation; reasons for the collapse_
+
+The Southern Sung period was again one of flourishing culture. The
+imperial court was entirely in the power of the greater gentry; several
+times the emperors, who personally do not deserve individual mention,
+were compelled to abdicate. They then lived on with a court of their
+own, devoting themselves to pleasure in much the same way as the
+"reigning" emperor. Round them was a countless swarm of poets and
+artists. Never was there a time so rich in poets, though hardly one of
+them was in any way outstanding. The poets, unlike those of earlier
+times, belonged to the lesser gentry who were suffering from the
+prevailing inflation. Salaries bore no relation to prices. Food was not
+dear, but the things which a man of the upper class ought to have were
+far out of reach: a big house cost 2,000 strings of cash, a concubine
+800 strings. Thus the lesser gentry and the intelligentsia all lived on
+their patrons among the greater gentry--with the result that they were
+entirely shut out of politics. This explains why the literature of the
+time is so unpolitical, and also why scarcely any philosophical works
+appeared. The writers took refuge more and more in romanticism and
+flight from realities.
+
+The greater gentry, on the other hand, led a very elegant life, building
+themselves magnificent palaces in the capital. They also speculated in
+every direction. They speculated in land, in money, and above all in
+the paper money that was coming more and more into use. In 1166 the
+paper circulation exceeded the value of 10,000,000 strings!
+
+It seems that after 1127 a good number of farmers had left Honan and the
+Yellow River plains when the Juch�n conquered these places and showed
+little interest in fostering agriculture; more left the border areas of
+Southern Sung because of permanent war threat. Many of these lived
+miserably as tenants on the farms of the gentry between Nanking and
+Hangchow. Others migrated farther to the south, across Kiangsi into
+southern Fukien. These migrants seem to have been the ancestors of the
+Hakka which in the following centuries continued their migration towards
+the south and who from the nineteenth century on were most strongly
+concentrated in Kwangtung and Kwangsi provinces as free farmers on hill
+slopes or as tenants of local landowners in the plains.
+
+The influx of migrants and the increase of tenants and their poverty
+seriously threatened the state and cut down its defensive strength more
+and more.
+
+At this stage, Chia Ssu-tao drafted a reform law. Chia had come to the
+court through his sister becoming the emperor's concubine, but he
+himself belonged to the lesser gentry. His proposal was that state funds
+should be applied to the purchase of land in the possession of the
+greater gentry over and above a fixed maximum. Peasants were to be
+settled on this land, and its yield was to belong to the state, which
+would be able to use it to meet military expenditure. In this way the
+country's military strength was to be restored. Chia's influence lasted
+just ten years, until 1275. He began putting the law into effect in the
+region south of Nanking, where the principal estates of the greater
+gentry were then situated. He brought upon himself, of course, the
+mortal hatred of the greater gentry, and paid for his action with his
+life. The emperor, in entering upon this policy, no doubt had hoped to
+recover some of his power, but the greater gentry brought him down. The
+gentry now openly played into the hands of the approaching Mongols, so
+hastening the final collapse of the Sung. The peasants and the lesser
+gentry would have fought the Mongols if it had been possible; but the
+greater gentry enthusiastically went over to the Mongols, hoping to save
+their property and so their influence by quickly joining the enemy. On a
+long view they had not judged badly. The Mongols removed the members of
+the gentry from all political posts, but left them their estates; and
+before long the greater gentry reappeared in political life. And when,
+later, the Mongol empire in China was brought down by a popular rising,
+the greater gentry showed themselves to be the most faithful allies of
+the Mongols!
+
+
+(5) The empire of the Juch�n in the north (1115-1234)
+
+1 _Rapid expansion from northern Korea to the Yangtze_
+
+The Juch�n in the past had been only a small league of Tungus tribes,
+whose name is preserved in that of the present Tungus tribe of the
+Jurchen, which came under the domination of the Kitan after the collapse
+of the state of Po-hai in northern Korea. We have already briefly
+mentioned the reasons for their rise. After their first successes
+against the Kitan (1114), their chieftain at once proclaimed himself
+emperor (1115), giving his dynasty the name "Chin" (The Golden). The
+Chin quickly continued their victorious progress. In 1125 the Kitan
+empire was destroyed. It will be remembered that the Sung were at once
+attacked, although they had recently been allied with the Chin against
+the Kitan. In 1126 the Sung capital was taken. The Chin invasions were
+pushed farther south, and in 1130 the Yangtze was crossed. But the Chin
+did not hold the whole of these conquests. Their empire was not yet
+consolidated. Their partial withdrawal closed the first phase of the
+Chin empire.
+
+
+2 _United front of all Chinese_
+
+But a few years after this maximum expansion, a withdrawal began which
+went on much more quickly than usual in such cases. The reasons were to
+be found both in external and in internal politics. The Juch�n had
+gained great agrarian regions in a rapid march of conquest. Once more
+great cities with a huge urban population and immense wealth had fallen
+to alien conquerors. Now the Juch�n wanted to enjoy this wealth as the
+Kitan had done before them. All the Juch�n people counted as citizens of
+the highest class; they were free from taxation and only liable to
+military service. They were entitled to take possession of as much
+cultivable land as they wanted; this they did, and they took not only
+the "state domains" actually granted to them but also peasant
+properties, so that Chinese free peasants had nothing left but the worst
+fields, unless they became tenants on Juch�n estates. A united front was
+therefore formed between all Chinese, both peasants and landowning
+gentry, against the Chin, such as it had not been possible to form
+against the Kitan. This made an important contribution later to the
+rapid collapse of the Chin empire.
+
+The Chin who had thus come into possession of the cultivable land and at
+the same time of the wealth of the towns, began a sort of competition
+with each other for the best winnings, especially after the government
+had returned to the old Sung capital, Pien-liang (now K'aifeng, in
+eastern Honan). Serious crises developed in their own ranks. In 1149 the
+ruler was assassinated by his chancellor (a member of the imperial
+family), who in turn was murdered in 1161. The Chin thus failed to
+attain what had been secured by all earlier conquerors, a reconciliation
+of the various elements of the population and the collaboration of at
+least one group of the defeated Chinese.
+
+
+3 _Start of the Mongol empire_
+
+The cessation of fighting against the Sung brought no real advantage in
+external affairs, though the tribute payments appealed to the greed of
+the rulers and were therefore welcomed. There could be no question of
+further campaigns against the south, for the Hsia empire in the west had
+not been destroyed, though some of its territory had been annexed; and a
+new peril soon made its appearance in the rear of the Chin. When in the
+tenth century the Sha-t'o Turks had had to withdraw from their
+dominating position in China, because of their great loss of numbers and
+consequently of strength, they went back into Mongolia and there united
+with the Ta-tan (Tatars), among whom a new small league of tribes had
+formed towards the end of the eleventh century, consisting mainly of
+Mongols and Turks. In 1139 one of the chieftains of the Juch�n rebelled
+and entered into negotiations with the South Chinese. He was killed, but
+his sons and his whole tribe then rebelled and went into Mongolia, where
+they made common cause with the Mongols. The Chin pursued them, and
+fought against them and against the Mongols, but without success.
+Accordingly negotiations were begun, and a promise was given to deliver
+meat and grain every year and to cede twenty-seven military strongholds.
+A high title was conferred on the tribal leader of the Mongols, in the
+hope of gaining his favour. He declined it, however, and in 1147 assumed
+the title of emperor of the "greater Mongol empire". This was the
+beginning of the power of the Mongols, who remained thereafter a
+dangerous enemy of the Chin in the north, until in 1189 Genghiz Khan
+became their leader and made the Mongols the greatest power of central
+Asia. In any case, the Chin had reason to fear the Mongols from 1147
+onward, and therefore were the more inclined to leave the Sung in peace.
+
+In 1210 the Mongols began the first great assault against the Chin, the
+moment they had conquered the Hsia. In the years 1215-17 the Mongols
+took the military key-positions from the Chin. After that there could be
+no serious defence of the Chin empire. There came a respite only because
+the Mongols had turned against the West. But in 1234 the empire finally
+fell to the Mongols.
+
+Many of the Chin entered the service of the Mongols, and with their
+permission returned to Manchuria; there they fell back to the cultural
+level of a warlike nomad people. Not until the sixteenth century did
+these Tunguses recover, reorganize, and appear again in history this
+time under the name of Manchus.
+
+The North Chinese under Chin rule did not regard the Mongols as enemies
+of their country, but were ready at once to collaborate with them. The
+Mongols were even more friendly to them than to the South Chinese, and
+treated them rather better.
+
+
+
+
+Chapter Ten
+
+THE PERIOD OF ABSOLUTISM
+
+
+
+(A) The Mongol Epoch (1280-1368)
+
+
+1 _Beginning of new foreign rules_
+
+During more than half of the third period of "Modern Times" which now
+began, China was under alien rule. Of the 631 years from 1280 to 1911,
+China was under national rulers for 276 years and under alien rule for
+355. The alien rulers were first the Mongols, and later the Tungus
+Manchus. It is interesting to note that the alien rulers in the earlier
+period came mainly from the north-west, and only in modern times did
+peoples from the north-east rule over China. This was due in part to the
+fact that only peoples who had attained a certain level of civilization
+were capable of dominance. In antiquity and the Middle Ages, eastern
+Mongolia and Manchuria were at a relatively low level of civilization,
+from which they emerged only gradually through permanent contact with
+other nomad peoples, especially Turks. We are dealing here, of course,
+only with the Mongol epoch in China and not with the great Mongol
+empire, so that we need not enter further into these questions.
+
+Yet another point is characteristic: the Mongols were the first alien
+people to rule the whole of China; the Manchus, who appeared in the
+seventeenth century, were the second and last. All alien peoples before
+these two ruled only parts of China. Why was it that the Mongols were
+able to be so much more successful than their predecessors? In the first
+place the Mongol political league was numerically stronger than those of
+the earlier alien peoples; secondly, the military organization and
+technical equipment of the Mongols were exceptionally advanced for their
+day. It must be borne in mind, for instance, that during their many
+years of war against the Sung dynasty in South China the Mongols already
+made use of small cannon in laying siege to towns. We have no exact
+knowledge of the number of Mongols who invaded and occupied China, but
+it is estimated that there were more than a million Mongols living in
+China. Not all of them, of course, were really Mongols! The name covered
+Turks, Tunguses, and others; among the auxiliaries of the Mongols were
+Uighurs, men from Central Asia and the Middle East, and even Europeans.
+When the Mongols attacked China they had the advantage of all the arts
+and crafts and all the new technical advances of western and central
+Asia and of Europe. Thus they had attained a high degree of technical
+progress, and at the same time their number was very great.
+
+
+2 "_Nationality legislation_"
+
+It was only after the Hsia empire in North China, and then the empire of
+the Juch�n, had been destroyed by the Mongols, and only after long and
+remarkably modern tactical preparation, that the Mongols conquered South
+China, the empire of the Sung dynasty. They were now faced with the
+problem of ruling their great new empire. The conqueror of that empire,
+Kublai, himself recognized that China could not be treated in quite the
+same way as the Mongols' previous conquests; he therefore separated the
+empire in China from the rest of the Mongol empire. Mongol China became
+an independent realm within the Mongol empire, a sort of Dominion. The
+Mongol rulers were well aware that in spite of their numerical strength
+they were still only a minority in China, and this implied certain
+dangers. They therefore elaborated a "nationality legislation", the
+first of its kind in the Far East. The purpose of this legislation was,
+of course, to be the protection of the Mongols. The population of
+conquered China was divided into four groups--(1) Mongols, themselves
+falling into four sub-groups (the oldest Mongol tribes, the White
+Tatars, the Black Tatars, the Wild Tatars); (2) Central Asian
+auxiliaries (Naimans, Uighurs, and various other Turkish people,
+Tanguts, and so on); (3) North Chinese; (4) South Chinese. The Mongols
+formed the privileged ruling class. They remained militarily organized,
+and were distributed in garrisons over all the big towns of China as
+soldiers, maintained by the state. All the higher government posts were
+reserved for them, so that they also formed the heads of the official
+staffs. The auxiliary peoples were also admitted into the government
+service; they, too, had privileges, but were not all soldiers but in
+many cases merchants, who used their privileged position to promote
+business. Not a few of these merchants were Uighurs and Mohammedans;
+many Uighurs were also employed as clerks, as the Mongols were very
+often unable to read and write Chinese, and the government offices were
+bilingual, working in Mongolian and Chinese. The clever Uighurs quickly
+learned enough of both languages for official purposes, and made
+themselves indispensable assistants to the Mongols. Persian, the main
+language of administration in the western parts of the Mongol empire
+besides Uighuric, also was a _lingua franca_ among the new rulers of
+China.
+
+In the Mongol legislation the South Chinese had the lowest status, and
+virtually no rights. Intermarriage with them was prohibited. The Chinese
+were not allowed to carry arms. For a time they were forbidden even to
+learn the Mongol or other foreign languages. In this way they were to be
+prevented from gaining official positions and playing any political
+part. Their ignorance of the languages of northern, central, and western
+Asia also prevented them from engaging in commerce like the foreign
+merchants, and every possible difficulty was put in the way of their
+travelling for commercial purposes. On the other hand, foreigners were,
+of course, able to learn Chinese, and so to gain a footing in Chinese
+internal trade.
+
+Through legislation of this type the Mongols tried to build up and to
+safeguard their domination over China. Yet their success did not last a
+hundred years.
+
+
+3 _Military position_
+
+In foreign affairs the Mongol epoch was for China something of a
+breathing space, for the great wars of the Mongols took place at a
+remote distance from China and without any Chinese participation. Only a
+few concluding wars were fought under Kublai in the Far East. The first
+was his war against Japan (1281): it ended in complete failure, the
+fleet being destroyed by a storm. In this campaign the Chinese furnished
+ships and also soldiers. The subjection of Japan would have been in the
+interest of the Chinese, as it would have opened a market which had been
+almost closed against them in the Sung period. Mongol wars followed in
+the south. In 1282 began the war against Burma; in 1284 Annam and
+Cambodia were conquered; in 1292 a campaign was started against Java. It
+proved impossible to hold Java, but almost the whole of Indo-China came
+under Mongol rule, to the satisfaction of the Chinese, for Indo-China
+had already been one of the principal export markets in the Sung period.
+After that, however, there was virtually no more warfare, apart from
+small campaigns against rebellious tribes. The Mongol soldiers now lived
+on their pay in their garrisons, with nothing to do. The old campaigners
+died and were followed by their sons, brought up also as soldiers; but
+these young Mongols were born in China, had seen nothing of war, and
+learned of the soldiers' trade either nothing or very little; so that
+after about 1320 serious things happened. An army nominally 1,000 strong
+was sent against a group of barely fifty bandits and failed to defeat
+them. Most of the 1,000 soldiers no longer knew how to use their
+weapons, and many did not even join the force. Such incidents occurred
+again and again.
+
+
+4 _Social situation_
+
+The results, however, of conditions within the country were of much more
+importance than events abroad. The Mongols made Peking their capital as
+was entirely natural, for Peking was near their homeland Mongolia. The
+emperor and his entourage could return to Mongolia in the summer, when
+China became too hot or too humid for them; and from Peking they were
+able to maintain contact with the rest of the Mongol empire. But as the
+city had become the capital of a vast empire, an enormous staff of
+officials had to be housed there, consisting of persons of many
+different nationalities. The emperor naturally wanted to have a
+magnificent capital, a city really worthy of so vast an empire. As the
+many wars had brought in vast booty, there was money for the building of
+great palaces, of a size and magnificence never before seen in China.
+They were built by Chinese forced labour, and to this end men had to be
+brought from all over the empire--poor peasants, whose fields went out
+of cultivation while they were held in bondage far away. If they ever
+returned home, they were destitute and had lost their land. The rich
+gentry, on the other hand, were able to buy immunity from forced labour.
+The immense increase in the population of Peking (the huge court with
+its enormous expenditure, the mass of officials, the great merchant
+community, largely foreigners, and the many servile labourers),
+necessitated vast supplies of food. Now, as mentioned in earlier
+chapters, since the time of the Later T'ang the region round Nanking had
+become the main centre of production in China, and the Chinese
+population had gone over more and more to the consumption of rice
+instead of pulse or wheat. As rice could not be grown in the north,
+practically the whole of the food supplies for the capital had to be
+brought from the south. The transport system taken over by the Mongols
+had not been created for long-distance traffic of this sort. The capital
+of the Sung had lain in the main centre of production. Consequently, a
+great fleet had suddenly to be built, canals and rivers had to be
+regulated, and some new canals excavated. This again called for a vast
+quantity of forced labour, often brought from afar to the points at
+which it was needed. The Chinese peasants had suffered in the Sung
+period. They had been exploited by the large landowners. The Mongols had
+not removed these landowners, as the Chinese gentry had gone over to
+their side. The Mongols had deprived them of their political power, but
+had left them their estates, the basis of their power. In past changes
+of dynasty the gentry had either maintained their position or been
+replaced by a new gentry: the total number of their class had remained
+virtually unchanged. Now, however, in addition to the original gentry
+there were about a million Mongols, for whose maintenance the peasants
+had also to provide, and their standard of maintenance was high. This
+was an enormous increase in the burdens of the peasantry.
+
+Two other elements further pressed on the peasants in the Mongol
+epoch--organized religion and the traders. The upper classes among the
+Chinese had in general little interest in religion, but the Mongols,
+owing to their historical development, were very religious. Some of them
+and some of their allies were Buddhists, some were still shamanists. The
+Chinese Buddhists and the representatives of popular Taoism approached
+the Mongols and the foreign Buddhist monks trying to enlist the interest
+of the Mongols and their allies. The old shamanism was unable to compete
+with the higher religions, and the Mongols in China became Buddhist or
+interested themselves in popular Taoism. They showed their interest
+especially by the endowment of temples and monasteries. The temples were
+given great estates, and the peasants on those estates became temple
+servants. The land belonging to the temples was free from taxation.
+
+We have as yet no exact statistics of the Mongol epoch, only
+approximations. These set the total area under cultivation at some six
+million _ch'ing_ (a _ch'ing_ is the ideal size of the farm worked by a
+peasant family, but it was rarely held in practice); the population
+amounted to fourteen or fifteen million families. Of this total tillage
+some 170,000 _ch'ing_ were allotted to the temples; that is to say, the
+farms for some 400,000 peasant families were taken from the peasants and
+no longer paid taxes to the state. The peasants, however, had to make
+payments to the temples. Some 200,000 _ch'ing_ with some 450,000 peasant
+families were turned into military settlements; that is to say, these
+peasants had to work for the needs of the army. Their taxes went not to
+the state but to the army. Moreover, in the event of war they had to
+render service to the army. In addition to this, all higher officials
+received official properties, the yield of which represented part
+payment of their salaries. Then, Mongol nobles and dignitaries received
+considerable grants of land, which was taken away from the free
+peasants; the peasants had then to work their farms as tenants and to
+pay dues to their landlords, no longer to the state. Finally, especially
+in North China, many peasants were entirely dispossessed, and their land
+was turned into pasturage for the Mongols' horses; the peasants
+themselves were put to forced labour. On top of this came the
+exploitation of the peasants by the great landowners of the past. All
+this meant an enormous diminution in the number of free peasants and
+thus of taxpayers. As the state was involved in more expenditure than in
+the past owing to the large number of Mongols who were its virtual
+pensioners, the taxes had to be continually increased. Meanwhile the
+many peasants working as tenants of the great landlords, the temples,
+and the Mongol nobles were entirely at their mercy. In this period, a
+second migration of farmers into the southern provinces, mainly Fukien
+and Kwangtung, took place; it had its main source in the lower Yangtze
+valley. A few gentry families whose relatives had accompanied the Sung
+emperor on their flight to the south, also settled with their followers
+in the Canton basin.
+
+The many merchants from abroad, especially those belonging to the
+peoples allied to the Mongols, also had in every respect a privileged
+position in China. They were free of taxation, free to travel all over
+the country, and received privileged treatment in the use of means of
+transport. They were thus able to accumulate great wealth, most of which
+went out of China to their own country. This produced a general
+impoverishment of China. Chinese merchants fell more and more into
+dependence on the foreign merchants; the only field of action really
+remaining to them was the local trade within China and the trade with
+Indo-China, where the Chinese had the advantage of knowing the language.
+
+The impoverishment of China began with the flow abroad of her metallic
+currency. To make up for this loss, the government was compelled to
+issue great quantities of paper money, which very quickly depreciated,
+because after a few years the government would no longer accept the
+money at its face value, so that the population could place no faith in
+it. The depreciation further impoverished the people.
+
+Thus we have in the Mongol epoch in China the imposing picture of a
+commerce made possible with every country from Europe to the Pacific;
+this, however, led to the impoverishment of China. We also see the
+rising of mighty temples and monumental buildings, but this again only
+contributed to the denudation of the country. The Mongol epoch was thus
+one of continual and rapid impoverishment in China, simultaneously with
+a great display of magnificence. The enthusiastic descriptions of the
+Mongol empire in China offered by travellers from the Near East or from
+Europe, such as Marco Polo, give an entirely false picture: as
+foreigners they had a privileged position, living in the cities and
+seeing nothing of the situation of the general population.
+
+
+5 _Popular risings: National rising_
+
+It took time for the effects of all these factors to become evident. The
+first popular rising came in 1325. Statistics of 1329 show that there
+were then some 7,600,000 persons in the empire who were starving; as
+this was only the figure of the officially admitted sufferers, the
+figure may have been higher. In any case, seven-and-a-half millions were
+a substantial percentage of the total population, estimated at
+45,000,000. The risings that now came incessantly were led by men of the
+lower orders--a cloth-seller, a fisherman, a peasant, a salt smuggler,
+the son of a soldier serving a sentence, an office messenger, and so on.
+They never attacked the Mongols as aliens, but always the rich in
+general, whether Chinese or foreign. Wherever they came, they killed all
+the rich and distributed their money and possessions.
+
+As already mentioned, the Mongol garrisons were unable to cope with
+these risings. But how was it that the Mongol rule did not collapse
+until some forty years later? The Mongols parried the risings by raising
+loans from the rich and using the money to recruit volunteers to fight
+the rebels. The state revenues would not have sufficed for these
+payments, and the item was not one that could be included in the
+military budget. What was of much more importance was that the gentry
+themselves recruited volunteers and fought the rebels on their own
+account, without the authority or the support of the government. Thus it
+was the Chinese gentry, in their fear of being killed by the insurgents,
+who fought them and so bolstered up the Mongol rule.
+
+In 1351 the dykes along the Yellow River burst. The dykes had to be
+reconstructed and further measures of conservancy undertaken. To this
+end the government impressed 170,000 men. Following this action, great
+new revolts broke out. Everywhere in Honan, Kiangsu, and Shantung, the
+regions from which the labourers were summoned, revolutionary groups
+were formed, some of them amounting to 100,000 men. Some groups had a
+religious tinge; others declared their intention to restore the emperors
+of the Sung dynasty. Before long great parts of central China were
+wrested from the hands of the government. The government recognized the
+menace to its existence, but resorted to contradictory measures. In 1352
+southern Chinese were permitted to take over certain official positions.
+In this way it was hoped to gain the full support of the gentry, who had
+a certain interest in combating the rebel movements. On the other hand,
+the government tightened up its nationality laws. All the old
+segregation laws were brought back into force, with the result that in a
+few years the aim of the rebels became no longer merely the expulsion of
+the rich but also the expulsion of the Mongols: a social movement thus
+became a national one. A second element contributed to the change in the
+character of the popular rising. The rebels captured many towns. Some of
+these towns refused to fight and negotiated terms of submission. In
+these cases the rebels did not murder the whole of the gentry, but took
+some of them into their service. The gentry did not agree to this out of
+sympathy with the rebels, but simply in order to save their own lives.
+Once they had taken the step, however, they could not go back; they had
+no alternative but to remain on the side of the rebels.
+
+In 1352 Kuo Tzu-hsing rose in southern Honan. Kuo was the son of a
+wandering soothsayer and a blind beggar-woman. He had success; his group
+gained control of a considerable region round his home. There was no
+longer any serious resistance from the Mongols, for at this time the
+whole of eastern China was in full revolt. In 1353 Kuo was joined by a
+man named Chu Y�an-chang, the son of a small peasant, probably a tenant
+farmer. Chu's parents and all his relatives had died from a plague,
+leaving him destitute. He had first entered a monastery and become a
+monk. This was a favourite resource--and has been almost to the present
+day--for poor sons of peasants who were threatened with starvation. As a
+monk he had gone about begging, until in 1353 he returned to his home
+and collected a group, mostly men from his own village, sons of peasants
+and young fellows who had already been peasant leaders. Monks were often
+peasant leaders. They were trusted because they promised divine aid, and
+because they were usually rather better educated than the rest of the
+peasants. Chu at first also had contacts with a secret society, a branch
+of the White Lotos Society which several times in the course of Chinese
+history has been the nucleus of rebellious movements. Chu took his small
+group which identified itself by a red turban and a red banner to Kuo,
+who received him gladly, entered into alliance with him, and in sign of
+friendship gave him his daughter in marriage. In 1355 Kuo died, and Chu
+took over his army, now many thousands strong. In his campaigns against
+towns in eastern China, Chu succeeded in winning over some capable
+members of the gentry. One was the chairman of a committee that yielded
+a town to Chu; another was a scholar whose family had always been
+opposed to the Mongols, and who had himself suffered injustice several
+times in his official career, so that he was glad to join Chu out of
+hatred of the Mongols.
+
+These men gained great influence over Chu, and persuaded him to give up
+attacking rich individuals, and instead to establish an assured control
+over large parts of the country. He would then, they pointed out, be
+permanently enriched, while otherwise he would only be in funds at the
+moment of the plundering of a town. They set before him strategic plans
+with that aim. Through their counsel Chu changed from the leader of a
+popular rising into a fighter against the dynasty. Of all the peasant
+leaders he was now the only one pursuing a definite aim. He marched
+first against Nanking, the great city of central China, and captured it
+with ease. He then crossed the Yangtze, and conquered the rich provinces
+of the south-east. He was a rebel who no longer slaughtered the rich or
+plundered the towns, and the whole of the gentry with all their
+followers came over to him _en masse_. The armies of volunteers went
+over to Chu, and the whole edifice of the dynasty collapsed.
+
+The years 1355-1368 were full of small battles. After his conquest of
+the whole of the south, Chu went north. In 1368 his generals captured
+Peking almost without a blow. The Mongol ruler fled on horseback with
+his immediate entourage into the north of China, and soon after into
+Mongolia. The Mongol dynasty had been brought down, almost without
+resistance. The Mongols in the isolated garrisons marched northward
+wherever they could. A few surrendered to the Chinese and were used in
+southern China as professional soldiers, though they were always
+regarded with suspicion. The only serious resistance offered came from
+the regions in which other Chinese popular leaders had established
+themselves, especially the remote provinces in the west and south-west,
+which had a different social structure and had been relatively little
+affected by the Mongol r�gime.
+
+Thus the collapse of the Mongols came for the following reasons: (1)
+They had not succeeded in maintaining their armed strength or that of
+their allies during the period of peace that followed Kublai's conquest.
+The Mongol soldiers had become effeminate through their life of idleness
+in the towns. (2) The attempt to rule the empire through Mongols or
+other aliens, and to exclude the Chinese gentry entirely from the
+administration, failed through insufficient knowledge of the sources of
+revenue and through the abuses due to the favoured treatment of aliens.
+The whole country, and especially the peasantry, was completely
+impoverished and so driven into revolt. (3) There was also a
+psychological reason. In the middle of the fourteenth century it was
+obvious to the Mongols that their hold over China was growing more and
+more precarious, and that there was little to be got out of the
+impoverished country: they seem in consequence to have lost interest in
+the troublesome task of maintaining their rule, preferring, in so far as
+they had not already entirely degenerated, to return to their old home
+in the north. It is important to bear in mind these reasons for the
+collapse of the Mongols, so that we may compare them later with the
+reasons for the collapse of the Manchus.
+
+No mention need be made here of the names of the Mongol rulers in China
+after Kublai. After his death in 1294, grandsons and great-grandsons of
+his followed each other in rapid succession on the throne; not one of
+them was of any personal significance. They had no influence on the
+government of China. Their life was spent in intriguing against one
+another. There were seven Mongol emperors after Kublai.
+
+
+6 _Cultural_
+
+During the Mongol epoch a large number of the Chinese scholars withdrew
+from official life. They lived in retirement among their friends, and
+devoted themselves mainly to the pursuit of the art of poetry, which had
+been elaborated in the Later Sung epoch, without themselves arriving at
+any important innovations in form. Their poems were built up
+meticulously on the rules laid down by the various schools; they were
+routine productions rather than the outcome of any true poetic
+inspiration. In the realm of prose the best achievements were the
+"miscellaneous notes" already mentioned, collections of learned essays.
+The foreigners who wrote in Chinese during this epoch are credited with
+no better achievements by the Chinese historians of literature. Chief of
+them were a statesman named Yeh-l� Ch'u-ts'ai, a Kitan in the service of
+the Mongols; and a Mongol named T'o-t'o (Tokto). The former accompanied
+Genghiz Khan in his great campaign against Turkestan, and left a very
+interesting account of his journeys, together with many poems about
+Samarkand and Turkestan. His other works were mainly letters and poems
+addressed to friends. They differ in no way in style from the Chinese
+literary works of the time, and are neither better nor worse than those
+works. He shows strong traces of Taoist influence, as do other
+contemporary writers. We know that Genghiz Khan was more or less
+inclined to Taoism, and admitted a Taoist monk to his camp (1221-1224).
+This man's account of his travels has also been preserved, and with the
+numerous European accounts of Central Asia written at this time it forms
+an important source. The Mongol Tokto was the head of an historical
+commission that issued the annals of the Sung dynasty, the Kitan, and
+the Juch�n dynasty. The annals of the Sung dynasty became the largest of
+all the historical works, but they were fiercely attacked from the first
+by Chinese critics on account of their style and their hasty
+composition, and, together with the annals of the Mongol dynasty, they
+are regarded as the worst of the annals preserved. Tokto himself is less
+to blame for this than the circumstance that he was compelled to work in
+great haste, and had not time to put into order the overwhelming mass of
+his material.
+
+The greatest literary achievements, however, of the Mongol period belong
+beyond question to the theatre (or, rather, opera). The emperors were
+great theatre-goers, and the wealthy private families were also
+enthusiasts, so that gradually people of education devoted themselves to
+writing librettos for the operas, where in the past this work had been
+left to others. Most of the authors of these librettos remained unknown:
+they used pseudonyms, partly because playwriting was not an occupation
+that befitted a scholar, and partly because in these works they
+criticized the conditions of their day. These works are divided in
+regard to style into two groups, those of the "southern" and the
+"northern" drama; these are distinguished from each other in musical
+construction and in their intellectual attitude: in general the northern
+works are more heroic and the southern more sentimental, though there
+are exceptions. The most famous northern works of the Mongol epoch are
+_P'i-p'a-chi_ ("The Story of a Lute"), written about 1356, probably by
+Kao Ming, and _Chao-shih ku-erh-chi_ ("The Story of the Orphan of
+Chao"), a work that enthralled Voltaire, who made a paraphrase of it;
+its author was the otherwise unknown Chi Ch�n-hsiang. One of the most
+famous of the southern dramas is _Hsi-hsiang-chi_ ("The Romance of the
+Western Chamber"), by Wang Shih-fu and Kuan Han-ch'ing. Kuan lived under
+the Juch�n dynasty as a physician, and then among the Mongol. He is said
+to have written fifty-eight dramas, many of which became famous.
+
+In the fine arts, foreign influence made itself felt during the Mongol
+epoch much more than in literature. This was due in part to the Mongol
+rulers' predilection for the Lamaism that was widespread in their
+homeland. Lamaism is a special form of Buddhism which developed in
+Tibet, where remnants of the old national Tibetan cult (_Bon_) were
+fused with Buddhism into a distinctive religion. During the rise of the
+Mongols this religion, which closely resembled the shamanism of the
+ancient Mongols, spread in Mongolia, and through the Mongols it made
+great progress in China, where it had been insignificant until their
+time. Religious sculpture especially came entirely under Tibetan
+influence (particularly that of the sculptor Aniko, who came from Nepal,
+where he was born in 1244). This influence was noticeable in the Chinese
+sculptor Liu Y�an; after him it became stronger and stronger, lasting
+until the Manchu epoch.
+
+In architecture, too, Indian and Tibetan influence was felt in this
+period. The Tibetan pagodas came into special prominence alongside the
+previously known form of pagoda, which has many storeys, growing smaller
+as they go upward; these towers originally contained relics of Buddha
+and his disciples. The Tibetan pagoda has not this division into
+storeys, and its lower part is much larger in circumference, and often
+round. To this day Peking is rich in pagodas in the Tibetan style.
+
+The Mongols also developed in China the art of carpet-knotting, which to
+this day is found only in North China in the zone of northern influence.
+There were carpets before these, but they were mainly of felt. The
+knotted carpets were produced in imperial workshops--only, of course,
+for the Mongols, who were used to carpets. A further development
+probably also due to West Asian influence was that of cloisonn�
+technique in China in this period.
+
+Painting, on the other hand, remained free from alien influence, with
+the exception of the craft painting for the temples. The most famous
+painters of the Mongol epoch were Chao M�ng-fu (also called Chao
+Chung-mu, 1254-1322), a relative of the deposed imperial family of the
+Sung dynasty, and Ni Tsan (1301-1374).
+
+
+
+(B) The Ming Epoch (1368-1644)
+
+
+1 _Start. National feeling_
+
+It was necessary to give special attention to the reasons for the
+downfall of Mongol rule in China, in order to make clear the cause and
+the character of the Ming epoch that followed it. It is possible that
+the erroneous impression might be gained that the Mongol epoch in China
+was entirely without merits, and that the Mongol rule over China
+differed entirely from the Mongol rule over other countries of Asia.
+Chinese historians have no good word to say of the Mongol epoch and
+avoid the subject as far as they can. It is true that the union of the
+national Mongol culture with Chinese culture, as envisaged by the Mongol
+rulers, was not a sound conception, and consequently did not endure for
+long. Nevertheless, the Mongol epoch in China left indelible traces, and
+without it China's further development would certainly have taken a
+different course.
+
+The many popular risings during the latter half of the period of Mongol
+rule in China were all of a purely economic and social character, and at
+first they were not directed at all against the Mongols as
+representatives of an alien people. The rising under Chu Y�an-chang,
+which steadily gained impetus, was at first a purely social movement;
+indeed, it may fairly be called revolutionary. Chu was of the humblest
+origin; he became a monk and a peasant leader at one and the same time.
+Only three times in Chinese history has a man of the peasantry become
+emperor and founder of a dynasty. The first of these three men founded
+the Han dynasty; the second founded the first of the so-called "Five
+Dynasties" in the tenth century; Chu was the third.
+
+Not until the Mongols had answered Chu's rising with a tightening of the
+nationality laws did the revolutionary movement become a national
+movement, directed against the foreigners as such. And only when Chu
+came under the influence of the first people of the gentry who joined
+him, whether voluntarily or perforce, did what had been a revolutionary
+movement become a struggle for the substitution of one dynasty for
+another without interfering with the existing social system. Both these
+points were of the utmost importance to the whole development of the
+Ming epoch.
+
+The Mongols were driven out fairly quickly and without great difficulty.
+The Chinese drew from the ease of their success a sense of superiority
+and a clear feeling of nationalism. This feeling should not be
+confounded with the very old feeling of Chinese as a culturally superior
+group according to which, at least in theory though rarely in practice,
+every person who assimilated Chinese cultural values and traits was a
+"Chinese". The roots of nationalism seem to lie in the Southern Sung
+period, growing up in the course of contacts with the Juch�n and
+Mongols; but the discriminatory laws of the Mongols greatly fostered
+this feeling. From now on, it was regarded a shame to serve a foreigner
+as official, even if he was a ruler of China.
+
+
+2 _Wars against Mongols and Japanese_
+
+It had been easy to drive the Mongols out of China, but they were never
+really beaten in their own country. On the contrary, they seem to have
+regained strength after their withdrawal from China: they reorganized
+themselves and were soon capable of counter-thrusts, while Chinese
+offensives had as a rule very little success, and at all events no
+decisive success. In the course of time, however, the Chinese gained a
+certain influence over Turkestan, but it was never absolute, always
+challenged. After the Mongol empire had fallen to pieces, small states
+came into existence in Turkestan, for a long time with varying fortunes;
+the most important one during the Ming epoch was that of Hami, until in
+1473 it was occupied by the city-state of Turfan. At this time China
+actively intervened in the policy of Turkestan in a number of combats
+with the Mongols. As the situation changed from time to time, these
+city-states united more or less closely with China or fell away from her
+altogether. In this period, however, Turkestan was of no military or
+economic importance to China.
+
+In the time of the Ming there also began in the east and south the
+plague of Japanese piracy. Japanese contacts with the coastal provinces
+of China (Kiangsu, Ch�kiang and Fukien) had a very long history:
+pilgrims from Japan often went to these places in order to study
+Buddhism in the famous monasteries of Central China; businessmen sold at
+high prices Japanese swords and other Japanese products here and bought
+Chinese products; they also tried to get Chinese copper coins which had
+a higher value in Japan. Chinese merchants co-operated with Japanese
+merchants and also with pirates in the guise of merchants. Some Chinese
+who were or felt persecuted by the government, became pirates
+themselves. This trade-piracy had started already at the end of the Sung
+dynasty, when Japanese navigation had become superior to Korean shipping
+which had in earlier times dominated the eastern seaboard. These
+conditions may even have been one of the reasons why the Mongols tried
+to subdue Japan. As early as 1387 the Chinese had to begin the building
+of fortifications along the eastern and southern coasts of the country.
+The Japanese attacks now often took the character of organized raids: a
+small, fast-sailing flotilla would land in a bay, as far as possible
+without attracting notice; the soldiers would march against the nearest
+town, generally overcoming it, looting, and withdrawing. The defensive
+measures adopted from time to time during the Ming epoch were of little
+avail, as it was impossible effectively to garrison the whole coast.
+Some of the coastal settlements were transferred inland, to prevent the
+Chinese from co-operating with the Japanese, and to give the Japanese so
+long a march inland as to allow time for defensive measures. The
+Japanese pirates prevented the creation of a Chinese navy in this period
+by their continual threats to the coastal cities in which the shipyards
+lay. Not until much later, at a time of unrest in Japan in 1467, was
+there any peace from the Japanese pirates.
+
+The Japanese attacks were especially embarrassing for the Chinese
+government for one other reason. Large armies had to be kept all along
+China's northern border, from Manchuria to Central Asia. Food supplies
+could not be collected in north China which did not have enough
+surplusses. Canal transportation from Central China was not reliable, as
+the canals did not always have enough water and were often clogged by
+hundreds of ships. And even if canals were used, grain still had to be
+transported by land from the end of the canals to the frontier. The Ming
+government therefore, had organized an overseas flotilla of grain ships
+which brought grain from Central China directly to the front in
+Liao-tung and Manchuria. And these ships, vitally important, were so
+often attacked by the pirates, that this plan later had to be given up
+again.
+
+These activities along the coast led the Chinese to the belief that
+basically all foreigners who came by ships were "barbarians"; when
+towards the end of the Ming epoch the Japanese were replaced by
+Europeans who did not behave much differently and were also
+pirate-merchants, the nations of Western Europe, too, were regarded as
+"barbarians" and were looked upon with great suspicion. On the other
+side, continental powers, even if they were enemies, had long been
+regarded as "states", sometimes even as equals. Therefore, when at a
+much later time the Chinese came into contact with Russians, their
+attitude towards them was similar to that which they had taken towards
+other Asian continental powers.
+
+
+3 _Social legislation within the existing order_
+
+At the time when Chu Y�an-chang conquered Peking, in 1368, becoming the
+recognized emperor of China (Ming dynasty), it seemed as though he would
+remain a revolutionary in spite of everything. His first laws were
+directed against the rich. Many of the rich were compelled to migrate to
+the capital, Nanking, thus losing their land and the power based on it.
+Land was redistributed among poor peasants; new land registers were also
+compiled, in order to prevent the rich from evading taxation. The number
+of monks living in idleness was cut down and precisely determined; the
+possessions of the temples were reduced, land exempted from taxation
+being thus made taxable--all this, incidentally, although Chu had
+himself been a monk! These laws might have paved the way to social
+harmony and removed the worst of the poverty of the Mongol epoch. But
+all this was frustrated in the very first years of Chu's reign. The laws
+were only half carried into effect or not at all, especially in the
+hinterland of the present Shanghai. That region had been conquered by
+Chu at the very beginning of the Ming epoch; in it lived the wealthy
+landowners who had already been paying the bulk of the taxes under the
+Mongols. The emperor depended on this wealthy class for the financing of
+his great armies, and so could not be too hard on it.
+
+Chu Y�an-chang and his entourage were also unable to free themselves
+from some of the ideas of the Mongol epoch. Neither Chu, nor anybody
+else before and long after him discussed the possibility of a form of
+government other than that of a monarchy. The first ever to discuss this
+question, although very timidly, was Huang Tsung-hsi (1610-1695), at the
+end of the Ming dynasty. Chu's conception of an emperor was that of an
+absolute monarch, master over life and death of his subjects; it was
+formed by the Mongol emperors with their magnificence and the huge
+expenditure of their life in Peking; Chu was oblivious of the fact that
+Peking had been the capital of a vast empire embracing almost the whole
+of Asia, and expenses could well be higher than for a capital only of
+China. It did not occur to Chu and his supporters that they could have
+done without imperial state and splendour; on the contrary, they felt
+compelled to display it. At first Chu personally showed no excessive
+signs of this tendency, though they emerged later; but he conferred
+great land grants on all his relatives, friends, and supporters; he
+would give to a single person land sufficient for 20,000 peasant
+families; he ordered the payment of state pensions to members of the
+imperial family, just as the Mongols had done, and the total of these
+pension payments was often higher than the revenue of the region
+involved. For the capital alone over eight million _shih_ of grain had
+to be provided in payment of pensions--that is to say, more than 160,000
+tons! These pension payments were in themselves a heavy burden on the
+state; not only that, but they formed a difficult transport problem! We
+have no close figure of the total population at the beginning of the
+Ming epoch; about 1500 it is estimated to have been 53,280,000, and this
+population had to provide some 266,000,000 _shih_ in taxes. At the
+beginning of the Ming epoch the population and revenue must, however,
+have been smaller.
+
+The laws against the merchants and the restrictions under which the
+craftsmen worked, remained essentially as they had been under the Sung,
+but now the remaining foreign merchants of Mongol time also fell under
+these laws, and their influence quickly diminished. All craftsmen, a
+total of some 300,000 men with families, were still registered and had
+to serve the government in the capital for three months once every three
+years; others had to serve ten days per month, if they lived close by.
+They were a hereditary caste as were the professional soldiers, and not
+allowed to change their occupation except by special imperial
+permission. When a craftsman or soldier died, another family member had
+to replace him; therefore, families of craftsmen were not allowed to
+separate into small nuclear families, in which there might not always be
+a suitable male. Yet, in an empire as large as that of the Ming, this
+system did not work too well: craftsmen lost too much time in travelling
+and often succeeded in running away while travelling. Therefore, from
+1505 on, they had to pay a tax instead of working for the government,
+and from then on the craftsmen became relatively free.
+
+
+4 _Colonization and agricultural developments_
+
+As already mentioned, the Ming had to keep a large army along the
+northern frontiers. But they also had to keep armies in south China,
+especially in Y�nnan. Here, the Mongol invasions of Burma and Thailand
+had brought unrest among the tribes, especially the Shan. The Ming did
+not hold Burma but kept it in a loose dependency as "tributary nation".
+In order to supply armies so far away from all agricultural surplus
+centres, the Ming resorted to the old system of "military colonies"
+which seems to have been invented in the second century B.C. and is
+still used even today (in Sinkiang). Soldiers were settled in camps
+called _ying_, and therefore there are so many place names ending with
+_ying_ in the outlying areas of China. They worked as state farmers and
+accumulated surplusses which were used in case of war in which these
+same farmers turned soldiers again. Many criminals were sent to these
+state farms, too. This system, especially in south China, transformed
+territories formerly inhabited by native tribes or uninhabited, into
+solidly Chinese areas. In addition to these military colonies, a steady
+stream of settlers from Central China and the coast continued to move
+into Kwangtung and Hunan provinces. They felt protected by the army
+against attacks by natives. Yet Ming texts are full of reports on major
+and minor clashes with the natives, from Kiangsi and Fukien to Kwangtung
+and Kwanghsi.
+
+But the production of military colonies was still not enough to feed the
+armies, and the government in Chu's time resorted to a new design. It
+promised to give merchants who transported grain from Central China to
+the borders, government salt certificates. Upon the receipt, the
+merchants could acquire a certain amount of salt and sell it with high
+profits. Soon, these merchants began to invest some of their capital in
+local land which was naturally cheap. They then attracted farmers from
+their home countries as tenants. The rent of the tenants, paid in form
+of grain, was then sold to the army, and the merchant's gains
+increased. Tenants could easily be found: the density of population in
+the Yangtze plains had further increased since the Sung time. This
+system of merchant colonization did not last long, because soon, in
+order to curb the profits of the merchants, money was given instead of
+salt certificates, and the merchants lost interest in grain transports.
+Thus, grain prices along the frontiers rose and the effectiveness of the
+armies was diminished.
+
+Although the history of Chinese agriculture is as yet only partially
+known, a number of changes in this field, which began to show up from
+Sung time on, seem to have produced an "agricultural revolution" in Ming
+time. We have already mentioned the Sung attempts to increase production
+near the big cities by deep-lying fields, cultivation on and in lakes.
+At the same time, there was an increase in cultivation of mountain
+slopes by terracing and by distributing water over the terraces in
+balanced systems. New irrigation machines, especially the so-called
+Persian wheel, were introduced in the Ming time. Perhaps the most
+important innovation, however, was the introduction of rice from
+Indo-China's kingdom Champa in 1012 into Fukien from where it soon
+spread. This rice had three advantages over ordinary Chinese rice: it
+was drought-resistant and could, therefore, be planted in areas with
+poor or even no irrigation. It had a great productivity, and it could be
+sown very early in the year. At first it had the disadvantage that it
+had a vegetation period of a hundred days. But soon, the Chinese
+developed a quick-growing Champa rice, and the speediest varieties took
+only sixty days from transplantation into the fields to the harvest.
+This made it possible to grow two rice harvests instead of only one and
+more than doubled the production. Rice varieties which grew again after
+being cut and produced a second, but very much smaller harvest,
+disappeared from now on. Furthermore, fish were kept in the ricefields
+and produced not only food for the farmers but also fertilized the
+fields, so that continuous cultivation of ricefields without any
+decrease in fertility became possible. Incidentally, fish control the
+malaria mosquitoes; although the Chinese did not know this fact, large
+areas in South China which had formerly been avoided by Chinese because
+of malaria, gradually became inhabitable.
+
+The importance of alternating crops was also discovered and from now on,
+the old system of fallow cultivation was given up and continuous
+cultivation with, in some areas, even more than one harvest per field
+per year, was introduced even in wheat-growing areas. Considering that
+under the fallow system from one half to one third of all fields
+remained uncultivated each year, the increase in production under the
+new system must have been tremendous. We believe that the population
+revolution which in China started about 1550, was the result of this
+earlier agrarian revolution. From the eighteenth century on we get
+reports on depletion of fields due to wrong application of the new
+system.
+
+Another plant deeply affected Chinese agriculture: cotton. It is often
+forgotten that, from very early times, the Chinese in the south had used
+kapok and similar fibres, and that the cocoons of different kinds of
+worms had been used for silk. Real cotton probably came from Bengal over
+South-East Asia first to the coastal provinces of China and spread
+quickly into Fukien and Kwangtung in Sung time.
+
+On the other side, cotton reached China through Central Asia, and
+already in the thirteenth century we find it in Shensi in north-western
+China. Farmers in the north could in many places grow cotton in summer
+and wheat in winter, and cotton was a high-priced product. They ginned
+the cotton with iron rods; a mechanical cotton gin was introduced not
+until later. The raw cotton was sold to merchants who transported it
+into the industrial centre of the time, the Yangtze valley, and who
+re-exported cotton cloth to the north. Raw cotton, loosened by the
+string of the bow (a method which was known since Sung), could now in
+the north also be used for quilts and padded winter garments.
+
+
+5 _Commercial and industrial developments_
+
+Intensivation and modernization of agriculture led to strong population
+increases especially in the Yangtze valley from Sung time on. Thus, in
+this area commerce and industry also developed most quickly.
+Urbanization was greatest here. Nanking, the new Ming capital, grew
+tremendously because of the presence of the court and administration,
+and even when later the capital was moved, Nanking continued to remain
+the cultural capital of China. The urban population needed textiles and
+food. From Ming time on, fashions changed quickly as soon as government
+regulations which determined colour and material of the dress of each
+social class were relaxed or as soon as they could be circumvented by
+bribery or ingenious devices. Now, only factories could produce the
+amounts which the consumers wanted. We hear of many men who started out
+with one loom and later ended up with over forty looms, employing many
+weavers. Shanghai began to emerge as a centre of cotton cloth
+production. A system of middle-men developed who bought raw cotton and
+raw silk from the producers and sold it to factories.
+
+Consumption in the Yangtze cities raised the value of the land around
+the cities. The small farmers who were squeezed out, migrated to the
+south. Absentee landlords in cities relied partly on migratory, seasonal
+labour supplied by small farmers from Ch�kiang who came to the Yangtze
+area after they had finished their own harvest. More and more,
+vegetables and mulberries or cotton were planted in the vicinity of the
+cities. As rice prices went up quickly a large organization of rice
+merchants grew up. They ran large ships up to Hankow where they bought
+rice which was brought down from Hunan in river boats by smaller
+merchants. The small merchants again made contracts with the local
+gentry who bought as much rice from the producers as they could and sold
+it to these grain merchants. Thus, local grain prices went up and we
+hear of cases where the local population attacked the grain boats in
+order to prevent the depletion of local markets.
+
+Next to these grain merchants, the above-mentioned salt merchants have
+to be mentioned again. Their centre soon became the city of Hsin-an, a
+city on the border of Ch�kiang and Anhuei, or in more general terms, the
+cities in the district of Hui-chou. When the grain transportation to the
+frontiers came to an end in early Ming time, the Hsin-an merchants
+specialized first in silver trade. Later in Ming time, they spread their
+activities all over China and often monopolized the salt, silver, rice,
+cotton, silk or tea businesses. In the sixteenth century they had
+well-established contacts with smugglers on the Fukien coast and brought
+foreign goods into the interior. Their home was also close to the main
+centres of porcelain production in Kiangsi which was exported to
+overseas and to the urban centres. The demand for porcelain had
+increased so much that state factories could not fulfil it. The state
+factories seem often to have suffered from a lack of labour: indented
+artisans were imported from other provinces and later sent back on state
+expenses or were taken away from other state industries. Thus, private
+porcelain factories began to develop, and in connection with quickly
+changing fashions a great diversification of porcelain occurred.
+
+One other industry should also be mentioned. With the development of
+printing, which will be discussed below, the paper industry was greatly
+stimulated. The state also needed special types of paper for the paper
+currency. Printing and book selling became a profitable business, and
+with the application of block print to textiles (probably first used in
+Sung time) another new field of commercial activity was opened.
+
+As already mentioned, silver in form of bars had been increasingly used
+as currency in Sung time. The yearly government production of silver was
+c. 10,000 kg. Mongol currency was actually based upon silver. The Ming,
+however, reverted to copper as basic unit, in addition to the use of
+paper money. This encouraged the use of silver for speculative purposes.
+
+The development of business changed the face of cities. From Sung time
+on, the division of cities into wards with gates which were closed
+during the night, began to break down. Ming cities had no more wards.
+Business was no more restricted to official markets but grew up in all
+parts of the cities. The individual trades were no more necessarily all
+in one street. Shops did not have to close at sunset. The guilds
+developed and in some cases were able to exercise locally some influence
+upon the officials.
+
+
+6 _Growth of the small gentry_
+
+With the spread of book printing, all kinds of books became easily
+accessible, including reprints of examination papers. Even businessmen
+and farmers increasingly learned to read and to write, and many people
+now could prepare themselves for the examinations. Attendance, however,
+at the examinations cost a good deal. The candidate had to travel to the
+local or provincial capital, and for the higher examinations to the
+capital of the country; he had to live there for several months and, as
+a rule, had to bribe the examiners or at least to gain the favour of
+influential people. There were many cases of candidates becoming
+destitute. Most of them were heavily in debt when at last they gained a
+position. They naturally set to work at once to pay their debts out of
+their salary, and to accumulate fresh capital to meet future
+emergencies. The salaries of officials were, however, so small that it
+was impossible to make ends meet; and at the same time every official
+was liable with his own capital for the receipt in full of the taxes for
+the collection of which he was responsible. Consequently every official
+began at once to collect more taxes than were really due, so as to be
+able to cover any deficits, and also to cover his own cost of
+living--including not only the repayment of his debts but the
+acquisition of capital or land so as to rise in the social scale. The
+old gentry had been rich landowners, and had had no need to exploit the
+peasants on such a scale.
+
+The Chinese empire was greater than it had been before the Mongol epoch,
+and the population was also greater, so that more officials were needed.
+Thus in the Ming epoch there began a certain democratization, larger
+sections of the population having the opportunity of gaining government
+positions; but this democratization brought no benefit to the general
+population but resulted in further exploitation of the peasants.
+
+The new "small gentry" did not consist of great families like the
+original gentry. When, therefore, people of that class wanted to play a
+political part in the central government, or to gain a position there,
+they had either to get into close touch with one of the families of the
+gentry, or to try to approach the emperor directly. In the immediate
+entourage of the emperor, however, were the eunuchs. A good many members
+of the new class had themselves castrated after they had passed their
+state examination. Originally eunuchs were forbidden to acquire
+education. But soon the Ming emperors used the eunuchs as a tool to
+counteract the power of gentry cliques and thus to strengthen their
+personal power. When, later, eunuchs controlled appointments to
+government posts, long established practices of bureaucratic
+administration were eliminated and the court, i.e. the emperor and his
+tools, the eunuchs, could create a rule by way of arbitrary decisions, a
+despotic rule. For such purposes, eunuchs had to have education, and
+these new educated eunuchs, when they had once secured a position, were
+able to gain great influence in the immediate entourage of the emperor;
+later such educated eunuchs were preferred, especially as many offices
+were created which were only filled by eunuchs and for which educated
+eunuchs were needed. Whole departments of eunuchs came into existence at
+court, and these were soon made use of for confidential business of the
+emperor's outside the palace.
+
+These eunuchs worked, of course, in the interest of their families. On
+the other hand, they were very ready to accept large bribes from the
+gentry for placing the desires of people of the gentry before the
+emperor and gaining his consent. Thus the eunuchs generally accumulated
+great wealth, which they shared with their small gentry relatives. The
+rise of the small gentry class was therefore connected with the
+increased influence of the eunuchs at court.
+
+
+7 _Literature, art, crafts_
+
+The growth of the small gentry which had its stronghold in the
+provincial towns and cities, as well as the rise of the merchant class
+and the liberation of the artisans, are reflected in the new literature
+of Ming time. While the Mongols had developed the theatre, the novel may
+be regarded as the typical Ming creation. Its precursors were the
+stories of story-tellers centuries ago. They had developed many styles,
+one of which, for instance, consisted of prose with intercalated poetic
+parts (_pien-wen_). Buddhists monks had used these forms of popular
+literature and spread their teachings in similar forms; due to them,
+many Indian stories and tales found their way into the Chinese
+folklore. Soon, these stories of story-tellers or monks were written
+down, and out of them developed the Chinese classical novel. It
+preserved many traits of the stories: it was cut into chapters
+corresponding with the interruptions which the story-teller made in
+order to collect money; it was interspersed with poems. But most of all,
+it was written in everyday language, not in the language of the gentry.
+To this day every Chinese knows and reads with enthusiasm
+_Shui-hu-chuan_ ("The Story of the River Bank"), probably written about
+1550 by Wang Tao-k'un, in which the ruling class was first described in
+its decay. Against it are held up as ideals representatives of the
+middle class in the guise of the gentleman brigand. Every Chinese also
+knows the great satirical novel _Hsi-yu-chi_ ("The Westward Journey"),
+by Feng M�ng-lung (1574-1645), in which ironical treatment is meted out
+to all religions and sects against a mythological background, with a
+freedom that would not have been possible earlier. The characters are
+not presented as individuals but as representatives of human types: the
+intellectual, the hedonist, the pious man, and the simpleton, are drawn
+with incomparable skill, with their merits and defects. A third famous
+novel is _San-kuo yen-i_ ("The Tale of the Three Kingdoms"), by Lo
+Kuan-chung. Just as the European middle class read with avidity the
+romances of chivalry, so the comfortable class in China was enthusiastic
+over romanticized pictures of the struggle of the gentry in the third
+century. "The Tale of the Three Kingdoms" became the model for countless
+historical novels of its own and subsequent periods. Later, mainly in
+the sixteenth century, the sensational and erotic novel developed, most
+of all in Nanking. It has deeply influenced Japanese writers, but was
+mercilessly suppressed by the Chinese gentry which resented the
+frivolity of this wealthy and luxurious urban class of middle or small
+gentry families who associated with rich merchants, actors, artists and
+musicians. Censorship of printed books had started almost with the
+beginning of book printing as a private enterprise: to the famous
+historian, anti-Buddhist and conservative Ou-yang Hsiu (1007-1072), the
+enemy of Wang An-shih, belongs the sad glory of having developed the
+first censorship rules. Since Ming time, it became a permanent feature
+of Chinese governments.
+
+The best known of the erotic novels is the _Chin-p'ing-mei_ which, for
+reasons of our own censors can be published only in expurgated
+translations. It was written probably towards the end of the sixteenth
+century. This novel, as all others, has been written and re-written by
+many authors, so that many different versions exist. It might be pointed
+out that many novels were printed in Hui-chou, the commercial centre of
+the time.
+
+The short story which formerly served the entertainment of the educated
+only and which was, therefore, written in classical Chinese, now also
+became a literary form appreciated by the middle classes. The collection
+_Chin-ku ch'i-kuan_ ("Strange Stories of New Times and Old"), compiled
+by Feng Meng-lung, is the best-known of these collections in vernacular
+Chinese.
+
+Little original work was done in the Ming epoch in the fields generally
+regarded as "literature" by educated Chinese, those of poetry and the
+essay. There are some admirable essays, but these are only isolated
+examples out of thousands. So also with poetry: the poets of the gentry,
+united in "clubs", chose the poets of the Sung epoch as their models to
+emulate.
+
+The Chinese drama made further progress in the Ming epoch. Many of the
+finest Chinese dramas were written under the Ming; they are still
+produced again and again to this day. The most famous dramatists of the
+Ming epoch are Wang Shih-chen (1526-1590) and T'ang Hsien-tsu
+(1556-1617). T'ang wrote the well-known drama _Mu-tan-t'ing_ ("The Peony
+Pavillion"), one of the finest love-stories of Chinese literature, full
+of romance and remote from all reality. This is true also of the other
+dramas by T'ang, especially his "Four Dreams", a series of four plays.
+In them a man lives in dream through many years of his future life, with
+the result that he realizes the worthlessness of life and decides to
+become a monk.
+
+Together with the development of the drama (or, rather, the opera) in
+the Ming epoch went an important endeavour in the modernization of
+music, the attempt to create a "well-tempered scale" made in 1584 by Chu
+Tsai-y�. This solved in China a problem which was not tackled till later
+in Europe. The first Chinese theorists of music who occupied themselves
+with this problem were Ching Fang (77-37 B.C.) and Ho Ch'�ng-t'ien (A.D.
+370-447).
+
+In the Mongol epoch, most of the Chinese painters had lived in central
+China; this remained so in the Ming epoch. Of the many painters of the
+Ming epoch, all held in high esteem in China, mention must be made
+especially of Ch'iu Ying (_c._ 1525), T'ang Yin (1470-1523), and Tung
+Ch'i-ch'ang (1555-1636). Ch'iu Ying painted in the Academic Style,
+indicating every detail, however small, and showing preference for a
+turquoise-green ground. T'ang Yin was the painter of elegant women; Tung
+became famous especially as a calligraphist and a theoretician of the
+art of painting; a textbook of the art was written by him.
+
+Just as puppet plays and shadow theatre are the "opera of the common
+man" and took a new development in Ming time, the wood-cut and
+block-printing developed largely as a cheap substitute of real
+paintings. The new urbanites wanted to have paintings of the masters and
+found in the wood-cut which soon became a multi-colour print a cheap
+mass medium. Block printing in colours, developed in the Yangtze valley,
+was adopted by Japan and found its highest refinement there. But the
+Ming are also famous for their monumental architecture which largely
+followed Mongol patterns. Among the most famous examples is the famous
+Great Wall which had been in dilapidation and was rebuilt; the great
+city walls of Peking; and large parts of the palaces of Peking, begun in
+the Mongol epoch. It was at this time that the official style which we
+may observe to this day in North China was developed, the style employed
+everywhere, until in the age of concrete it lost its justification.
+
+In the Ming epoch the porcelain with blue decoration on a white ground
+became general; the first examples, from the famous kilns in
+Ching-te-chen, in the province of Kiangsi, were relatively coarse, but
+in the fifteenth century the production was much finer. In the sixteenth
+century the quality deteriorated, owing to the disuse of the cobalt from
+the Middle East (perhaps from Persia) in favour of Sumatra cobalt, which
+did not yield the same brilliant colour. In the Ming epoch there also
+appeared the first brilliant red colour, a product of iron, and a start
+was then made with three-colour porcelain (with lead glaze) or
+five-colour (enamel). The many porcelains exported to western Asia and
+Europe first influenced European ceramics (Delft), and then were
+imitated in Europe (B�ttger); the early European porcelains long showed
+Chinese influence (the so-called onion pattern, blue on a white ground).
+In addition to the porcelain of the Ming epoch, of which the finest
+specimens are in the palace at Istanbul, especially famous are the
+lacquers (carved lacquer, lacquer painting, gold lacquer) of the Ming
+epoch and the cloisonn� work of the same period. These are closely
+associated with the contemporary work in Japan.
+
+
+8 _Politics at court_
+
+After the founding of the dynasty by Chu Y�an-chang, important questions
+had to be dealt with apart from the social legislation. What was to be
+done, for instance, with Chu's helpers? Chu, like many revolutionaries
+before and after him, recognized that these people had been serviceable
+in the years of struggle but could no longer remain useful. He got rid
+of them by the simple device of setting one against another so that they
+murdered one another. In the first decades of his rule the dangerous
+cliques of gentry had formed again, and were engaged in mutual
+struggles. The most formidable clique was led by Hu Wei-yung. Hu was a
+man of the gentry of Chu's old homeland, and one of his oldest
+supporters. Hu and his relations controlled the country after 1370,
+until in 1380 Chu succeeded in beheading Hu and exterminating his
+clique. New cliques formed before long and were exterminated in turn.
+
+Chu had founded Nanking in the years of revolution, and he made it his
+capital. In so doing he met the wishes of the rich grain producers of
+the Yangtze delta. But the north was the most threatened part of his
+empire, so that troops had to be permanently stationed there in
+considerable strength. Thus Peking, where Chu placed one of his sons as
+"king", was a post of exceptional importance.
+
+In Chu Y�an-chang's last years (he was named T'ai Tsu as emperor)
+difficulties arose in regard to the dynasty. The heir to the throne died
+in 1391; and when the emperor himself died in 1398, the son of the late
+heir-apparent was installed as emperor (Hui Ti, 1399-1402). This choice
+had the support of some of the influential Confucian gentry families of
+the south. But a protest against his enthronement came from the other
+son of Chu Y�an-chang, who as king in Peking had hoped to become
+emperor. With his strong army this prince, Ch'eng Tsu, marched south and
+captured Nanking, where the palaces were burnt down. There was a great
+massacre of supporters of the young emperor, and the victor made himself
+emperor (better known under his reign name, Yung-lo). As he had
+established himself in Peking, he transferred the capital to Peking,
+where it remained throughout the Ming epoch. Nanking became a sort of
+subsidiary capital.
+
+This transfer of the capital to the north, as the result of the victory
+of the military party and Buddhists allied to them, produced a new
+element of instability: the north was of military importance, but the
+Yangtze region remained the economic centre of the country. The
+interests of the gentry of the Yangtze region were injured by the
+transfer. The first Ming emperor had taken care to make his court
+resemble the court of the Mongol rulers, but on the whole had exercised
+relative economy. Yung-lo (1403-1424), however, lived in the actual
+palaces of the Mongol rulers, and all the luxury of the Mongol epoch was
+revived. This made the reign of Yung-lo the most magnificent period of
+the Ming epoch, but beneath the surface decay had begun. Typical of the
+unmitigated absolutism which developed now, was the word of one of the
+emperor's political and military advisors, significantly a Buddhist
+monk: "I know the way of heaven. Why discuss the hearts of the people?"
+
+
+9 _Navy. Southward expansion_
+
+After the collapse of Mongol rule in Indo-China, partly through the
+simple withdrawal of the Mongols, and partly through attacks from
+various Chinese generals, there were independence movements in
+south-west China and Indo-China. In 1393 wars broke out in Annam.
+Yung-lo considered that the time had come to annex these regions to
+China and so to open a new field for Chinese trade, which was suffering
+continual disturbance from the Japanese. He sent armies to Y�nnan and
+Indo-China; at the same time he had a fleet built by one of his eunuchs,
+Cheng Ho. The fleet was successfully protected from attack by the
+Japanese. Cheng Ho, who had promoted the plan and also carried it out,
+began in 1405 his famous mission to Indo-China, which had been envisaged
+as giving at least moral support to the land operations, but was also
+intended to renew trade connections with Indo-China, where they had been
+interrupted by the collapse of Mongol rule. Cheng Ho sailed past
+Indo-China and ultimately reached the coast of Arabia. His account of
+his voyage is an important source of information about conditions in
+southern Asia early in the fifteenth century. Cheng Ho and his fleet
+made some further cruises, but they were discontinued. There may have
+been several reasons. (1) As state enterprises, the expeditions were
+very costly. Foreign goods could be obtained more cheaply and with less
+trouble if foreign merchants came themselves to China or Chinese
+merchants travelled at their own risk. (2) The moral success of the
+naval enterprises was assured. China was recognized as a power
+throughout southern Asia, and Annam had been reconquered. (3) After the
+collapse of the Mongol emperor Timur, who died in 1406, there no longer
+existed any great power in Central Asia, so that trade missions from the
+kingdom of the Shahruk in North Persia were able to make their way to
+China, including the famous mission of 1409-1411. (4) Finally, the fleet
+would have had to be permanently guarded against the Japanese, as it had
+been stationed not in South China but in the Yangtze region. As early as
+1411 the canals had been repaired, and from 1415 onward all the traffic
+of the country went by the canals, so evading the Japanese peril. This
+ended the short chapter of Chinese naval history.
+
+These travels of Cheng Ho seem to have had one more cultural result: a
+large number of fairy-tales from the Middle East were brought to China,
+or at all events reached China at that time. The Chinese, being a
+realistically-minded people, have produced few fairy-tales of their own.
+The bulk of their finest fairy-tales were brought by Buddhist monks, in
+the course of the first millennium A.D., from India by way of Central
+Asia. The Buddhists made use of them to render their sermons more
+interesting and impressive. As time went on, these stories spread all
+over China, modified in harmony with the spirit of the people and
+adapted to the Chinese environment. Only the fables failed to strike
+root in China: the matter-of-fact Chinese was not interested in animals
+that talked and behaved to each other like human beings. In addition,
+however, to these early fairy-tales, there was another group of stories
+that did not spread throughout China, but were found only in the
+south-eastern coastal provinces. These came from the Middle East,
+especially from Persia. The fairy-tales of Indian origin spread not only
+to Central Asia but at the same time to Persia, where they found a very
+congenial soil. The Persians made radical changes in the stories and
+gave them the form in which they came to Europe by various
+routes--through North Africa to Spain and France; through
+Constantinople, Venice, or Genoa to France; through Russian Turkestan to
+Russia, Finland, and Sweden; through Turkey and the Balkans to Hungary
+and Germany. Thus the stories found a European home. And this same
+Persian form was carried by sea in Cheng Ho's time to South China. Thus
+we have the strange experience of finding some of our own finest
+fairy-tales in almost the same form in South China.
+
+
+10 _Struggles between cliques_
+
+Yung-lo's successor died early. Under the latter's son, the emperor
+Hs�an Tsung (1426-1435; reign name Hs�an-t�), fixed numbers of
+candidates were assigned for the state examinations. It had been found
+that almost the whole of the gentry in the Yangtze region sat at the
+examinations; and that at these examinations their representatives made
+sure, through their mutual relations, that only their members should
+pass, so that the candidates from the north were virtually excluded. The
+important military clique in the north protested against this, and a
+compromise was arrived at: at every examination one-third of the
+candidates must come from the north and two-thirds from the south. This
+system lasted for a long time, and led to many disputes.
+
+At his death Hs�an Tsung left the empire to his eight-year-old son Ying
+Tsung (1436-49 and 1459-64), who was entirely in the hands of the Yang
+clique, which was associated with his grandmother. Soon, however,
+another clique, led by the eunuch Wang Chen, gained the upper hand at
+court. The Mongols were very active at this time, and made several raids
+on the province of Shansi; Wang Chen proposed a great campaign against
+them, and in this campaign he took with him the young emperor, who had
+reached his twenty-first birthday in 1449. The emperor had grown up in
+the palace and knew nothing of the world outside; he was therefore glad
+to go with Wang Chen; but that eunuch had also lived in the palace and
+also knew nothing of the world, and in particular of war. Consequently
+he failed in the organization of reinforcements for his army, some
+100,000 strong; after a few brief engagements the Oirat-Mongol prince
+Esen had the imperial army surrounded and the emperor a prisoner. The
+eunuch Wang Chen came to his end, and his clique, of course, no longer
+counted. The Mongols had no intention of killing the emperor; they
+proposed to hold him to ransom, at a high price. The various cliques at
+court cared little, however, about their ruler. After the fall of the
+Wang clique there were two others, of which one, that of General Y�,
+became particularly powerful, as he had been able to repel a Mongol
+attack on Peking. Y� proclaimed a new emperor--not the captive emperor's
+son, a baby, but his brother, who became the emperor Ching Tsung. The
+Yang clique insisted on the rights of the imperial baby. From all this
+the Mongols saw that the Chinese were not inclined to spend a lot of
+money on their imperial captive. Accordingly they made an enormous
+reduction in the ransom demanded, and more or less forced the Chinese to
+take back their former emperor. The Mongols hoped that this would at
+least produce political disturbances by which they might profit, once
+the old emperor was back in Peking. And this did soon happen. At first
+the ransomed emperor was pushed out of sight into a palace, and Ching
+Tsung continued to reign. But in 1456 Ching Tsung fell ill, and a
+successor to him had to be chosen. The Y� clique wanted to have the son
+of Ching Tsung; the Yang clique wanted the son of the deposed emperor
+Ying Tsung. No agreement was reached, so that in the end a third clique,
+led by the soldier Shih Heng, who had helped to defend Peking against
+the Mongols, found its opportunity, and by a _coup d' �tat_ reinstated
+the deposed emperor Ying Tsung.
+
+This was not done out of love for the emperor, but because Shih Heng
+hoped that under the rule of the completely incompetent Ying Tsung he
+could best carry out a plan of his own, to set up his own dynasty. It is
+not so easy, however, to carry a conspiracy to success when there are
+several rival parties, each of which is ready to betray any of the
+others. Shih Heng's plan became known before long, and he himself was
+beheaded (1460).
+
+The next forty years were filled with struggles between cliques, which
+steadily grew in ferocity, particularly since a special office, a sort
+of secret police headquarters, was set up in the palace, with functions
+which it extended beyond the palace, with the result that many people
+were arrested and disappeared. This office was set up by the eunuchs and
+the clique at their back, and was the first dictatorial organ created in
+the course of a development towards despotism that made steady progress
+in these years.
+
+In 1505 Wu Tsung came to the throne, an inexperienced youth of fifteen
+who was entirely controlled by the eunuchs who had brought him up. The
+leader of the eunuchs was Liu Chin, who had the support of a group of
+people of the gentry and the middle class. Liu Chin succeeded within a
+year in getting rid of the eunuchs at court who belonged to other
+cliques and were working against him. After that he proceeded to
+establish his power. He secured in entirely official form the emperor's
+permission for him to issue all commands himself; the emperor devoted
+himself only to his pleasures, and care was taken that they should keep
+him sufficiently occupied to have no chance to notice what was going on
+in the country. The first important decree issued by Liu Chin resulted
+in the removal from office or the punishment or murder of over three
+hundred prominent persons, the leaders of the cliques opposed to him. He
+filled their posts with his own supporters, until all the higher posts
+in every department were in the hands of members of his group. He
+collected large sums of money which he quite openly extracted from the
+provinces as a special tax for his own benefit. When later his house was
+searched there were found 240,000 bars and 57,800 pieces of gold (a bar
+was equivalent of ten pieces), 791,800 ounces and 5,000,000 bars of
+silver (a bar was five ounces), three bushels of precious stones, two
+gold cuirasses, 3,000 gold rings, and much else--of a total value
+exceeding the annual budget of the state! The treasure was to have been
+used to finance a revolt planned by Liu Chin and his supporters.
+
+Among the people whom Liu Chin had punished were several members of the
+former clique of the Yang, and also the philosopher Wang Yang-ming, who
+later became so famous, a member of the Wang family which was allied to
+the Yang. In 1510 the Yang won over one of the eunuchs in the palace and
+so became acquainted with Liu Chin's plans. When a revolt broke out in
+western China, this eunuch (whose political allegiance was, of course,
+unknown to Liu Chin) secured appointment as army commander. With the
+army intended for the crushing of the revolt, Liu Chin's palace was
+attacked when he was asleep, and he and all his supporters were
+arrested. Thus the other group came into power in the palace, including
+the philosopher Wang Yang-ming (1473-1529). Liu Chin's rule had done
+great harm to the country, as enormous taxation had been expended for
+the private benefit of his clique. On top of this had been the young
+emperor's extravagance: his latest pleasures had been the building of
+palaces and the carrying out of military games; he constantly assumed
+new military titles and was burning to go to war.
+
+
+11 _Risings_
+
+The emperor might have had a good opportunity for fighting, for his
+misrule had resulted in a great popular rising which began in the west,
+in Szechwan, and then spread to the east. As always, the rising was
+joined by some ruined scholars, and the movement, which had at first
+been directed against the gentry as such, was turned into a movement
+against the government of the moment. No longer were all the wealthy and
+all officials murdered, but only those who did not join the movement. In
+1512 the rebels were finally overcome, not so much by any military
+capacity of the government armies as through the loss of the rebels'
+fleet of boats in a typhoon.
+
+In 1517 a new favourite of the emperor's induced him to make a great
+tour in the north, to which the favourite belonged. The tour and the
+hunting greatly pleased the emperor, so that he continued his
+journeying. This was the year in which the Portuguese Fern�o Pires de
+Andrade landed in Canton--the first modern European to enter China.
+
+In 1518 Wang Yang-ming, the philosopher general, crushed a rising in
+Kiangsi. The rising had been the outcome of years of unrest, which had
+had two causes: native risings of the sort we described above, and loss
+for the gentry due to the transfer of the capital. The province of
+Kiangsi was a part of the Yangtze region, and the great landowners there
+had lived on the profit from their supplies to Nanking. When the capital
+was moved to Peking, their takings fell. They placed themselves under a
+prince who lived in Nanking. This prince regarded Wang Yang-ming's move
+into Kiangsi as a threat to him, and so rose openly against the
+government and supported the Kiangsi gentry. Wang Yang-ming defeated
+him, and so came into the highest favour with the incompetent emperor.
+When peace had been restored in Nanking, the emperor dressed himself up
+as an army commander, marched south, and made a triumphal entry into
+Nanking.
+
+One other aspect of Wang Yang-ming's expeditions has not yet been
+studied: he crushed also the so-called salt-merchant rebels in the
+southernmost part of Kiangsi and adjoining Kwangtung. These
+merchants-turned-rebels had dominated a small area, off and on since
+the eleventh century. At this moment, they seem to have had connections
+with the rich inland merchants of Hsin-an and perhaps also with
+foreigners. Information is still too scanty to give more details, but a
+local movement as persistent as this one deserves attention.
+
+Wang Yang-ming became acquainted as early as 1519 with the first
+European rifles, imported by the Portuguese who had landed in 1517. (The
+Chinese then called them Fu-lang-chi, meaning Franks. Wang was the first
+Chinese who spoke of the "Franks".) The Chinese had already had mortars
+which hurled stones, as early as the second century A.D. In the seventh
+or eighth century their mortars had sent stones of a couple of
+hundredweights some four hundred yards. There is mention in the eleventh
+century of cannon which apparently shot with a charge of a sort of
+gunpowder. The Mongols were already using true cannon in their sieges.
+In 1519, the first Portuguese were presented to the Chinese emperor in
+Nanking, where they were entertained for about a year in a hostel, a
+certain Lin Hs�n learned about their rifles and copied them for Wang
+Yang-ming. In general, however, the Chinese had no respect for the
+Europeans, whom they described as "bandits" who had expelled the lawful
+king of Malacca and had now come to China as its representatives. Later
+they were regarded as a sort of Japanese, because they, too, practised
+piracy.
+
+
+12 _Machiavellism_
+
+All main schools of Chinese philosophy were still based on Confucius.
+Wang Yang-ming's philosophy also followed Confucius, but he liberated
+himself from the Neo-Confucian tendency as represented by Chu Hsi, which
+started in the Sung epoch and continued to rule in China in his time and
+after him; he introduced into Confucian philosophy the conception of
+"intuition". He regarded intuition as the decisive philosophic
+experience; only through intuition could man come to true knowledge.
+This idea shows an element of meditative Buddhism along lines which the
+philosopher Lu Hsiang-shan (1139-1192) had first developed, while
+classical Neo-Confucianism was more an integration of monastic Buddhism
+into Confucianism. Lu had felt himself close to Wang An-shih
+(1021-1086), and this whole school, representing the small gentry of the
+Yangtze area, was called the Southern or the Lin-ch'uan school,
+Lin-ch'uan in Kiangsi being Wang An-shih's home. During the Mongol
+period, a Taoist group, the _Cheng-i-chiao_ (Correct Unity Sect) had
+developed in Lin-ch'uan and had accepted some of the Lin-ch'uan
+school's ideas. Originally, this group was a continuation of Chang
+Ling's church Taosim. Through the _Cheng-i_ adherents, the Southern
+school had gained political influence on the despotic Mongol rulers. The
+despotic Yung-lo emperor had favoured the monk Tao-yen (_c_. 1338-1418)
+who had also Taoist training and proposed a philosophy which also
+stressed intuition. He was, incidentally, in charge of the compilation
+of the largest encyclopaedia ever written, the _Yung-lo ta-tien_,
+commissioned by the Yung-lo emperor.
+
+Wang Yang-ming followed the Lin-ch'uan tradition. The introduction of
+the conception of intuition, a highly subjective conception, into the
+system of a practical state philosophy like Confucianism could not but
+lead in the practice of the statesman to machiavellism. The statesman
+who followed the teaching of Wang Yang-ming had the opportunity of
+justifying whatever he did by his intuition.
+
+Wang Yang-ming failed to gain acceptance for his philosophy. His
+disciples also failed to establish his doctrine in China, because it
+served the interests of an individual despot against those of the gentry
+as a class, and the middle class, which might have formed a
+counterweight against them, was not yet politically ripe for the seizure
+of the opportunity here offered to it. In Japan, however, Wang's
+doctrine gained many followers, because it admirably served the
+dictatorial state system which had developed in that country.
+Incidentally, Chiang Kai-shek in those years in which he showed Fascist
+tendencies, also got interested in Wang Yang-ming.
+
+
+13 _Foreign relations in the sixteenth century_
+
+The feeble emperor Wu Tsung died in 1521, after an ineffective reign,
+without leaving an heir. The clique then in power at court looked among
+the possible pretenders for the one who seemed least likely to do
+anything, and their choice fell on the fifteen-year-old Shih Tsung, who
+was made emperor. The forty-five years of his reign were filled in home
+affairs with intrigues between the cliques at court, with growing
+distress in the country, and with revolts on a larger and larger scale.
+Abroad there were wars with Annam, increasing raids by the Japanese,
+and, above all, long-continued fighting against the famous Mongol ruler
+Yen-ta, from 1549 onward. At one time Yen-ta reached Peking and laid
+siege to it. The emperor, who had no knowledge of affairs, and to whom
+Yen-ta had been represented as a petty bandit, was utterly dismayed and
+ready to do whatever Yen-ta asked; in the end he was dissuaded from
+this, and an agreement was arrived at with Yen-ta for state-controlled
+markets to be set up along the frontier, where the Mongols could
+dispose of their goods against Chinese goods on very favourable terms.
+After further difficulties lasting many years, a compromise was arrived
+at: the Mongols were earning good profits from the markets, and in 1571
+Yen-ta accepted a Chinese title. On the Chinese side, this Mongol trade,
+which continued in rather different form in the Manchu epoch, led to the
+formation of a local merchant class in the frontier province of Shansi,
+with great experience in credit business; later the first Chinese
+bankers came almost entirely from this quarter.
+
+After a brief interregnum there came once more to the throne a
+ten-year-old boy, the emperor Shen Tsung (reign name Wan-li; 1573-1619).
+He, too, was entirely under the influence of various cliques, at first
+that of his tutor, the scholar Chang Ch�-chan. About the time of the
+death, in 1582, of Yen-ta we hear for the first time of a new people. In
+1581 there had been unrest in southern Manchuria. The Mongolian tribal
+federation of the T�met attacked China, and there resulted collisions
+not only with the Chinese but between the different tribes living there.
+In southern and central Manchuria were remnants of the Tungus Juch�n.
+The Mongols had subjugated the Juch�n, but the latter had virtually
+become independent after the collapse of Mongol rule over China. They
+had formed several tribal alliances, but in 1581-83 these fought each
+other, so that one of the alliances to all intents was destroyed. The
+Chinese intervened as mediators in these struggles, and drew a
+demarcation line between the territories of the various Tungus tribes.
+All this is only worth mention because it was from these tribes that
+there developed the tribal league of the Manchus, who were then to rule
+China for some three hundred years.
+
+In 1592 the Japanese invaded Korea. This was their first real effort to
+set foot on the continent, a purely imperialistic move. Korea, as a
+Chinese vassal, appealed for Chinese aid. At first the Chinese army had
+no success, but in 1598 the Japanese were forced to abandon Korea. They
+revenged themselves by intensifying their raids on the coast of central
+China; they often massacred whole towns, and burned down the looted
+houses. The fighting in Korea had its influence on the Tungus tribes: as
+they were not directly involved, it contributed to their further
+strengthening.
+
+The East India Company was founded in 1600. At this time, while the
+English were trying to establish themselves in India, the Chinese tried
+to gain increased influence in the south by wars in Annam, Burma, and
+Thailand (1594-1604). These wars were for China colonial wars, similar
+to the colonial fighting by the British in India. But there began to be
+defined already at that time in the south of Asia the outlines of the
+states as they exist at the present time.
+
+In 1601 the first European, the Jesuit Matteo Ricci, succeeded in
+gaining access to the Chinese court, through the agency of a eunuch. He
+made some presents, and the Chinese regarded his visit as a mission from
+Europe bringing tribute. Ricci was therefore permitted to remain in
+Peking. He was an astronomer and was able to demonstrate to his Chinese
+colleagues the latest achievements of European astronomy. In 1613, after
+Ricci's death, the Jesuits and some Chinese whom they had converted were
+commissioned to reform the Chinese calendar. In the time of the Mongols,
+Arabs had been at work in Peking as astronomers, and their influence had
+continued under the Ming until the Europeans came. By his astronomical
+labours Ricci won a place of honour in Chinese literature; he is the
+European most often mentioned.
+
+The missionary work was less effective. The missionaries penetrated by
+the old trade routes from Canton and Macao into the province of Kiangsi
+and then into Nanking. Kiangsi and Nanking were their chief centres.
+They soon realized that missionary activity that began in the lower
+strata would have no success; it was necessary to work from above,
+beginning with the emperor, and then, they hoped, the whole country
+could be converted to Christianity. When later the emperors of the Ming
+dynasty were expelled and fugitives in South China, one of the
+pretenders to the throne was actually converted--but it was politically
+too late. The missionaries had, moreover, mistaken ideas as to the
+nature of Chinese religion; we know today that a universal adoption of
+Christianity in China would have been impossible even if an emperor had
+personally adopted that foreign faith: there were emperors who had been
+interested in Buddhism or in Taoism, but that had been their private
+affair and had never prevented them, as heads of the state, from
+promoting the religious system which politically was the most
+expedient--that is to say, usually Confucianism. What we have said here
+in regard to the Christian mission at the Ming court is applicable also
+to the missionaries at the court of the first Manchu emperors, in the
+seventeenth century. Early in the eighteenth century missionary activity
+was prohibited--not for religious but for political reasons, and only
+under the pressure of the Capitulations in the nineteenth century were
+the missionaries enabled to resume their labours.
+
+
+14 _External and internal perils_
+
+Towards the end of the reign of Wan-li, about 1620, the danger that
+threatened the empire became more and more evident. The Manchus
+complained, no doubt with justice, of excesses on the part of Chinese
+officials; the friction constantly increased, and the Manchus began to
+attack the Chinese cities in Manchuria. In 1616, after his first
+considerable successes, their leader Nurhachu assumed the imperial
+title; the name of the dynasty was Tai Ch'ing (interpreted as "The great
+clarity", but probably a transliteration of a Manchurian word meaning
+"hero"). In 1618, the year in which the Thirty Years War started in
+Europe, the Manchus conquered the greater part of Manchuria, and in 1621
+their capital was Liaoyang, then the largest town in Manchuria.
+
+But the Manchu menace was far from being the only one. On the south-east
+coast a pirate made himself independent; later, with his family, he
+dominated Formosa and fought many battles with the Europeans there
+(European sources call him Coxinga). In western China there came a great
+popular rising, in which some of the natives joined, and which spread
+through a large part of the southern provinces. This rising was
+particularly sanguinary, and when it was ultimately crushed by the
+Manchus the province of Szechwan, formerly so populous, was almost
+depopulated, so that it had later to be resettled. And in the province
+of Shantung in the east there came another great rising, also very
+sanguinary, that of the secret society of the "White Lotus". We have
+already pointed out that these risings of secret societies were always a
+sign of intolerable conditions among the peasantry. This was now the
+case once more. All the elements of danger which we mentioned at the
+outset of this chapter began during this period, between 1610 and 1640,
+to develop to the full.
+
+Then there were the conditions in the capital itself. The struggles
+between cliques came to a climax. On the death of Shen Tsung (or Wan-li;
+1573-1619), he was succeeded by his son, who died scarcely a month
+later, and then by his sixteen-year-old grandson. The grandson had been
+from his earliest youth under the influence of a eunuch, Wei
+Chung-hsien, who had castrated himself. With the emperor's wet-nurse and
+other people, mostly of the middle class, this man formed a powerful
+group. The moment the new emperor ascended the throne, Wei was
+all-powerful. He began by murdering every eunuch who did not belong to
+his clique, and then murdered the rest of his opponents. Meanwhile the
+gentry had concluded among themselves a defensive alliance that was a
+sort of party; this party was called the Tung-lin Academy. It was
+confined to literati among the gentry, and included in particular the
+literati who had failed to make their way at court, and who lived on
+their estates in Central China and were trying to gain power themselves.
+This group was opposed to Wei Chung-hsien, who ruthlessly had every
+discoverable member murdered. The remainder went into hiding and
+organized themselves secretly under another name. As the new emperor had
+no son, the attempt was made to foist a son upon him; at his death in
+1627, eight women of the harem were suddenly found to be pregnant! He
+was succeeded by his brother, who was one of the opponents of Wei
+Chung-hsien and, with the aid of the opposing clique, was able to bring
+him to his end. The new emperor tried to restore order at court and in
+the capital by means of political and economic decrees, but in spite of
+his good intentions and his unquestionable capacity he was unable to
+cope with the universal confusion. There was insurrection in every part
+of the country. The gentry, organized in their "Academies", and secretly
+at work in the provinces, no longer supported the government; the
+central power no longer had adequate revenues, so that it was unable to
+pay the armies that should have marched against all the rebels and also
+against external enemies. It was clear that the dynasty was approaching
+its end, and the only uncertainty was as to its successor. The various
+insurgents negotiated or fought with each other; generals loyal to the
+government won occasional successes against the rebels; other generals
+went over to the rebels or to the Manchus. The two most successful
+leaders of bands were Li Tzu-ch'eng and Chang Hsien-chung. Li came from
+the province of Shensi; he had come to the fore during a disastrous
+famine in his country. The years around 1640 brought several widespread
+droughts in North China, a natural phenomenon that was repeated in the
+nineteenth century, when unrest again ensued. Chang Hsien-chung returned
+for a time to the support of the government, but later established
+himself in western China. It was typical, however, of all these
+insurgents that none of them had any great objective in view. They
+wanted to get enough to eat for themselves and their followers; they
+wanted to enrich themselves by conquest; but they were incapable of
+building up an ordered and new administration. Li ultimately made
+himself "king" in the province of Shensi and called his dynasty "Shun",
+but this made no difference: there was no distribution of land among the
+peasants serving in Li's army; no plan was set into operation for the
+collection of taxes; not one of the pressing problems was faced.
+
+Meanwhile the Manchus were gaining support. Almost all the Mongol
+princes voluntarily joined them and took part in the raids into North
+China. In 1637 the united Manchus and Mongols conquered Korea. Their
+power steadily grew. What the insurgents in China failed to achieve, the
+Manchus achieved with the aid of their Chinese advisers: they created a
+new military organization, the "Banner Organization". The men fit for
+service were distributed among eight "banners", and these banners became
+the basis of the Manchu state administration. By this device the
+Manchus emerged from the stage of tribal union, just as before them
+Turks and other northern peoples had several times abandoned the
+traditional authority of a hierarchy of tribal leaders, a system of
+ruling families, in favour of the authority, based on efficiency, of
+military leaders. At the same time the Manchus set up a central
+government with special ministries on the Chinese model. In 1638 the
+Manchus appeared before Peking, but they retired once more. Manchu
+armies even reached the province of Shantung. They were hampered by the
+death at the critical moment of the Manchu ruler Abahai (1626-1643). His
+son Fu Lin was not entirely normal and was barely six years old; there
+was a regency of princes, the most prominent among them being Prince
+Dorgon.
+
+Meanwhile Li Tzu-ch'�ng broke through to Peking. The city had a strong
+garrison, but owing to the disorganization of the government the
+different commanders were working against each other; and the soldiers
+had no fighting spirit because they had had no pay for a long time. Thus
+the city fell, on April 24th, 1644, and the last Ming emperor killed
+himself. A prince was proclaimed emperor; he fled through western and
+southern China, continually trying to make a stand, but it was too late;
+without the support of the gentry he had no resource, and ultimately, in
+1659, he was compelled to flee into Burma.
+
+Thus Li Tzu-ch'�ng was now emperor. It should have been his task rapidly
+to build up a government, and to take up arms against the other rebels
+and against the Manchus. Instead of this he behaved in such a way that
+he was unable to gain any support from the existing officials in the
+capital; and as there was no one among his former supporters who had any
+positive, constructive ideas, just nothing was done.
+
+This, however, improved the chances of all the other aspirants to the
+imperial throne. The first to realize this clearly, and also to possess
+enough political sagacity to avoid alienating the gentry, was General Wu
+San-kui, who was commanding on the Manchu front. He saw that in the
+existing conditions in the capital he could easily secure the imperial
+throne for himself if only he had enough soldiers. Accordingly he
+negotiated with the Manchu Prince Dorgon, formed an alliance with the
+Manchus, and with them entered Peking on June 6th, 1644. Li Tzu-ch'�ng
+quickly looted the city, burned down whatever he could, and fled into
+the west, continually pursued by Wu San-kui. In the end he was abandoned
+by all his supporters and killed by peasants. The Manchus, however, had
+no intention of leaving Wu San-kui in power: they established themselves
+in Peking, and Wu became their general.
+
+
+
+(C) The Manchu Dynasty (1644-1911)
+
+
+1 _Installation of Manchus_
+
+The Manchus had gained the mastery over China owing rather to China's
+internal situation than to their military superiority. How was it that
+the dynasty could endure for so long, although the Manchus were not
+numerous, although the first Manchu ruler (Fu Lin, known under the rule
+name Shun-chih; 1644-1662) was a psychopathic youth, although there were
+princes of the Ming dynasty ruling in South China, and although there
+were strong groups of rebels all over the country? The Manchus were
+aliens; at that time the national feeling of the Chinese had already
+been awakened; aliens were despised. In addition to this, the Manchus
+demanded that as a sign of their subjection the Chinese should wear
+pigtails and assume Manchurian clothing (law of 1645). Such laws could
+not but offend national pride. Moreover, marriages between Manchus and
+Chinese were prohibited, and a dual government was set up, with Manchus
+always alongside Chinese in every office, the Manchus being of course in
+the superior position. The Manchu soldiers were distributed in military
+garrisons among the great cities, and were paid state pensions, which
+had to be provided by taxation. They were the master race, and had no
+need to work. Manchus did not have to attend the difficult state
+examinations which the Chinese had to pass in order to gain an
+appointment. How was it that in spite of all this the Manchus were able
+to establish themselves?
+
+The conquering Manchu generals first went south from eastern China, and
+in 1645 captured Nanking, where a Ming prince had ruled. The region
+round Nanking was the economic centre of China. Soon the Manchus were in
+the adjoining southern provinces, and thus they conquered the whole of
+the territory of the landowning gentry, who after the events of the
+beginning of the seventeenth century had no longer trusted the Ming
+rulers. The Ming prince in Nanking was just as incapable, and surrounded
+by just as evil a clique, as the Ming emperors of the past. The gentry
+were not inclined to defend him. A considerable section of the gentry
+were reduced to utter despair; they had no desire to support the Ming
+any longer; in their own interest they could not support the rebel
+leaders; and they regarded the Manchus as just a particular sort of
+"rebels". Interpreting the refusal of some Sung ministers to serve the
+foreign Mongols as an act of loyalty, it was now regarded as shameful to
+desert a dynasty when it came to an end and to serve the new ruler, even
+if the new r�gime promised to be better. Many thousands of officials,
+scholars, and great landowners committed suicide. Many books, often
+really moving and tragic, are filled with the story of their lives. Some
+of them tried to form insurgent bands with their peasants and went into
+the mountains, but they were unable to maintain themselves there. The
+great bulk of the �lite soon brought themselves to collaborate with the
+conquerors when they were offered tolerable conditions. In the end the
+Manchus did not interfere in the ownership of land in central China.
+
+At the time when in Europe Louis XIV was reigning, the Thirty Years War
+was coming to an end, and Cromwell was carrying out his reforms in
+England, the Manchus conquered the whole of China. Chang Hsien-chung and
+Li Tzu-ch'�ng were the first to fall; the pirate Coxinga lasted a little
+longer and was even able to plunder Nanking in 1659, but in 1661 he had
+to retire to Formosa. Wu San-kui, who meanwhile had conquered western
+China, saw that the situation was becoming difficult for him. His task
+was to drive out the last Ming pretenders for the Manchus. As he had
+already been opposed to the Ming in 1644, and as the Ming no longer had
+any following among the gentry, he could not suddenly work with them
+against the Manchus. He therefore handed over to the Manchus the last
+Ming prince, whom the Burmese had delivered up to him in 1661. Wu
+San-kui's only possible allies against the Manchus were the gentry. But
+in the west, where he was in power, the gentry counted for nothing; they
+had in any case been weaker in the west, and they had been decimated by
+the insurrection of Chang Hsien-chung. Thus Wu San-kui was compelled to
+try to push eastwards, in order to unite with the gentry of the Yangtze
+region against the Manchus. The Manchus guessed Wu San-kui's plan, and
+in 1673, after every effort at accommodation had failed, open war came.
+Wu San-kui made himself emperor, and the Manchus marched against him.
+Meanwhile, the Chinese gentry of the Yangtze region had come to terms
+with the Manchus, and they gave Wu San-kui no help. He vegetated in the
+south-west, a region too poor to maintain an army that could conquer all
+China, and too small to enable him to last indefinitely as an
+independent power. He was able to hold his own until his death,
+although, with the loss of the support of the gentry, he had had no
+prospect of final success. Not until 1681 was his successor, his
+grandson Wu Shih-fan, defeated. The end of the rule of Wu San-kui and
+his successor marked the end of the national governments of China; the
+whole country was now under alien domination, for the simple reason that
+all the opponents of the Manchus had failed. Only the Manchus were
+accredited with the ability to bring order out of the universal
+confusion, so that there was clearly no alternative but to put up with
+the many insults and humiliations they inflicted--with the result that
+the national feeling that had just been aroused died away, except where
+it was kept alive in a few secret societies. There will be more to say
+about this, once the works which were suppressed by the Manchus are
+published.
+
+In the first phase of the Manchu conquest the gentry had refused to
+support either the Ming princes or Wu San-kui, or any of the rebels, or
+the Manchus themselves. A second phase began about twenty years after
+the capture of Peking, when the Manchus won over the gentry by desisting
+from any interference with the ownership of land, and by the use of
+Manchu troops to clear away the "rebels" who were hostile to the gentry.
+A reputable government was then set up in Peking, free from eunuchs and
+from all the old cliques; in their place the government looked for
+Chinese scholars for its administrative posts. Literati and scholars
+streamed into Peking, especially members of the "Academies" that still
+existed in secret, men who had been the chief sufferers from the
+conditions at the end of the Ming epoch. The young emperor Sheng Tsu
+(1663-1722; K'ang-hsi is the name by which his rule was known, not his
+name) was keenly interested in Chinese culture and gave privileged
+treatment to the scholars of the gentry who came forward. A rapid
+recovery quite clearly took place. The disturbances of the years that
+had passed had got rid of the worst enemies of the people, the
+formidable rival cliques and the individuals lusting for power; the
+gentry had become more cautious in their behaviour to the peasants; and
+bribery had been largely stamped out. Finally, the empire had been
+greatly expanded. All these things helped to stabilize the regime of the
+Manchus.
+
+
+2 _Decline in the eighteenth century_
+
+The improvement continued until the middle of the eighteenth century.
+About the time of the French Revolution there began a continuous
+decline, slow at first and then gathering speed. The European works on
+China offer various reasons for this: the many foreign wars (to which we
+shall refer later) of the emperor, known by the name of his ruling
+period, Ch'ien-lung, his craze for building, and the irruption of the
+Europeans into Chinese trade. In the eighteenth century the court
+surrounded itself with great splendour, and countless palaces and other
+luxurious buildings were erected, but it must be borne in mind that so
+great an empire as the China of that day possessed very considerable
+financial strength, and could support this luxury. The wars were
+certainly not inexpensive, as they took place along the Russian
+frontier and entailed expenditure on the transport of reinforcements and
+supplies; the wars against Turkestan and Tibet were carried on with
+relatively small forces. This expenditure should not have been beyond
+the resources of an ordered budget. Interestingly enough, the period
+between 1640 and 1840 belongs to those periods for which almost no
+significant work in the field of internal social and economic
+developments has been made; Western scholars have been too much
+interested in the impact of Western economy and culture or in the
+military events. Chinese scholars thus far have shown a prejudice
+against the Manchu dynasty and were mainly interested in the study of
+anti-Manchu movements and the downfall of the dynasty. On the other
+hand, the documentary material for this period is extremely extensive,
+and many years of work are necessary to reach any general conclusions
+even in one single field. The following remarks should, therefore, be
+taken as very tentative and preliminary, and they are, naturally,
+fragmentary.
+
+[Illustration: (Chart) POPULATION GROWTH OF CHINA]
+
+[Illustration: 14 Aborigines of South China, of the 'Black Miao' tribe,
+at a festival. China-ink drawing of the eighteenth century. _Collection
+of the Museum f�r V�lkerkunde, Berlin. No. ID_ 8756, 68.]
+
+[Illustration: 15 Pavilion on the 'Coal Hill' at Peking, in which the
+last Ming emperor committed suicide. _Photo Eberhard_.]
+
+The decline of the Manchu dynasty began at a time when the European
+trade was still insignificant, and not as late as after 1842, when China
+had had to submit to the foreign Capitulations. These cannot have been
+the true cause of the decline. Above all, the decline was not so
+noticeable in the state of the Exchequer as in a general impoverishment
+of China. The number of really wealthy persons among the gentry
+diminished, but the middle class, that is to say the people who had
+education but little or no money and property, grew steadily in number.
+
+One of the deeper reasons for the decline of the Manchu dynasty seems to
+lie in the enormous increase in the population. Here are a few Chinese
+statistics:
+
+           _Year_                     _Population_
+
+  1578 (before the Manchus) 10,621,463 families or 60,692,856 individuals
+             1662           19,203,233 families   100,000,000 individuals *
+             1710           23,311,236 families   116,000,000 individuals *
+             1729           25,480,498 families   127,000,000 individuals *
+             1741                                 143,411,559 individuals
+             1754                                 184,504,493 individuals
+             1778                                 242,965,618 individuals
+             1796                                 275,662,414 individuals
+             1814                                 374,601,132 individuals
+             1850                                 414,493,899 individuals
+            (1953)                               (601,938,035 individuals)
+                                * Approximately
+
+It may be objected that these figures are incorrect and exaggerated.
+Undoubtedly they contain errors. But the first figure (for 1578) of some
+sixty millions is in close agreement with all other figures of early
+times; the figure for 1850 seems high, but cannot be far wrong, for even
+after the great T'ai P'ing Rebellion of 1851, which, together with its
+after-effects, costs the lives of countless millions, all statisticians
+of today estimate the population of China at more than four hundred
+millions. If we enter these data together with the census of 1953 into a
+chart (see p. 273), a fairly smooth curve emerges; the special features
+are that already under the Ming the population was increasing and,
+secondly, that the high rate of increase in the population began with
+the long period of internal peace since about 1700. From that time
+onwards, all China's wars were fought at so great a distance from China
+proper that the population was not directly affected. Moreover, in the
+seventeenth and eighteenth centuries the Manchus saw to the maintenance
+of the river dykes, so that the worst inundations were prevented. Thus
+there were not so many of the floods which had often cost the lives of
+many million people in China; and there were no internal wars, with
+their heavy cost in lives.
+
+But while the population increased, the tillage failed to increase in
+the needed proportion. I have, unfortunately, no statistics for all
+periods; but the general tendency is shown by the following table:
+
+    _Date_      _Cultivated area_        mou _per person_
+                   _in_ mou
+
+     1578          701,397,600                  11.6
+     1662          531,135,800
+     1719          663,113,200
+     1729          878,176,000                   6.1
+    (1953)      (1,627,930,000)                 (2.7)
+
+Six _mou_ are about one acre. In 1578, there were 66 _mou_ land per
+family of the total population. This was close to the figures regarded
+as ideal by Chinese early economists for the producing family (100
+_mou_) considering the fact that about 80 per cent of all families at
+that time were producers. By 1729 it was only 35 _mou_ per family, i.e.
+the land had to produce almost twice as much as before. We have shown
+that the agricultural developments in the Ming time greatly increased
+the productivity of the land. This then, obviously resulted in an
+increase of population. But by the middle of the eighteenth century,
+assuming that production doubled since the sixteenth century, population
+pressure was again as heavy as it had been then. And after _c_. 1750,
+population pressure continued to build up to the present time.
+
+Internal colonization continued during the Manchu time; there was a
+continuous, but slow flow of people into Kwangsi, Kweichou, Y�nnan. In
+spite of laws which prohibited emigration, Chinese also moved into
+South-East Asia. Chinese settlement in Manchuria was allowed only in the
+last years of the Manchus. But such internal colonization or emigration
+could allevitate the pressure only in some areas, while it continued to
+build up in others.
+
+In Europe as well as in Japan, we find a strong population increase; in
+Europe at almost the same time as in China. But before population
+pressure became too serious in Europe or Japan, industry developed and
+absorbed the excess population. Thus, farms did not decrease too much in
+size. Too small farms are always and in many ways uneconomical. With the
+development of industries, the percentage of farm population decreased.
+In China, however, the farm population was still as high as 73.3 per
+cent of the total population in 1932 and the percentage rose to 81 per
+cent in 1950.
+
+From the middle of the seventeenth century on, commercial activities,
+especially along the coast, continued to increase and we find gentry
+families who equip sons who were unwilling or not capable to study and
+to enter the ranks of the officials, but who were too unruly to sit in
+villages and collect the rent from the tenants of the family, with money
+to enter business. The newly settled areas of Kwangtung and Kwangsi were
+ideal places for them: here they could sell Chinese products to the
+native tribes or to the new settlers at high prices. Some of these men
+introduced new techniques from the old provinces of China into the
+"colonial" areas and set up dye factories, textile factories, etc., in
+the new towns of the south. But the greatest stimulus for these
+commercial activities was foreign, European trade. American silver which
+had flooded Europe in the sixteenth century, began to flow into China
+from the beginning of the seventeenth century on. The influx was stopped
+not until between 1661 and 1684 when the government again prohibited
+coastal shipping and removed coastal settlements into the interior in
+order to stop piracy along the coasts of Fukien and independence
+movements on Formosa. But even during these twenty-three years, the
+price of silver was so low that home production was given up because it
+did not pay off. In the eighteenth century, silver again continued to
+enter China, while silk and tea were exported. This demand led to a
+strong rise in the prices of silk and tea, and benefited the merchants.
+When, from the late eighteenth century on, opium began to be imported,
+the silver left China again. The merchants profited this time from the
+opium trade, but farmers had to suffer: the price of silver went up, and
+taxes had to be paid in silver, while farm products were sold for
+copper. By 1835, the ounce of silver had a value of 2,000 copper coins
+instead of one thousand before 1800. High gains in commerce prevented
+investment in industries, because they would give lower and later
+profits than commerce. From the nineteenth century on, more and more
+industrial goods were offered by importers which also prevented
+industrialization. Finally, the gentry basically remained
+anti-industrial and anti-business. They tried to operate necessary
+enterprises such as mining, melting, porcelain production as far as
+possible as government establishments; but as the operators were
+officials, they were not too business-minded and these enterprises did
+not develop well. The businessmen certainly had enough capital, but they
+invested it in land instead of investing it in industries which could at
+any moment be taken away by the government, controlled by the officials
+or forced to sell at set prices, and which were always subject to
+exploitation by dishonest officials. A businessman felt secure only when
+he had invested in land, when he had received an official title upon the
+payment of large sums of money, or when he succeeded to push at least
+one of his sons into the government bureaucracy. No doubt, in spite of
+all this, Chinese business and industry kept on developing in the Manchu
+time, but they did not develop at such a speed as to transform the
+country from an agrarian into a modern industrial nation.
+
+
+3 _Expansion in Central Asia; the first State treaty_
+
+The rise of the Manchu dynasty actually began under the K'ang-hsi rule
+(1663-1722). The emperor had three tasks. The first was the removal of
+the last supporters of the Ming dynasty and of the generals, such as Wu
+San-kui, who had tried to make themselves independent. This necessitated
+a long series of campaigns, most of them in the south-west or south of
+China; these scarcely affected the population of China proper. In 1683
+Formosa was occupied and the last of the insurgent army commanders was
+defeated. It was shown above that the situation of all these leaders
+became hopeless as soon as the Manchus had occupied the rich Yangtze
+region and the intelligentsia and the gentry of that region had gone
+over to them.
+
+A quite different type of insurgent commander was the Mongol prince
+Galdan. He, too, planned to make himself independent of Manchu
+overlordship. At first the Mongols had readily supported the Manchus,
+when the latter were making raids into China and there was plenty of
+booty. Now, however, the Manchus, under the influence of the Chinese
+gentry whom they brought, and could not but bring, to their court, were
+rapidly becoming Chinese in respect to culture. Even in the time of
+K'ang-hsi the Manchus began to forget Manchurian; they brought tutors to
+court to teach the young Manchus Chinese. Later even the emperors did
+not understand Manchurian! As a result of this process, the Mongols
+became alienated from the Manchurians, and the situation began once more
+to be the same as at the time of the Ming rulers. Thus Galdan tried to
+found an independent Mongol realm, free from Chinese influence.
+
+The Manchus could not permit this, as such a realm would have threatened
+the flank of their homeland, Manchuria, and would have attracted those
+Manchus who objected to sinification. Between 1690 and 1696 there were
+battles, in which the emperor actually took part in person. Galdan was
+defeated. In 1715, however, there were new disturbances, this time in
+western Mongolia. Tsewang Rabdan, whom the Chinese had made khan of the
+�l�t, rose against the Chinese. The wars that followed, extending far
+into Turkestan and also involving its Turkish population together with
+the Dzungars, ended with the Chinese conquest of the whole of Mongolia
+and of parts of eastern Turkestan. As Tsewang Rabdan had tried to extend
+his power as far as Tibet, a campaign was undertaken also into Tibet,
+Lhasa was occupied, a new Dalai Lama was installed there as supreme
+ruler, and Tibet was made into a protectorate. Since then Tibet has
+remained to this day under some form of Chinese colonial rule.
+
+This penetration of the Chinese into Turkestan took place just at the
+time when the Russians were enormously expanding their empire in Asia,
+and this formed the third problem for the Manchus. In 1650 the Russians
+had established a fort by the river Amur. The Manchus regarded the Amur
+(which they called the "River of the Black Dragon") as part of their own
+territory, and in 1685 they destroyed the Russian settlement. After this
+there were negotiations, which culminated in 1689 in the Treaty of
+Nerchinsk. This treaty was the first concluded by the Chinese state with
+a European power. Jesuit missionaries played a part in the negotiations
+as interpreters. Owing to the difficulties of translation the text of
+the treaty, in Chinese, Russian, and Manchurian, contained some
+obscurities, particulary in regard to the frontier line. Accordingly, in
+1727 the Russians asked for a revision of the old treaty. The Chinese
+emperor, whose rule name was Yung-cheng, arranged for the negotiations
+to be carried on at the frontier, in the town of Kyakhta, in Mongolia,
+where after long discussions a new treaty was concluded. Under this
+treaty the Russians received permission to set up a legation and a
+commercial agency in Peking, and also to maintain a church. This was the
+beginning of the foreign Capitulations. From the Chinese point of view
+there was nothing special in a facility of this sort. For some fifteen
+centuries all the "barbarians" who had to bring tribute had been given
+houses in the capital, where their envoys could wait until the emperor
+would receive them--usually on New Year's Day. The custom had sprung up
+at the reception of the Huns. Moreover, permission had always been given
+for envoys to be accompanied by a few merchants, who during the envoy's
+stay did a certain amount of business. Furthermore the time had been
+when the Uighurs were permitted to set up a temple of their own. At the
+time of the permission given to the Russians to set up a "legation", a
+similar office was set up (in 1729) for "Uighur" peoples (meaning
+Mohammedans), again under the control of an office, called the Office
+for Regulation of Barbarians. The Mohammedan office was placed under two
+Mohammedan leaders who lived in Peking. The Europeans, however, had
+quite different ideas about a "legation", and about the significance of
+permission to trade. They regarded this as the opening of diplomatic
+relations between states on terms of equality, and the carrying on of
+trade as a special privilege, a sort of Capitulation. This reciprocal
+misunderstanding produced in the nineteenth century a number of serious
+political conflicts. The Europeans charged the Chinese with breach of
+treaties, failure to meet their obligations, and other such things,
+while the Chinese considered that they had acted with perfect
+correctness.
+
+
+4 _Culture_
+
+In this K'ang-hsi period culture began to flourish again. The emperor
+had attracted the gentry, and so the intelligentsia, to his court
+because his uneducated Manchus could not alone have administered the
+enormous empire; and he showed great interest in Chinese culture,
+himself delved deeply into it, and had many works compiled, especially
+works of an encyclopaedic character. The encyclopaedias enabled
+information to be rapidly gained on all sorts of subjects, and thus were
+just what an interested ruler needed, especially when, as a foreigner,
+he was not in a position to gain really thorough instruction in things
+Chinese. The Chinese encyclopaedias of the seventeenth and especially of
+the eighteenth century were thus the outcome of the initiative of the
+Manchurian emperor, and were compiled for his information; they were not
+due, like the French encyclopaedias of the eighteenth century, to a
+movement for the spread of knowledge among the people. For this latter
+purpose the gigantic encyclopaedias of the Manchus, each of which fills
+several bookcases, were much too expensive and were printed in much too
+limited editions. The compilations began with the great geographical
+encyclopaedia of Ku Yen-wu (1613-1682), and attained their climax in the
+gigantic eighteenth-century encyclopaedia _T'u-shu chi-ch'eng,_
+scientifically impeccable in the accuracy of its references to sources.
+Here were already the beginnings of the "Archaeological School", built
+up in the course of the eighteenth century. This school was usually
+called "Han school" because the adherents went back to the commentaries
+of the classical texts written in Han time and discarded the orthodox
+explanations of Chu Hsi's school of Sung time. Later, its most prominent
+leader was Tai Chen (1723-1777). Tai was greatly interested in
+technology and science; he can be regarded as the first philosopher who
+exhibited an empirical, scientific way of thinking. Late nineteenth and
+early twentieth century Chinese scholarship is greatly obliged to him.
+
+The most famous literary works of the Manchu epoch belong once more to
+the field which Chinese do not regard as that of true literature--the
+novel, the short story, and the drama. Poetry did exist, but it kept to
+the old paths and had few fresh ideas. All the various forms of the Sung
+period were made use of. The essayists, too, offered nothing new, though
+their number was legion. One of the best known is Y�an Mei (1716-1797),
+who was also the author of the collection of short stories _Tse-pu-y�_
+("The Master did not tell"), which is regarded very highly by the
+Chinese. The volume of short stories entitled _Liao-chai chich-i_, by
+P'u Sung-lin (1640-1715?), is world-famous and has been translated into
+every civilized language. Both collections are distinguished by their
+simple but elegant style. The short story was popular among the greater
+gentry; it abandoned the popular style it had had in the Ming epoch, and
+adopted the polished language of scholars.
+
+The Manchu epoch has left to us what is by general consent the finest
+novel in Chinese literature, _Hung-lou-meng_ ("The Dream of the Red
+Chamber"), by Ts'ao Hs�eh-ch'in, who died in 1763. It describes the
+downfall of a rich and powerful family from the highest rank of the
+gentry, and the decadent son's love of a young and emotional lady of the
+highest circles. The story is clothed in a mystical garb that does
+something to soften its tragic ending. The interesting novel _Ju-lin
+wai-shih_ ("Private Reports from the Life of Scholars"), by Wu Ching-tzu
+(1701-1754), is a mordant criticism of Confucianism with its rigid
+formalism, of the social system, and of the examination system. Social
+criticism is the theme of many novels. The most modern in spirit of the
+works of this period is perhaps the treatment of feminism in the novel
+_Ching-hua-y�an_, by Li Yu-ch�n (d. 1830), which demanded equal rights
+for men and women.
+
+The drama developed quickly in the Manchu epoch, particularly in
+quantity, especially since the emperors greatly appreciated the theatre.
+A catalogue of plays compiled in 1781 contains 1,013 titles! Some of
+these dramas were of unprecedented length. One of them was played in 26
+parts containing 240 acts; a performance took two years to complete!
+Probably the finest dramas of the Manchu epoch are those of Li Y� (born
+1611), who also became the first of the Chinese dramatic critics. What
+he had to say about the art of the theatre, and about aesthetics in
+general, is still worth reading.
+
+About the middle of the nineteenth century the influence of Europe
+became more and more marked. Translation began with Yen Fu (1853-1921),
+who translated the first philosophical and scientific books and books on
+social questions and made his compatriots acquainted with Western
+thought. At the same time Lin Shu (1852-1924) translated the first
+Western short stories and novels. With these two began the new style,
+which was soon elaborated by Liang Ch'i-ch'ao, a collaborator of Sun
+Yat-sen's, and by others, and which ultimately produced the "literary
+revolution" of 1917. Translation has continued to this day; almost every
+book of outstanding importance in world literature is translated within
+a few months of its appearance, and on the average these translations
+are of a fairly high level.
+
+Particularly fine work was produced in the field of porcelain in the
+Manchu epoch. In 1680 the famous kilns in the province of Kiangsi were
+reopened, and porcelain that is among the most artistically perfect in
+the world was fired in them. Among the new colours were especially green
+shades (one group is known as _famille verte_), and also black and
+yellow compositions. Monochrome porcelain also developed further,
+including very fine dark blue, brilliant red (called "ox-blood"), and
+white. In the eighteenth century, however, there began an unmistakable
+decline, which has continued to this day, although there are still a few
+craftsmen and a few kilns that produce outstanding work (usually
+attempts to imitate old models), often in small factories.
+
+In painting, European influence soon shows itself. The best-known
+example of this is Lang Shih-ning, an Italian missionary whose original
+name was Giuseppe Castiglione (1688-1766); he began to work in China in
+1715. He learned the Chinese method of painting, but introduced a number
+of technical tricks of European painters, which were adopted in general
+practice in China, especially by the official court painters: the
+painting of the scholars who lived in seclusion remained uninfluenced.
+Dutch flower-painting also had some influence in China as early as the
+eighteenth century.
+
+The missionaries played an important part at court. The first Manchu
+emperors were as generous in this matter as the Mongols had been, and
+allowed the foreigners to work in peace. They showed special interest in
+the European science introduced by the missionaries; they had less
+sympathy for their religious message. The missionaries, for their part,
+sent to Europe enthusiastic accounts of the wonderful conditions in
+China, and so helped to popularize the idea that was being formed in
+Europe of an "enlightened", a constitutional, monarchy. The leaders of
+the Enlightenment read these reports with enthusiasm, with the result
+that they had an influence on the French Revolution. Confucius was found
+particularly attractive, and was regarded as a forerunner of the
+Enlightenment. The "Monadism" of the philosopher Leibniz was influenced
+by these reports.
+
+The missionaries gained a reputation at court as "scientists", and in
+this they were of service both to China and to Europe. The behaviour of
+the European merchants who followed the missions, spreading gradually in
+growing numbers along the coasts of China, was not by any means so
+irreproachable. The Chinese were certainly justified when they declared
+that European ships often made landings on the coast and simply looted,
+just as the Japanese had done before them. Reports of this came to the
+court, and as captured foreigners described themselves as "Christians"
+and also seemed to have some connection with the missionaries living at
+court, and as disputes had broken out among the missionaries themselves
+in connection with papal ecclesiastical policy, in the Yung-cheng period
+(1723-1736; the name of the emperor was Shih Tsung) Christianity was
+placed under a general ban, being regarded as a secret political
+organization.
+
+
+5 _Relations with the outer world_
+
+During the Yung-cheng period there was long-continued guerrilla fighting
+with natives in south-west China. The pressure of population in China
+sought an outlet in emigration. More and more Chinese moved into the
+south-west, and took the land from the natives, and the fighting was the
+consequence of this.
+
+At the beginning of the Ch'ien-lung period (1736-1796), fighting started
+again in Turkestan. Mongols, now called Kalmuks, defeated by the
+Chinese, had migrated to the Ili region, where after heavy fighting they
+gained supremacy over some of the Kazaks and other Turkish peoples
+living there and in western Turkestan. Some Kazak tribes went over to
+the Russians, and in 1735 the Russian colonialists founded the town of
+Orenburg in the western Kazak region. The Kalmuks fought the Chinese
+without cessation until, in 1739, they entered into an agreement under
+which they ceded half their territory to Manchu China, retaining only
+the Ili region. The Kalmuks subsequently reunited with other sections of
+the Kazaks against the Chinese. In 1754 peace was again concluded with
+China, but it was followed by raids on both sides, so that the Manchus
+determined to enter on a great campaign against the Ili region. This
+ended with a decisive victory for the Chinese (1755). In the years that
+followed, however, the Chinese began to be afraid that the various Kazak
+tribes might unite in order to occupy the territory of the Kalmuks,
+which was almost unpopulated owing to the mass slaughter of Kalmuks by
+the Chinese. Unrest began among the Mohammedans throughout the
+neighbouring western Turkestan, and the same Chinese generals who had
+fought the Kalmuks marched into Turkestan and captured the Mohammedan
+city states of Uch, Kashgar, and Yarkand.
+
+The reinforcements for these campaigns, and for the garrisons which in
+the following decades were stationed in the Ili region and in the west
+of eastern Turkestan, marched along the road from Peking that leads
+northward through Mongolia to the far distant Uliassutai and Kobdo. The
+cost of transport for one _shih_ (about 66 lb.) amounted to 120 pieces
+of silver. In 1781 certain economies were introduced, but between 1781
+and 1791 over 30,000 tons, making some 8 tons a day, was transported to
+that region. The cost of transport for supplies alone amounted in the
+course of time to the not inconsiderable sum of 120,000,000 pieces of
+silver. In addition to this there was the cost of the transported goods
+and of the pay of soldiers and of the administration. These figures
+apply to the period of occupation, of relative peace: during the actual
+wars of conquest the expenditure was naturally far higher. Thus these
+campaigns, though I do not think they brought actual economic ruin to
+China, were nevertheless a costly enterprise, and one which produced
+little positive advantage.
+
+In addition to this, these wars brought China into conflict with the
+European colonial powers. In the years during which the Chinese armies
+were fighting in the Ili region, the Russians were putting out their
+feelers in that direction, and the Chinese annals show plainly how the
+Russians intervened in the fighting with the Kalmuks and Kazaks. The Ili
+region remained thereafter a bone of contention between China and
+Russia, until it finally went to Russia, bit by bit, between 1847 and
+1881. The Kalmuks and Kazaks played a special part in Russo-Chinese
+relations. The Chinese had sent a mission to the Kalmuks farthest west,
+by the lower Volga, and had entered into relations with them, as early
+as 1714. As Russian pressure on the Volga region continually grew, these
+Kalmuks (mainly the Turgut tribe), who had lived there since 1630,
+decided to return into Chinese territory (1771). During this enormously
+difficult migration, almost entirely through hostile territory, a large
+number of the Turgut perished; 85,000, however, reached the Ili region,
+where they were settled by the Chinese on the lands of the eastern
+Kalmuks, who had been largely exterminated.
+
+In the south, too, the Chinese came into direct touch with the European
+powers. In 1757 the English occupied Calcutta, and in 1766 the province
+of Bengal. In 1767 a Manchu general, Ming Jui, who had been victorious
+in the fighting for eastern Turkestan, marched against Burma, which was
+made a dependency once more in 1769. And in 1790-1791 the Chinese
+conquered Nepal, south of Tibet, because Nepalese had made two attacks
+on Tibet. Thus English and Chinese political interests came here into
+contact.
+
+For the Ch'ien-lung period's many wars of conquest there seem to have
+been two main reasons. The first was the need for security. The Mongols
+had to be overthrown because otherwise the homeland of the Manchus was
+menaced; in order to make sure of the suppression of the eastern
+Mongols, the western Mongols (Kalmuks) had to be overthrown; to make
+them harmless, Turkestan and the Ili region had to be conquered; Tibet
+was needed for the security of Turkestan and Mongolia--and so on. Vast
+territories, however, were conquered in this process which were of no
+economic value, and most of which actually cost a great deal of money
+and brought nothing in. They were conquered simply for security. That
+advantage had been gained: an aggressor would have to cross great areas
+of unproductive territory, with difficult conditions for reinforcements,
+before he could actually reach China. In the second place, the Chinese
+may actually have noticed the efforts that were being made by the
+European powers, especially Russia and England, to divide Asia among
+themselves, and accordingly they made sure of their own good share.
+
+
+6 _Decline; revolts_
+
+The period of Ch'ien-lung is not only that of the greatest expansion of
+the Chinese empire, but also that of the greatest prosperity under the
+Manchu regime. But there began at the same time to be signs of internal
+decline. If we are to fix a particular year for this, perhaps it should
+be the year 1774, in which came the first great popular rising, in the
+province of Shantung. In 1775 there came another popular rising, in
+Honan--that of the "Society of the White Lotus". This society, which had
+long existed as a secret organization and had played a part in the Ming
+epoch, had been reorganized by a man named Liu Sung. Liu Sung was
+captured and was condemned to penal servitude. His followers, however,
+regrouped themselves, particularly in the province of Anhui. These
+risings had been produced, as always, by excessive oppression of the
+people by the government or the governing class. As, however, the anger
+of the population was naturally directed also against the idle Manchus
+of the cities, who lived on their state pensions, did no work, and
+behaved as a ruling class, the government saw in these movements a
+nationalist spirit, and took drastic steps against them. The popular
+leaders now altered their programme, and acclaimed a supposed descendant
+from the Ming dynasty as the future emperor. Government troops caught
+the leader of the "White Lotus" agitation, but he succeeded in escaping.
+In the regions through which the society had spread, there then began a
+sort of Inquisition, of exceptional ferocity. Six provinces were
+affected, and in and around the single city of Wuch'ang in four months
+more than 20,000 people were beheaded. The cost of the rising to the
+government ran into millions. In answer to this oppression, the popular
+leaders tightened their organization and marched north-west from the
+western provinces of which they had gained control. The rising was
+suppressed only by a very big military operation, and not until 1802.
+There had been very heavy fighting between 1793 and 1802--just when in
+Europe, in the French Revolution, another oppressed population won its
+freedom.
+
+The Ch'ien-lung emperor abdicated on New Year's Day, 1795, after ruling
+for sixty years. He died in 1799. His successor was Jen Tsung
+(1796-1821; reign name: Chia-ch'ing). In the course of his reign the
+rising of the "White Lotus" was suppressed, but in 1813 there began a
+new rising, this time in North China--again that of a secret
+organization, the "Society of Heaven's Law". One of its leaders bribed
+some eunuchs, and penetrated with a group of followers into the palace;
+he threw himself upon the emperor, who was only saved through the
+intervention of his son. At the same time the rising spread in the
+provinces. Once more the government succeeded in suppressing it and
+capturing the leaders. But the memory of these risings was kept alive
+among the Chinese people. For the government failed to realize that the
+actual cause of the risings was the general impoverishment, and saw in
+them a nationalist movement, thus actually arousing a national
+consciousness, stronger than in the Ming epoch, among the middle and
+lower classes of the people, together with hatred of the Manchus. They
+were held responsible for every evil suffered, regardless of the fact
+that similar evils had existed earlier.
+
+
+7 _European Imperialism in the Far East_
+
+With the Tao-kuang period (1821-1850) began a new period in Chinese
+history, which came to an end only in 1911.
+
+In foreign affairs these ninety years were marked by the steadily
+growing influence of the Western powers, aimed at turning China into a
+colony. Culturally this period was that of the gradual infiltration of
+Western civilization into the Far East; it was recognized in China that
+it was necessary to learn from the West. In home affairs we see the
+collapse of the dynasty and the destruction of the unity of the empire;
+of four great civil wars, one almost brought the dynasty to its end.
+North and South China, the coastal area and the interior, developed in
+different ways.
+
+Great Britain had made several attempts to improve her trade relations
+with China, but the mission of 1793 had no success, and that of 1816
+also failed. English merchants, like all foreign merchants, were only
+permitted to settle in a small area adjoining Canton and at Macao, and
+were only permitted to trade with a particular group of monopolists,
+known as the "Hong". The Hong had to pay taxes to the state, but they
+had a wonderful opportunity of enriching themselves. The Europeans were
+entirely at their mercy, for they were not allowed to travel inland, and
+they were not allowed to try to negotiate with other merchants, to
+secure lower prices by competition.
+
+The Europeans concentrated especially on the purchase of silk and tea;
+but what could they import into China? The higher the price of the goods
+and the smaller the cargo space involved, the better were the chances of
+profit for the merchants. It proved, however, that European woollens or
+luxury goods could not be sold; the Chinese would probably have been
+glad to buy food, but transport was too expensive to permit profitable
+business. Thus a new article was soon discovered--opium, carried from
+India to China: the price was high and the cargo space involved was very
+small. The Chinese were familiar with opium, and bought it readily.
+Accordingly, from 1800 onwards opium became more and more the chief
+article of trade, especially for the English, who were able to bring it
+conveniently from India. Opium is harmful to the people; the opium trade
+resulted in certain groups of merchants being inordinately enriched; a
+great deal of Chinese money went abroad. The government became
+apprehensive and sent Lin Ts�-hs� as its commissioner to Canton. In 1839
+he prohibited the opium trade and burned the chests of opium found in
+British possession. The British view was that to tolerate the Chinese
+action might mean the destruction of British trade in the Far East and
+that, on the other hand, it might be possible by active intervention to
+compel the Chinese to open other ports to European trade and to shake
+off the monopoly of the Canton merchants. In 1840 British ships-of-war
+appeared off the south-eastern coast of China and bombarded it. In 1841
+the Chinese opened negotiations and dismissed Lin Ts�-hs�. As the
+Chinese concessions were regarded as inadequate, hostilities continued;
+the British entered the Yangtze estuary and threatened Nanking. In this
+first armed conflict with the West, China found herself defenceless
+owing to her lack of a navy, and it was also found that the European
+weapons were far superior to those of the Chinese. In 1842 China was
+compelled to capitulate: under the Treaty of Nanking Hong Kong was ceded
+to Great Britain, a war indemnity was paid, certain ports were thrown
+open to European trade, and the monopoly was brought to an end. A great
+deal of opium came, however, into China through smuggling--regrettably,
+for the state lost the customs revenue!
+
+This treaty introduced the period of the Capitulations. It contained the
+dangerous clause which added most to China's misfortunes--the Most
+Favoured Nation clause, providing that if China granted any privilege to
+any other state, that privilege should also automatically be granted to
+Great Britain. In connection with this treaty it was agreed that the
+Chinese customs should be supervised by European consuls; and a trade
+treaty was granted. Similar treaties followed in 1844 with France and
+the United States. The missionaries returned; until 1860, however, they
+were only permitted to work in the treaty ports. Shanghai was thrown
+open in 1843, and developed with extraordinary rapidity from a town to a
+city of a million and a centre of world-wide importance.
+
+The terms of the Nanking Treaty were not observed by either side; both
+evaded them. In order to facilitate the smuggling, the British had
+permitted certain Chinese junks to fly the British flag. This also
+enabled these vessels to be protected by British ships-of-war from
+pirates, which at that time were very numerous off the southern coast
+owing to the economic depression. The Chinese, for their part, placed
+every possible obstacle in the way of the British. In 1856 the Chinese
+held up a ship sailing under the British flag, pulled down its flag, and
+arrested the crew on suspicion of smuggling. In connection with this and
+other events, Britain decided to go to war. Thus began the "Lorcha War"
+of 1857, in which France joined for the sake of the booty to be
+expected. Britain had just ended the Crimean War, and was engaged in
+heavy fighting against the Moguls in India. Consequently only a small
+force of a few thousand men could be landed in China; Canton, however,
+was bombarded, and also the forts of Tientsin. There still seemed no
+prospect of gaining the desired objectives by negotiation, and in 1860 a
+new expedition was fitted out, this time some 20,000 strong. The troops
+landed at Tientsin and marched on Peking; the emperor fled to Jehol and
+did not return; he died in 1861. The new Treaty of Tientsin (1860)
+provided for (a) the opening of further ports to European traders; (b)
+the session of Kowloon, the strip of land lying opposite Hong Kong; (c)
+the establishment of a British legation in Peking; (d) freedom of
+navigation along the Yangtze; (e) permission for British subjects to
+purchase land in China; (f) the British to be subject to their own
+consular courts and not to the Chinese courts; (g) missionary activity
+to be permitted throughout the country. In addition to this, the
+commercial treaty was revised, the opium trade was permitted once more,
+and a war indemnity was to be paid by China. In the eyes of Europe,
+Britain had now succeeded in turning China not actually into a colony,
+but at all events into a semi-colony; China must be expected soon to
+share the fate of India. China, however, with her very different
+conceptions of intercourse between states, did not realize the full
+import of these terms; some of them were regarded as concessions on
+unimportant points, which there was no harm in granting to the trading
+"barbarians", as had been done in the past; some were regarded as simple
+injustices, which at a given moment could be swept away by
+administrative action.
+
+But the result of this European penetration was that China's balance of
+trade was adverse, and became more and more so, as under the commercial
+treaties she could neither stop the importation of European goods nor
+set a duty on them; and on the other hand she could not compel
+foreigners to buy Chinese goods. The efflux of silver brought general
+impoverishment to China, widespread financial stringency to the state,
+and continuous financial crises and inflation. China had never had much
+liquid capital, and she was soon compelled to take up foreign loans in
+order to pay her debts. At that time internal loans were out of the
+question (the first internal loan was floated in 1894): the population
+did not even know what a state loan meant; consequently the loans had to
+be issued abroad. This, however, entailed the giving of securities,
+generally in the form of economic privileges. Under the Most Favoured
+Nation clause, however, these privileges had then to be granted to other
+states which had made no loans to China. Clearly a vicious spiral, which
+in the end could only bring disaster.
+
+The only exception to the general impoverishment, in which not only the
+peasants but the old upper classes were involved, was a certain section
+of the trading community and the middle class, which had grown rich
+through its dealings with the Europeans. These people now accumulated
+capital, became Europeanized with their staffs, acquired land from the
+impoverished gentry, and sent their sons abroad to foreign universities.
+They founded the first industrial undertakings, and learned European
+capitalist methods. This class was, of course, to be found mainly in the
+treaty ports in the south and in their environs. The south, as far north
+as Shanghai, became more modern and more advanced; the north made no
+advance. In the south, European ways of thought were learnt, and Chinese
+and European theories were compared. Criticism began. The first
+revolutionary societies were formed in this atmosphere in the south.
+
+
+8 _Risings in Turkestan and within China: the T'ai P'ing Rebellion_
+
+But the emperor Hs�an Tsung (reign name Tao-kuang), a man in poor health
+though not without ability, had much graver anxieties than those
+caused by the Europeans. He did not yet fully realize the seriousness of
+the European peril.
+
+[Illustration: 16 The imperial summer palace of the Manchu rulers, at
+Jehol. _Photo H.�Hammer-Morrisson._]
+
+[Illustration: 17 Tower on the city wall of Peking. _Photo H.
+Hammer-Morris son_.]
+
+In Turkestan, where Turkish Mohammedans lived under Chinese rule,
+conditions were far from being as the Chinese desired. The Chinese, a
+fundamentally rationalistic people, regarded religion as a purely
+political matter, and accordingly required every citizen to take part in
+the official form of worship. Subject to that, he might privately belong
+to any other religion. To a Mohammedan, this was impossible and
+intolerable. The Mohammedans were only ready to practise their own
+religion, and absolutely refused to take part in any other. The Chinese
+also tried to apply to Turkestan in other matters the same legislation
+that applied to all China, but this proved irreconcilable with the
+demands made by Islam on its followers. All this produced continual
+unrest.
+
+Turkestan had had a feudal system of government with a number of feudal
+lords (_beg_), who tried to maintain their influence and who had the
+support of the Mohammedan population. The Chinese had come to Turkestan
+as soldiers and officials, to administer the country. They regarded
+themselves as the lords of the land and occupied themselves with the
+extraction of taxes. Most of the officials were also associated with the
+Chinese merchants who travelled throughout Turkestan and as far as
+Siberia. The conflicts implicit in this situation produced great
+Mohammedan risings in the nineteenth century. The first came in
+1825-1827; in 1845 a second rising flamed up, and thirty years later
+these revolts led to the temporary loss of the whole of Turkestan.
+
+In 1848, native unrest began in the province of Hunan, as a result of
+the constantly growing pressure of the Chinese settlers on the native
+population; in the same year there was unrest farther south, in the
+province of Kwangsi, this time in connection with the influence of the
+Europeans. The leader was a quite simple man of Hakka blood, Hung
+Hsiu-ch'�an (born 1814), who gathered impoverished Hakka peasants round
+him as every peasant leader had done in the past. Very often the nucleus
+of these peasant movements had been a secret society with a particular
+religious tinge; this time the peasant revolutionaries came forward as
+at the same time the preachers of a new religion of their own. Hung had
+heard of Christianity from missionaries (1837), and he mixed up
+Christian ideas with those of ancient China and proclaimed to his
+followers a doctrine that promised the Kingdom of God on earth. He
+called himself "Christ's younger brother", and his kingdom was to be
+called _T'ai P'ing_ ("Supreme Peace"). He made his first comrades,
+charcoal makers, local doctors, peddlers and farmers, into kings, and
+made himself emperor. At bottom the movement, like all similar ones
+before it, was not religious but social; and it produced a great
+response from the peasants. The programme of the T'ai P'ing, in some
+points influenced by Christian ideas but more so by traditional Chinese
+thought, was in many points revolutionary: (a) all property was communal
+property; (b) land was classified into categories according to its
+fertility and equally distributed among men and women. Every producer
+kept of the produce as much as he and his family needed and delivered
+the rest into the communal granary; (c) administration and tax systems
+were revised; (d) women were given equal rights: they fought together
+with men in the army and had access to official position. They had to
+marry, but monogamy was requested; (e) the use of opium, tobacco and
+alcohol was prohibited, prostitution was illegal; (f) foreigners were
+regarded as equals, capitulations as the Manchus had accepted were not
+recognized. A large part of the officials, and particularly of the
+soldiers sent against the revolutionaries, were Manchus, and
+consequently the movement very soon became a nationalist movement, much
+as the popular movement at the end of the Mongol epoch had done. Hung
+made rapid progress; in 1852 he captured Hankow, and in 1853 Nanking,
+the important centre in the east. With clear political insight he made
+Nanking his capital. In this he returned to the old traditions of the
+beginning of the Ming epoch, no doubt expecting in this way to attract
+support from the eastern Chinese gentry, who had no liking for a capital
+far away in the north. He made a parade of adhesion to the ancient
+Chinese tradition: his followers cut off their pigtails and allowed
+their hair to grow as in the past.
+
+He did not succeed, however, in carrying his reforms from the stage of
+sporadic action to a systematic reorganization of the country, and he
+also failed to enlist the elements needed for this as for all other
+administrative work, so that the good start soon degenerated into a
+terrorist regime.
+
+Hung's followers pressed on from Nanking, and in 1853-1855 they advanced
+nearly to Tientsin; but they failed to capture Peking itself.
+
+The new T'ai P'ing state faced the Europeans with big problems. Should
+they work with it or against it? The T'ai P'ing always insisted that
+they were Christians; the missionaries hoped now to have the opportunity
+of converting all China to Christianity. The T'ai P'ing treated the
+missionaries well but did not let them operate. After long hesitation
+and much vacillation, however, the Europeans placed themselves on the
+side of the Manchus. Not out of any belief that the T'ai P'ing movement
+was without justification, but because they had concluded treaties with
+the Manchu government and given loans to it, of which nothing would
+have remained if the Manchus had fallen; because they preferred the weak
+Manchu government to a strong T'ai P'ing government; and because they
+disliked the socialistic element in many of the measured adopted by the
+Tai P'ing.
+
+At first it seemed as if the Manchus would be able to cope unaided with
+the T'ai P'ing, but the same thing happened as at the end of the Mongol
+rule: the imperial armies, consisting of the "banners" of the Manchus,
+the Mongols, and some Chinese, had lost their military skill in the long
+years of peace; they had lost their old fighting spirit and were glad to
+be able to live in peace on their state pensions. Now three men came to
+the fore--a Mongol named Seng-ko-lin-ch'in, a man of great personal
+bravery, who defended the interests of the Manchu rulers; and two
+Chinese, Ts�ng Kuo-fan (1811-1892) and Li Hung-chang (1823-1901), who
+were in the service of the Manchus but used their position simply to
+further the interests of the gentry. The Mongol saved Peking from
+capture by the T'ai P'ing. The two Chinese were living in central China,
+and there they recruited, Li at his own expense and Ts�ng out of the
+resources at his disposal as a provincial governor, a sort of militia,
+consisting of peasants out to protect their homes from destruction by
+the peasants of the T'ai P'ing. Thus the peasants of central China, all
+suffering from impoverishment, were divided into two groups, one
+following the T'ai P'ing, the other following Ts�ng Kuo-fan. Ts�ng's
+army, too, might be described as a "national" army, because Ts�ng was
+not fighting for the interests of the Manchus. Thus the peasants, all
+anti-Manchu, could choose between two sides, between the T'ai P'ing and
+Ts�ng Kuo-fan. Although Ts�ng represented the gentry and was thus
+against the simple common people, peasants fought in masses on his side,
+for he paid better, and especially more regularly. Ts�ng, being a good
+strategist, won successes and gained adherents. Thus by 1856 the T'ai
+P'ing were pressed back on Nanking and some of the towns round it; in
+1864 Nanking was captured.
+
+While in the central provinces the T'ai P'ing rebellion was raging,
+China was suffering grave setbacks owing to the Lorcha War of 1856; and
+there were also great and serious risings in other parts of the country.
+In 1855 the Yellow River had changed its course, entering the sea once
+more at Tientsin, to the great loss of the regions of Honan and Anhui.
+In these two central provinces the peasant rising of the so-called "Nien
+Fei" had begun, but it only became formidable after 1855, owing to the
+increasing misery of the peasants. This purely peasant revolt was not
+suppressed by the Manchu government until 1868, after many collisions.
+Then, however, there began the so-called "Mohammedan risings". Here
+there are, in all, five movements to distinguish: (1) the Mohammedan
+rising in Kansu (1864-5); (2) the Salar movement in Shensi; (3) the
+Mohammedan revolt in Y�nnan (1855-1873); (4) the rising in Kansu (1895);
+(5) the rebellion of Yakub Beg in Turkestan (from 1866 onward).
+
+While we are fairly well informed about the other popular risings of
+this period, the Mohammedan revolts have not yet been well studied. We
+know from unofficial accounts that these risings were suppressed with
+great brutality. To this day there are many Mohammedans in, for
+instance, Y�nnan, but the revolt there is said to have cost a million
+lives. The figures all rest on very rough estimates: in Kansu the
+population is said to have fallen from fifteen millions to one million;
+the Turkestan revolt is said to have cost ten million lives. There are
+no reliable statistics; but it is understandable that at that time the
+population of China must have fallen considerably, especially if we bear
+in mind the equally ferocious suppression of the risings of the T'ai
+P'ing and the Nien Fei within China, and smaller risings of which we
+have made no mention.
+
+The Mohammedan risings were not elements of a general Mohammedan revolt,
+but separate events only incidentally connected with each other. The
+risings had different causes. An important factor was the general
+distress in China. This was partly due to the fact that the officials
+were exploiting the peasant population more ruthlessly than ever. In
+addition to this, owing to the national feeling which had been aroused
+in so unfortunate a way, the Chinese felt a revulsion against
+non-Chinese, such as the Salars, who were of Turkish race. Here there
+were always possibilities of friction, which might have been removed
+with a little consideration but which swelled to importance through the
+tactless behaviour of Chinese officials. Finally there came divisions
+among the Mohammedans of China which led to fighting between themselves.
+
+All these risings were marked by two characteristics. They had no
+general political aim such as the founding of a great and universal
+Islamic state. Separate states were founded, but they were too small to
+endure; they would have needed the protection of great states. But they
+were not moved by any pan-Islamic idea. Secondly, they all took place on
+Chinese soil, and all the Mohammedans involved, except in the rising of
+the Salars, were Chinese. These Chinese who became Mohammedans are
+called Dungans. The Dungans are, of course, no longer pure Chinese,
+because Chinese who have gone over to Islam readily form mixed
+marriages with Islamic non-Chinese, that is to say with Turks and
+Mongols.
+
+The revolt, however, of Yakub Beg in Turkestan had a quite different
+character. Yakub Beg (his Chinese name was An Chi-yeh) had risen to the
+Chinese governorship when he made himself ruler of Kashgar. In 1866 he
+began to try to make himself independent of Chinese control. He
+conquered Ili, and then in a rapid campaign made himself master of all
+Turkestan.
+
+His state had a much better prospect of endurance than the other
+Mohammedan states. He had full control of it from 1874. Turkestan was
+connected with China only by the few routes that led between the desert
+and the Tibetan mountains. The state was supported against China by
+Russia, which was continually pressing eastward, and in the south by
+Great Britain, which was pressing towards Tibet. Farther west was the
+great Ottoman empire; the attempt to gain direct contact with it was not
+hopeless in itself, and this was recognized at Istanbul. Missions went
+to and fro, and Turkish officers came to Yakub Beg and organized his
+army; Yakub Beg recognized the Turkish sultan as Khalif. He also
+concluded treaties with Russia and Great Britain. But in spite of all
+this he was unable to maintain his hold of Turkestan. In 1877 the famous
+Chinese general Tso Tsung-t'ang (1812-1885), who had fought against the
+T'ai P'ing and also against the Mohammedans in Kansu, marched into
+Turkestan and ended Yakub Beg's rule.
+
+Yakub was defeated, however, not so much by Chinese superiority as by a
+combination of circumstances. In order to build up his kingdom he was
+compelled to impose heavy taxation, and this made him unpopular with his
+own followers: they had had to pay taxes under the Chinese, but the
+Chinese collection had been much less rigorous than that of Yakub Beg.
+It was technically impossible for the Ottoman empire to give him any
+aid, even had its internal situation permitted it. Britain and Russia
+would probably have been glad to see a weakening of the Chinese hold
+over Turkestan, but they did not want a strong new state there, once
+they had found that neither of them could control the country while it
+was in Yakub Beg's hands. In 1881 Russia occupied the Ili region,
+Yakub's first conquest. In the end the two great powers considered it
+better for Turkestan to return officially into the hands of the weakened
+China, hoping that in practice they would be able to bring Turkestan
+more and more under their control. Consequently, when in 1880, three
+years after the removal of Yakub Beg, China sent a mission to Russia
+with the request for the return of the Ili region to her, Russia gave
+way, and the Treaty of Ili was concluded, ending for the time the
+Russian penetration of Turkestan. In 1882 the Manchu government raised
+Turkestan to a "new frontier" (Sinkiang) with a special administration.
+
+This process of colonial penetration of Turkestan continued. Until the
+end of the first world war there was no fundamental change in the
+situation in the country, owing to the rivalry between Great Britain and
+Russia. But after 1920 a period began in which Turkestan became almost
+independent, under a number of rulers of parts of the country. Then,
+from 1928 onward, a more and more thorough penetration by Russia began,
+so that by 1940 Turkestan could almost be called a Soviet Republic. The
+second world war diverted Russian attention to the West, and at the same
+time compelled the Chinese to retreat into the interior from the
+Japanese, so that by 1943 the country was more firmly held by the
+Chinese government than it had been for seventy years. After the
+creation of the People's Democracy mass immigration into Sinkiang began,
+in connection with the development of oil fields and of many new
+industries in the border area between Sinkiang and China proper. Roads
+and air communications opened Sinkiang. Yet, the differences between
+immigrant Chinese and local, Muslim Turks, continue to play a role.
+
+
+9 _Collision with Japan; further Capitulations_
+
+The reign of Wen Tsung (reign name Hsien-feng 1851-1861) was marked
+throughout by the T'ai P'ing and other rebellions and by wars with the
+Europeans, and that of Mu Tsung (reign name T'ung-chih: 1862-1874) by
+the great Mohammedan disturbances. There began also a conflict with
+Japan which lasted until 1945. Mu Tsung came to the throne as a child of
+five, and never played a part of his own. It had been the general rule
+for princes to serve as regents for minors on the imperial throne, but
+this time the princes concerned won such notoriety through their
+intrigues that the Peking court circles decided to entrust the regency
+to two concubines of the late emperor. One of these, called Tzu Hsi
+(born 1835), of the Manchu tribe of the Yehe-Nara, quickly gained the
+upper hand. The empress Tzu Hsi was one of the strongest personalities
+of the later nineteenth century who played an active part in Chinese
+political life. She played a more active part than any emperor had
+played for many decades.
+
+Meanwhile great changes had taken place in Japan. The restoration of the
+Meiji had ended the age of feudalism, at least on the surface. Japan
+rapidly became Westernized, and at the same time entered on an
+imperialist policy. Her aims from 1868 onward were clear, and remained
+unaltered until the end of the second World War: she was to be
+surrounded by a wide girdle of territories under Japanese domination, in
+order to prevent the approach of any enemy to the Japanese homeland.
+This girdle was divided into several zones--(1) the inner zone with the
+Kurile Islands, Sakhalin, Korea, the Ryukyu archipelago, and Formosa;
+(2) the outer zone with the Marianne, Philippine, and Caroline Islands,
+eastern China, Manchuria, and eastern Siberia; (3) the third zone, not
+clearly defined, including especially the Netherlands Indies,
+Indo-China, and the whole of China, a zone of undefined extent. The
+outward form of this subjugated region was to be that of the Greater
+Japanese Empire, described as the Imperium of the Yellow Race (the main
+ideas were contained in the Tanaka Memorandum 1927 and in the Tada
+Interview of 1936). Round Japan, moreover, a girdle was to be created of
+producers of raw materials and purchasers of manufactures, to provide
+Japanese industry with a market. Japan had sent a delegation of amity to
+China as early as 1869, and a first Sino-Japanese treaty was signed in
+1871; from then on, Japan began to carry out her imperialistic plans. In
+1874 she attacked the Ryukyu islands and Formosa on the pretext that
+some Japanese had been murdered there. Under the treaty of 1874 Japan
+withdrew once more, only demanding a substantial indemnity; but in 1876,
+in violation of the treaty and without a declaration of war, she annexed
+the Ryukyu Islands. In 1876 began the Japanese penetration into Korea;
+by 1885 she had reached the stage of a declaration that Korea was a
+joint sphere of interest of China and Japan; until then China's
+protectorate over Korea had been unchallenged. At the same time (1876)
+Great Britain had secured further Capitulations in the Chefoo
+Convention; in 1862 France had acquired Cochin China, in 1864 Cambodia,
+in 1874 Tongking, and in 1883 Annam. This led in 1884 to war between
+France and China, in which the French did not by any means gain an
+indubitable victory; but the Treaty of Tientsin left them with their
+acquisitions.
+
+Meanwhile, at the beginning of 1875, the young Chinese emperor died of
+smallpox, without issue. Under the influence of the two empresses, who
+still remained regents, a cousin of the dead emperor, the three-year-old
+prince Tsai T'ien was chosen as emperor T� Tsung (reign name Kuang-hs�:
+1875-1909). He came of age in 1889 and took over the government of the
+country. The empress Tzu Hsi retired, but did not really relinquish the
+reins.
+
+In 1894 the Sino-Japanese War broke out over Korea, as an outcome of the
+undefined position that had existed since 1885 owing to the
+imperialistic policy of the Japanese. China had created a North China
+squadron, but this was all that can be regarded as Chinese preparation
+for the long-expected war. The Governor General of Chihli (now
+Hopei--the province in which Peking is situated), Li Hung-chang, was a
+general who had done good service, but he lost the war, and at
+Shimonoseki (1895) he had to sign a treaty on very harsh terms, in which
+China relinquished her protectorate over Korea and lost Formosa. The
+intervention of France, Germany, and Russia compelled Japan to content
+herself with these acquisitions, abandoning her demand for South
+Manchuria.
+
+
+10 _Russia in Manchuria_
+
+After the Crimean War, Russia had turned her attention once more to the
+East. There had been hostilities with China over eastern Siberia, which
+were brought to an end in 1858 by the Treaty of Aigun, under which China
+ceded certain territories in northern Manchuria. This made possible the
+founding of Vladivostok in 1860. Russia received Sakhalin from Japan in
+1875 in exchange for the Kurile Islands. She received from China the
+important Port Arthur as a leased territory, and then tried to secure
+the whole of South Manchuria. This brought Japan's policy of expansion
+into conflict with Russia's plans in the Far East. Russia wanted
+Manchuria in order to be able to pursue a policy in the Pacific; but
+Japan herself planned to march into Manchuria from Korea, of which she
+already had possession. This imperialist rivalry made war inevitable:
+Russia lost the war; under the Treaty of Portsmouth in 1905 Russia gave
+Japan the main railway through Manchuria, with adjoining territory. Thus
+Manchuria became Japan's sphere of influence and was lost to the Manchus
+without their being consulted in any way. The Japanese penetration of
+Manchuria then proceeded stage by stage, not without occasional
+setbacks, until she had occupied the whole of Manchuria from 1932 to
+1945. After the end of the second world war, Manchuria was returned to
+China, with certain reservations in favour of the Soviet Union, which
+were later revoked.
+
+
+11 _Reform and reaction: the Boxer Rising_
+
+China had lost the war with Japan because she was entirely without
+modern armament. While Japan went to work at once with all her energy to
+emulate Western industrialization, the ruling class in China had shown a
+marked repugnance to any modernization; and the centre of this
+conservatism was the dowager empress Tzu Hsi. She was a woman of strong
+personality, but too uneducated--in the modern sense--to be able to
+realize that modernization was an absolute necessity for China if it was
+to remain an independent state. The empress failed to realize that the
+Europeans were fundamentally different from the neighbouring tribes or
+the pirates of the past; she had not the capacity to acquire a general
+grasp of the realities of world politics. She felt instinctively that
+Europeanization would wreck the foundations of the power of the Manchus
+and the gentry, and would bring another class, the middle class and the
+merchants, into power.
+
+There were reasonable men, however, who had seen the necessity of
+reform--especially Li Hung-chang, who has already been mentioned. In
+1896 he went on a mission to Moscow, and then toured Europe. The
+reformers were, however, divided into two groups. One group advocated
+the acquisition of a certain amount of technical knowledge from abroad
+and its introduction by slow reforms, without altering the social
+structure of the state or the composition of the government. The others
+held that the state needed fundamental changes, and that superficial
+loans from Europe were not enough. The failure in the war with Japan
+made the general desire for reform more and more insistent not only in
+the country but in Peking. Until now Japan had been despised as a
+barbarian state; now Japan had won! The Europeans had been despised; now
+they were all cutting bits out of China for themselves, extracting from
+the government one privilege after another, and quite openly dividing
+China into "spheres of interest", obviously as the prelude to annexation
+of the whole country.
+
+In Europe at that time the question was being discussed over and over
+again, why Japan had so quickly succeeded in making herself a modern
+power, and why China was not succeeding in doing so; the Japanese were
+praised for their capacity and the Chinese blamed for their lassitude.
+Both in Europe and in Chinese circles it was overlooked that there were
+fundamental differences in the social structures of the two countries.
+The basis of the modern capitalist states of the West is the middle
+class. Japan had for centuries had a middle class (the merchants) that
+had entered into a symbiosis with the feudal lords. For the middle class
+the transition to modern capitalism, and for the feudal lords the way to
+Western imperialism, was easy. In China there was only a weak middle
+class, vegetating under the dominance of the gentry; the middle class
+had still to gain the strength to liberate itself before it could become
+the support for a capitalistic state. And the gentry were still strong
+enough to maintain their dominance and so to prevent a radical
+reconstruction; all they would agree to were a few reforms from which
+they might hope to secure an increase of power for their own ends.
+
+In 1895 and in 1898 a scholar, K'ang Yo-wei, who was admitted into the
+presence of the emperor, submitted to him memoranda in which he called
+for radical reform. K'ang was a scholar who belonged to the empiricist
+school of philosophy of the early Manchu period, the so-called Han
+school. He was a man of strong and persuasive personality, and had such
+an influence on the emperor that in 1898 the emperor issued several
+edicts ordering the fundamental reorganization of education, law, trade,
+communications, and the army. These laws were not at all bad in
+themselves; they would have paved the way for a liberalization of
+Chinese society. But they aroused the utmost hatred in the conservative
+gentry and also in the moderate reformers among the gentry. K'ang Yo-wei
+and his followers, to whom a number of well-known modern scholars
+belonged, had strong support in South China. We have already mentioned
+that owing to the increased penetration of European goods and ideas,
+South China had become more progressive than the north; this had added
+to the tension already existing for other reasons between north and
+south. In foreign policy the north was more favourable to Russia and
+radically opposed to Japan and Great Britain; the south was in favour of
+co-operation with Britain and Japan, in order to learn from those two
+states how reform could be carried through. In the north the men of the
+south were suspected of being anti-Manchu and revolutionary in feeling.
+This was to some extent true, though K'ang Yo-wei and his friends were
+as yet largely unconscious of it.
+
+When the empress Tzu Hsi saw that the emperor was actually thinking
+about reforms, she went to work with lightning speed. Very soon the
+reformers had to flee; those who failed to make good their escape were
+arrested and executed. The emperor was made a prisoner in a palace near
+Peking, and remained a captive until his death; the empress resumed her
+regency on his behalf. The period of reforms lasted only for a few
+months of 1898. A leading part in the extermination of the reformers was
+played by troops from Kansu under the command of a Mohammedan, Tung
+Fu-hsiang. General Y�an Shih-k'ai, who was then stationed at Tientsin in
+command of 7,000 troops with modern equipment, the only ones in China,
+could have removed the empress and protected the reformers; but he was
+already pursuing a personal policy, and thought it safer to give the
+reformers no help.
+
+There now began, from 1898, a thoroughly reactionary rule of the dowager
+empress. But China's general situation permitted no breathing-space. In
+1900 came the so-called Boxer Rising, a new popular movement against the
+gentry and the Manchus similar to the many that had preceded it. The
+Peking government succeeded, however, in negotiations that brought the
+movement into the service of the government and directed it against the
+foreigners. This removed the danger to the government and at the same
+time helped it against the hated foreigners. But incidents resulted
+which the Peking government had not anticipated. An international army
+was sent to China, and marched from Tientsin against Peking, to liberate
+the besieged European legations and to punish the government. The
+Europeans captured Peking (1900); the dowager empress and her prisoner,
+the emperor, had to flee; some of the palaces were looted. The peace
+treaty that followed exacted further concessions from China to the
+Europeans and enormous war indemnities, the payment of which continued
+into the 1940's, though most of the states placed the money at China's
+disposal for educational purposes. When in 1902 the dowager empress
+returned to Peking and put the emperor back into his palace-prison, she
+was forced by what had happened to realize that at all events a certain
+measure of reform was necessary. The reforms, however, which she
+decreed, mainly in 1904, were very modest and were never fully carried
+out. They were only intended to make an impression on the outer world
+and to appease the continually growing body of supporters of the reform
+party, especially numerous in South China. The south remained,
+nevertheless, a focus of hostility to the Manchus. After his failure in
+1898, K'ang Yo-wei went to Europe, and no longer played any important
+political part. His place was soon taken by a young Chinese physician
+who had been living abroad, Sun Yat-sen (1866-1925), who turned the
+reform party into a middle-class revolutionary party.
+
+
+12 _End of the dynasty_
+
+Meanwhile the dowager empress held her own. General Y�an Shih-k'ai, who
+had played so dubious a part in 1898, was not impeccably loyal to her,
+and remained unreliable. He was beyond challenge the strongest man in
+the country, for he possessed the only modern army; but he was still
+biding his time.
+
+In 1908 the dowager empress fell ill; she was seventy-four years old.
+When she felt that her end was near, she seems to have had the captive
+emperor T� Tsung assassinated (at 5 p.m. on November 14th); she herself
+died next day (November 15th, 2 p.m.): she was evidently determined that
+this man, whom she had ill-treated and oppressed all his life, should
+not regain independence. As T� Tsung had no children, she nominated on
+the day of her death the two-year-old prince P'u Yi as emperor (reign
+name Hs�an-t'ung, 1909-1911).
+
+The fact that another child was to reign and a new regency to act for
+him, together with all the failures in home and foreign policy, brought
+further strength to the revolutionary party. The government believed
+that it could only maintain itself if it allowed Y�an Shih-k'ai, the
+commander of the modern troops, to come to power. The chief regent,
+however, worked against Y�an Shih-k'ai and dismissed him at the
+beginning of 1909; Y�an's supporters remained at their posts. Y�an
+himself now entered into relations with the revolutionaries, whose
+centre was Canton, and whose undisputed leader was now Sun Yat-sen. At
+this time Sun and his supporters had already made attempts at
+revolution, but without success, as his following was as yet too small.
+It consisted mainly of young intellectuals who had been educated in
+Europe and America; the great mass of the Chinese people remained
+unconvinced: the common people could not understand the new ideals, and
+the middle class did not entirely trust the young intellectuals.
+
+The state of China in 1911 was as lamentable as could be: the European
+states, Russia, America, and Japan regarded China as a field for their
+own plans, and in their calculations paid scarcely any attention to the
+Chinese government. Foreign capital was penetrating everywhere in the
+form of loans or railway and other enterprises. If it had not been for
+the mutual rivalries of the powers, China would long ago have been
+annexed by one of them. The government needed a great deal of money for
+the payment of the war indemnities, and for carrying out the few reforms
+at last decided on. In order to get money from the provinces, it had to
+permit the viceroys even more freedom than they already possessed. The
+result was a spectacle altogether resembling that of the end of the
+T'ang dynasty, about A.D. 900: the various governors were trying to make
+themselves independent. In addition to this there was the revolutionary
+movement in the south.
+
+The government made some concession to the progressives, by providing
+the first beginnings of parliamentary rule. In 1910 a national assembly
+was convoked. It had a Lower House with representatives of the provinces
+(provincial diets were also set up), and an Upper House, in which sat
+representatives of the imperial house, the nobility, the gentry, and
+also the protectorates. The members of the Upper House were all
+nominated by the regent. It very soon proved that the members of the
+Lower House, mainly representatives of the provincial gentry, had a much
+more practical outlook than the routineers of Peking. Thus the Lower
+House grew in importance, a fact which, of course, brought grist to the
+mills of the revolutionary movement.
+
+In 1910 the first risings directed actually against the regency took
+place, in the province of Hunan. In 1911 the "railway disturbances"
+broke out in western China as a reply of the railway shareholders in the
+province of Szechwan to the government decree of nationalization of all
+the railways. The modernist students, most of whom were sons of
+merchants who owned railway shares, supported the movement, and the
+government was unable to control them. At the same time a great
+anti-Manchu revolution began in Wuch'ang, one of the cities of which
+Wuhan, on the Yangtze, now consists. The revolution was the result of
+government action against a group of terrorists. Its leader was an
+officer named Li Y�an-hung. The Manchus soon had some success in this
+quarter, but the other provincial governors now rose in rapid
+succession, repudiated the Manchus, and declared themselves independent.
+Most of the Manchu garrisons in the provinces were murdered. The
+governors remained at the head of their troops in their provinces, and
+for the moment made common cause with the revolutionaries, from whom
+they meant to break free at the first opportunity. The Manchus
+themselves failed at first to realize the gravity of the revolutionary
+movement; they then fell into panic-stricken desperation. As a last
+resource, Y�an Shih-k'ai was recalled (November 10th, 1911) and made
+prime minister.
+
+Y�an's excellent troops were loyal to his person, and he could have made
+use of them in fighting on behalf of the dynasty. But a victory would
+have brought no personal gain to him; for his personal plans he
+considered that the anti-Manchu side provided the springboard he needed.
+The revolutionaries, for their part, had no choice but to win over Y�an
+Shih-k'ai for the sake of his troops, since they were not themselves
+strong enough to get rid of the Manchus, or even to wrest concessions
+from them, so long as the Manchus were defended by Y�an's army. Thus
+Y�an and the revolutionaries were forced into each other's arms. He then
+began negotiations with them, explaining to the imperial house that the
+dynasty could only be saved by concessions. The revolutionaries--apart
+from their desire to neutralize the prime minister and general, if not
+to bring him over to their side--were also readier than ever to
+negotiate, because they were short of money and unable to obtain loans
+from abroad, and because they could not themselves gain control of the
+individual governors. The negotiations, which had been carried on at
+Shanghai, were broken off on December 18th, 1911, because the
+revolutionaries demanded a republic, but the imperial house was only
+ready to grant a constitutional monarchy.
+
+Meanwhile the revolutionaries set up a provisional government at Nanking
+(December 29th, 1911), with Sun Yat-sen as president and Li Y�an-hung as
+vice-president. Y�an Shih-k'ai now declared to the imperial house that
+the monarchy could no longer be defended, as his troops were too
+unreliable, and he induced the Manchu government to issue an edict on
+February 12th, 1912, in which they renounced the throne of China and
+declared the Republic to be the constitutional form of state. The young
+emperor of the Hs�an-t'ung period, after the Japanese conquest of
+Manchuria in 1931, was installed there. He was, however, entirely
+without power during the melancholy years of his nominal rule, which
+lasted until 1945.
+
+In 1912 the Manchu dynasty came in reality to its end. On the news of
+the abdication of the imperial house, Sun Yat-sen resigned in Nanking,
+and recommended Y�an Shih-k'ai as president.
+
+
+
+
+Chapter Eleven
+
+THE REPUBLIC (1912-1948)
+
+
+1 _Social and intellectual position_
+
+In order to understand the period that now followed, let us first
+consider the social and intellectual position in China in the period
+between 1911 and 1927. The Manchu dynasty was no longer there, nor were
+there any remaining real supporters of the old dynasty. The gentry,
+however, still existed. Alongside it was a still numerically small
+middle class, with little political education or enlightenment.
+
+The political interests of these two groups were obviously in conflict.
+But after 1912 there had been big changes. The gentry were largely in a
+process of decomposition. They still possessed the basis of their
+existence, their land, but the land was falling in value, as there were
+now other opportunities of capital investment, such as export-import,
+shareholding in foreign enterprises, or industrial undertakings. It is
+important to note, however, that there was not much fluid capital at
+their disposal. In addition to this, cheaper rice and other foodstuffs
+were streaming from abroad into China, bringing the prices for Chinese
+foodstuffs down to the world market prices, another painful business
+blow to the gentry. Silk had to meet the competition of Japanese silk
+and especially of rayon; the Chinese silk was of very unequal quality
+and sold with difficulty. On the other hand, through the influence of
+the Western capitalistic system, which was penetrating more and more
+into China, land itself became "capital", an object of speculation for
+people with capital; its value no longer depended entirely on the rents
+it could yield but, under certain circumstances, on quite other
+things--the construction of railways or public buildings, and so on.
+These changes impoverished and demoralized the gentry, who in the course
+of the past century had grown fewer in number. The gentry were not in a
+position to take part fully in the capitalist manipulations, because
+they had never possessed much capital; their wealth had lain entirely
+in their land, and the income from their rents was consumed quite
+unproductively in luxurious living.
+
+Moreover, the class solidarity of the gentry was dissolving. In the
+past, politics had been carried on by cliques of gentry families, with
+the emperor at their head as an unchangeable institution. This edifice
+had now lost its summit; the struggles between cliques still went on,
+but entirely without the control which the emperor's power had after all
+exercised, as a sort of regulative element in the play of forces among
+the gentry. The arena for this competition had been the court. After the
+destruction of the arena, the field of play lost its boundaries: the
+struggles between cliques no longer had a definite objective; the only
+objective left was the maintenance or securing of any and every hold on
+power. Under the new conditions cliques or individuals among the gentry
+could only ally themselves with the possessors of military power, the
+generals or governors. In this last stage the struggle between rival
+groups turned into a rivalry between individuals. Family ties began to
+weaken and other ties, such as between school mates, or origin from the
+same village or town, became more important than they had been before.
+For the securing of the aim in view any means were considered
+justifiable. Never was there such bribery and corruption among the
+officials as in the years after 1912. This period, until 1927, may
+therefore be described as a period of dissolution and destruction of the
+social system of the gentry.
+
+Over against this dying class of the gentry stood, broadly speaking, a
+tripartite opposition. To begin with, there was the new middle class,
+divided and without clear political ideas; anti-dynastic of course, but
+undecided especially as to the attitude it should adopt towards the
+peasants who, to this day, form over 80 per cent of the Chinese
+population. The middle class consisted mainly of traders and bankers,
+whose aim was the introduction of Western capitalism in association with
+foreign powers. There were also young students who were often the sons
+of old gentry families and had been sent abroad for study with grants
+given them by their friends and relatives in the government; or sons of
+businessmen sent away by their fathers. These students not always
+accepted the ideas of their fathers; they were influenced by the
+ideologies of the West, Marxist or non-Marxist, and often created clubs
+or groups in the University cities of Europe or the United States. Such
+groups of people who had studied together or passed the exams together,
+had already begun to play a role in politics in the nineteenth century.
+Now, the influence of such organizations of usually informal character
+increased. Against the returned students who often had difficulties in
+adjustment, stood the students at Chinese Universities, especially the
+National University in Peking (Peita). They represented people of the
+same origin, but of the lower strata of the gentry or of business; they
+were more nationalistic and politically active and often less influenced
+by Western ideologies.
+
+In the second place, there was a relatively very small genuine
+proletariat, the product of the first activities of big capitalists in
+China, found mainly in Shanghai. Thirdly and finally, there was a
+gigantic peasantry, uninterested in politics and uneducated, but ready
+to give unthinking allegiance to anyone who promised to make an end of
+the intolerable conditions in the matter of rents and taxes, conditions
+that were growing steadily worse with the decay of the gentry. These
+peasants were thinking of popular risings on the pattern of all the
+risings in the history of China--attacks on the towns and the killing of
+the hated landowners, officials, and money-lenders, that is to say of
+the gentry.
+
+Such was the picture of the middle class and those who were ready to
+support it, a group with widely divergent interests, held together only
+by its opposition to the gentry system and the monarchy. It could not
+but be extremely difficult, if not impossible, to achieve political
+success with such a group. Sun Yat-sen (1866-1925), the "Father of the
+Republic", accordingly laid down three stages of progress in his many
+works, of which the best-known are _San-min chu-i_, ("The Three
+Principles of the People"), and _Chien-kuo fang-l�eh_ ("Plans for the
+Building up of the Realm"). The three phases of development through
+which republican China was to pass were: the phase of struggle against
+the old system, the phase of educative rule, and the phase of truly
+democratic government. The phase of educative rule was to be a sort of
+authoritarian system with a democratic content, under which the people
+should be familiarized with democracy and enabled to grow politically
+ripe for true democracy.
+
+Difficult as was the internal situation from the social point of view,
+it was no less difficult in economic respects. China had recognized that
+she must at least adopt Western technical and industrial progress in
+order to continue to exist as an independent state. But the building up
+of industry demanded large sums of money. The existing Chinese banks
+were quite incapable of providing the capital needed; but the acceptance
+of capital from abroad led at once, every time, to further political
+capitulations. The gentry, who had no cash worth mention, were violently
+opposed to the capitalization of their properties, and were in favour of
+continuing as far as possible to work the soil in the old style. Quite
+apart from all this, all over the country there were generals who had
+come from the ranks of the gentry, and who collected the whole of the
+financial resources of their region for the support of their private
+armies. Investors had little confidence in the republican government so
+long as they could not tell whether the government would decide in
+favour of its right or of its left wing.
+
+No less complicated was the intellectual situation at this time.
+Confucianism, and the whole of the old culture and morality bound up
+with it, was unacceptable to the middle-class element. In the first
+place, Confucianism rejected the principle, required at least in theory
+by the middle class, of the equality of all people; secondly, the
+Confucian great-family system was irreconcilable with middle-class
+individualism, quite apart from the fact that the Confucian form of
+state could only be a monarchy. Every attempt to bolster up Confucianism
+in practice or theory was bound to fail and did fail. Even the gentry
+could scarcely offer any real defence of the Confucian system any
+longer. With Confucianism went the moral standards especially of the
+upper classes of society. Taoism was out of the question as a
+substitute, because of its anarchistic and egocentric character.
+Consequently, in these years, part of the gentry turned to Buddhism and
+part to Christianity. Some of the middle class who had come under
+European influence also turned to Christianity, regarding it as a part
+of the European civilization they had to adopt. Others adhered to modern
+philosophic systems such as pragmatism and positivism. Marxist doctrines
+spread rapidly.
+
+Education was secularized. Great efforts were made to develop modern
+schools, though the work of development was continually hindered by the
+incessant political unrest. Only at the universities, which became foci
+of republican and progressive opinion, was any positive achievement
+possible. Many students and professors were active in politics,
+organizing demonstrations and strikes. They pursued a strong national
+policy, often also socialistic. At the same time real scientific work
+was done; many young scholars of outstanding ability were trained at the
+Chinese universities, often better than the students who went abroad.
+There is a permanent disagreement between these two groups of young men
+with a modern education: the students who return from abroad claim to be
+better educated, but in reality they often have only a very superficial
+knowledge of things modern and none at all of China, her history, and
+her special circumstances. The students of the Chinese universities have
+been much better instructed in all the things that concern China, and
+most of them are in no way behind the returned students in the modern
+sciences. They are therefore a much more serviceable element.
+
+The intellectual modernization of China goes under the name of the
+"Movement of May Fourth", because on May 4th, 1919, students of the
+National University in Peking demonstrated against the government and
+their pro-Japanese adherents. When the police attacked the students and
+jailed some, more demonstrations and student strikes and finally a
+general boycott of Japanese imports were the consequence. In these
+protest actions, professors such as Ts'ai Y�an-p'ei, later president of
+the Academia Sinica (died 1940), took an active part. The forces which
+had now been mobilized, rallied around the journal "New Youth" (_Hsin
+Ch'ing-nien_), created in 1915 by Ch'en Tu-hsiu. The journal was
+progressive, against the monarchy, Confucius, and the old traditions.
+Ch'en Tu-hsiu who put himself strongly behind the students, was more
+radical than other contributors but at first favoured Western democracy
+and Western science; he was influenced mainly by John Dewey who was
+guest professor in Peking in 1919-20. Similarly tending towards
+liberalism in politics and Dewey's ideas in the field of philosophy were
+others, mainly Hu Shih. Finally, some reformers criticized
+conservativism purely on the basis of Chinese thought. Hu Shih (born
+1892) gained greatest acclaim by his proposal for a "literary
+revolution", published in the "New Youth" in 1917. This revolution was
+the logically necessary application of the political revolution to the
+field of education. The new "vernacular" took place of the old
+"classical" literary language. The language of the classical works is so
+remote from the language of daily life that no uneducated person can
+understand it. A command of it requires a full knowledge of all the
+ancient literature, entailing decades of study. The gentry had
+elaborated this style of speech for themselves and their dependants; it
+was their monopoly; nobody who did not belong to the gentry and had not
+attended its schools could take part in literary or in administrative
+life. The literary revolution introduced the language of daily life, the
+language of the people, into literature: newspapers, novels, scientific
+treatises, translations, appeared in the vernacular, and could thus be
+understood by anyone who could read and write, even if he had no
+Confucianist education.
+
+It may be said that the literary revolution has achieved its main
+objects. As a consequence of it, a great quantity of new literature has
+been published. Not only is every important new book that appears in the
+West published in translation within a few months, but modern novels and
+short stories and poems have been written, some of them of high literary
+value.
+
+At the same time as this revolution there took place another fundamental
+change in the language. It was necessary to take over a vast number of
+new scientific and technical terms. As Chinese, owing to the character
+of its script, is unable to write foreign words accurately and can do no
+more than provide a rather rough paraphrase, the practice was started of
+expressing new ideas by newly formed native words. Thus modern Chinese
+has very few foreign words, and yet it has all the new ideas. For
+example, a telegram is a "lightning-letter"; a wireless telegram is a
+"not-have-wire-lightning-communication"; a fountain-pen is a
+"self-flow-ink-water-brush"; a typewriter is a "strike-letter-machine".
+Most of these neologisms are similar in the modern languages of China
+and Japan.
+
+There had been several proposals in recent decades to do away with the
+Chinese characters and to introduce an alphabet in their place. They
+have all proved to be unsatisfactory so far, because the character of
+the Chinese language, as it is at this moment, is unsuited to an
+alphabetical script. They would also destroy China's cultural unity:
+there are many dialects in China that differ so greatly from each other
+that, for instance, a man from Canton cannot understand a man from
+Shanghai. If Chinese were written with letters, the result would be a
+Canton literature and another literature confined to Shanghai, and China
+would break up into a number of areas with different languages. The old
+Chinese writing is independent of pronunciation. A Cantonese and a
+Pekinger can read each other's newspapers without difficulty. They
+pronounce the words quite differently, but the meaning is unaltered.
+Even a Japanese can understand a Chinese newspaper without special study
+of Chinese, and a Chinese with a little preparation can read a Japanese
+newspaper without understanding a single word of Japanese.
+
+The aim of modern education in China is to work towards the
+establishment of "High Chinese", the former official (Mandarin)
+language, throughout the country, and to set limits to the use of the
+various dialects. Once this has been done, it will be possible to
+proceed to a radical reform of the script without running the risk of
+political separatist movements, which are always liable to spring up,
+and also without leading, through the adoption of various dialects as
+the basis of separate literatures, to the break-up of China's cultural
+unity. In the last years, the unification of the spoken language has
+made great progress. Yet, alphabetic script is used only in cases in
+which illiterate adults have to be enabled in a short time to read very
+simple informations. More attention is given to a simplification of the
+script as it is; Japanese had started this some forty years earlier.
+Unfortunately, the new Chinese abbreviated forms of characters are not
+always identical with long-established Japanese forms, and are not
+developed in such a systematic form as would make learning of Chinese
+characters easier.
+
+
+2 _First period of the Republic: The warlords_
+
+The situation of the Republic after its foundation was far from hopeful.
+Republican feeling existed only among the very small groups of students
+who had modern education, and a few traders, in other words, among the
+"middle class". And even in the revolutionary party to which these
+groups belonged there were the most various conceptions of the form of
+republican state to be aimed at. The left wing of the party, mainly
+intellectuals and manual workers, had in view more or less vague
+socialistic institutions; the liberals, for instance the traders,
+thought of a liberal democracy, more or less on the American pattern;
+and the nationalists merely wanted the removal of the alien Manchu rule.
+The three groups had come together for the practical reason that only so
+could they get rid of the dynasty. They gave unreserved allegiance to
+Sun Yat-sen as their leader. He succeeded in mobilizing the enthusiasm
+of continually widening circles for action, not only by the integrity of
+his aims but also because he was able to present the new socialistic
+ideology in an alluring form. The anti-republican gentry, however, whose
+power was not yet entirely broken, took a stand against the party. The
+generals who had gone over to the republicans had not the slightest
+intention of founding a republic, but only wanted to get rid of the rule
+of the Manchus and to step into their place. This was true also of Y�an
+Shih-k'ai, who in his heart was entirely on the side of the gentry,
+although the European press especially had always energetically defended
+him. In character and capacity he stood far above the other generals,
+but he was no republican.
+
+Thus the first period of the Republic, until 1927, was marked by
+incessant attempts by individual generals to make themselves
+independent. The Government could not depend on its soldiers, and so was
+impotent. The first risings of military units began at the outset of
+1912. The governors and generals who wanted to make themselves
+independent sabotaged every decree of the central government; especially
+they sent it no money from the provinces and also refused to give their
+assent to foreign loans. The province of Canton, the actual birthplace
+of the republican movement and the focus of radicalism, declared itself
+in 1912 an independent republic.
+
+Within the Peking government matters soon came to a climax. Y�an
+Shih-k'ai and his supporters represented the conservative view, with the
+unexpressed but obvious aim of setting up a new imperial house and
+continuing the old gentry system. Most of the members of the parliament
+came, however, from the middle class and were opposed to any reaction of
+this sort. One of their leaders was murdered, and the blame was thrown
+upon Y�an Shih-k'ai; there then came, in the middle of 1912, a new
+revolution, in which the radicals made themselves independent and tried
+to gain control of South China. But Y�an Shih-k'ai commanded better
+troops and won the day. At the end of October 1912 he was elected,
+against the opposition, as president of China, and the new state was
+recognized by foreign countries.
+
+China's internal difficulties reacted on the border states, in which the
+European powers were keenly interested. The powers considered that the
+time had come to begin the definitive partition of China. Thus there
+were long negotiations and also hostilities between China and Tibet,
+which was supported by Great Britain. The British demanded the complete
+separation of Tibet from China, but the Chinese rejected this (1912);
+the rejection was supported by a boycott of British goods. In the end
+the Tibet question was left undecided. Tibet remained until recent years
+a Chinese dependency with a good deal of internal freedom. The Second
+World War and the Chinese retreat into the interior brought many Chinese
+settlers into Eastern Tibet which was then separated from Tibet proper
+and made a Chinese province (Hsi-k'ang) in which the native Khamba will
+soon be a minority. The communist r�gime soon after its establishment
+conquered Tibet (1950) and has tried to change the character of its
+society and its system of government which lead to the unsuccessful
+attempt of the Tibetans to throw off Chinese rule (1959) and the flight
+of the Dalai Lama to India. The construction of highways, air and
+missile bases and military occupation have thus tied Tibet closer to
+China than ever since early Manchu times.
+
+In Outer Mongolia Russian interests predominated. In 1911 there were
+diplomatic incidents in connection with the Mongolian question. At the
+end of 1911 the Hutuktu of Urga declared himself independent, and the
+Chinese were expelled from the country. A secret treaty was concluded in
+1912 with Russia, under which Russia recognized the independence of
+Outer Mongolia, but was accorded an important part as adviser and helper
+in the development of the country. In 1913 a Russo-Chinese treaty was
+concluded, under which the autonomy of Outer Mongolia was recognized,
+but Mongolia became a part of the Chinese realm. After the Russian
+revolution had begun, revolution was carried also into Mongolia. The
+country suffered all the horrors of the struggles between White Russians
+(General Ungern-Sternberg) and the Reds; there were also Chinese
+attempts at intervention, though without success, until in the end
+Mongolia became a Soviet Republic. As such she is closely associated
+with Soviet Russia. China, however, did not quickly recognize Mongolia's
+independence, and in his work _China's Destiny_ (1944) Chiang Kai-shek
+insisted that China's aim remained the recovery of the frontiers of
+1840, which means among other things the recovery of Outer Mongolia. In
+spite of this, after the Second World War Chiang Kai-shek had to
+renounce _de jure_ all rights in Outer Mongolia. Inner Mongolia was
+always united to China much more closely; only for a time during the war
+with Japan did the Japanese maintain there a puppet government. The
+disappearance of this government went almost unnoticed.
+
+At the time when Russian penetration into Mongolia began, Japan had
+entered upon a similar course in Manchuria, which she regarded as her
+"sphere of influence". On the outbreak of the first world war Japan
+occupied the former German-leased territory of Tsingtao, at the
+extremity of the province of Shantung, and from that point she occupied
+the railways of the province. Her plan was to make the whole province a
+protectorate; Shantung is rich in coal and especially in metals. Japan's
+plans were revealed in the notorious "Twenty-one Demands" (1915).
+Against the furious opposition especially of the students of Peking,
+Y�an Shih-k'ai's government accepted the greater part of these demands.
+In negotiations with Great Britain, in which Japan took advantage of the
+British commitments in Europe, Japan had to be conceded the predominant
+position in the Far East.
+
+Meanwhile Y�an Shih-k'ai had made all preparations for turning the
+Republic once more into an empire, in which he would be emperor; the
+empire was to be based once more on the gentry group. In 1914 he secured
+an amendment of the Constitution under which the governing power was to
+be entirely in the hands of the president; at the end of 1914 he secured
+his appointment as president for life, and at the end of 1915 he induced
+the parliament to resolve that he should become emperor.
+
+This naturally aroused the resentment of the republicans, but it also
+annoyed the generals belonging to the gentry, who had had the same
+ambition. Thus there were disturbances, especially in the south, where
+Sun Yat-sen with his followers agitated for a democratic republic. The
+foreign powers recognized that a divided China would be much easier to
+penetrate and annex than a united China, and accordingly opposed Y�an
+Shih-k'ai. Before he could ascend the throne, he died suddenly--and
+this terminated the first attempt to re-establish monarchy.
+
+Y�an was succeeded as president by Li Y�an-hung. Meanwhile five
+provinces had declared themselves independent. Foreign pressure on China
+steadily grew. She was forced to declare war on Germany, and though this
+made no practical difference to the war, it enabled the European powers
+to penetrate further into China. Difficulties grew to such an extent in
+1917 that a dictatorship was set up and soon after came an interlude,
+the recall of the Manchus and the reinstatement of the deposed emperor
+(July 1st-8th, 1917).
+
+This led to various risings of generals, each aiming simply at the
+satisfaction of his thirst for personal power. Ultimately the victorious
+group of generals, headed by Tuan Ch'i-jui, secured the election of F�ng
+Kuo-chang in place of the retiring president. F�ng was succeeded at the
+end of 1918 by Hs� Shih-ch'ang, who held office until 1922. Hs�, as a
+former ward of the emperor, was a typical representative of the gentry,
+and was opposed to all republican reforms.
+
+The south held aloof from these northern governments. In Canton an
+opposition government was set up, formed mainly of followers of Sun
+Yat-sen; the Peking government was unable to remove the Canton
+government. But the Peking government and its president scarcely counted
+any longer even in the north. All that counted were the generals, the
+most prominent of whom were: (1) Chang Tso-lin, who had control of
+Manchuria and had made certain terms with Japan, but who was ultimately
+murdered by the Japanese (1928); (2) Wu P'ei-fu, who held North China;
+(3) the so-called "Christian general", F�ng Y�-hsiang, and (4) Ts'ao
+K'un, who became president in 1923.
+
+At the end of the first world war Japan had a hold over China amounting
+almost to military control of the country. China did not sign the Treaty
+of Versailles, because she considered that she had been duped by Japan,
+since Japan had driven the Germans out of China but had not returned the
+liberated territory to the Chinese. In 1921 peace was concluded with
+Germany, the German privileges being abolished. The same applied to
+Austria. Russia, immediately after the setting up of the Soviet
+government, had renounced all her rights under the Capitulations. This
+was the first step in the gradual rescinding of the Capitulations; the
+last of them went only in 1943, as a consequence of the difficult
+situation of the Europeans and Americans in the Pacific produced by the
+Second World War.
+
+At the end of the first world war the foreign powers revised their
+attitude towards China. The idea of territorial partitioning of the
+country was replaced by an attempt at financial exploitation; military
+friction between the Western powers and Japan was in this way to be
+minimized. Financial control was to be exercised by an international
+banking consortium (1920). It was necessary for political reasons that
+this committee should be joined by Japan. After her Twenty-one Demands,
+however, Japan was hated throughout China. During the world war she had
+given loans to the various governments and rebels, and in this way had
+secured one privilege after another. Consequently China declined the
+banking consortium. She tried to secure capital from her own resources;
+but in the existing political situation and the acute economic
+depression internal loans had no success.
+
+In an agreement between the United States and Japan in 1917, the United
+States, in consequence of the war, had had to give their assent to
+special rights for Japan in China. After the war the international
+conference at Washington (November 1921-February 1922) tried to set
+narrower limits to Japan's influence over China, and also to
+re-determine the relative strength in the Pacific of the four great
+powers (America, Britain, France, Japan). After the failure of the
+banking plan this was the last means of preventing military conflicts
+between the powers in the Far East. This brought some relief to China,
+as Japan had to yield for the time to the pressure of the western
+powers.
+
+The years that followed until 1927 were those of the complete collapse
+of the political power of the Peking government--years of entire
+dissolution. In the south Sun Yat-sen had been elected generalissimo in
+1921. In 1924 he was re-elected with a mandate for a campaign against
+the north. In 1924 there also met in Canton the first general congress
+of the Kuomintang ("People's Party"). The Kuomintang (in 1929 it had
+653,000 members, or roughly 0.15 per cent of the population) is the
+continuation of the Komingtang ("Revolutionary Party") founded by Sun
+Yat-sen, which as a middle-class party had worked for the removal of the
+dynasty. The new Kuomintang was more socialistic, as is shown by its
+admission of Communists and the stress laid upon land reform.
+
+At the end of 1924 Sun Yat-sen with some of his followers went to
+Peking, to discuss the possibility of a reunion between north and south
+on the basis of the programme of the People's Party. There, however, he
+died at the beginning of 1925, before any definite results had been
+attained; there was no prospect of achieving anything by the
+negotiations, and the south broke them off. But the death of Sun Yat-sen
+had been followed after a time by tension within the party between its
+right and left wings. The southern government had invited a number of
+Russian advisers in 1923 to assist in building up the administration,
+civil and military, and on their advice the system of government had
+been reorganized on lines similar to those of the soviet and commissar
+system. This change had been advocated by an old friend of Sun Yat-sen,
+Chiang Kai-shek, who later married Sun's sister-in-law. Chiang Kai-shek,
+who was born in 1886, was the head of the military academy at Whampoa,
+near Canton, where Russian instructors were at work. The new system was
+approved by Sun Yat-sen's successor, Hu Han-min (who died in 1936), in
+his capacity of party leader. It was opposed by the elements of the
+right, who at first had little influence. Chiang Kai-shek soon became
+one of the principal leaders of the south, as he had command of the
+efficient troops of Canton, who had been organized by the Russians.
+
+The People's Party of the south and its governments, at that time fairly
+radical in politics, were disliked by the foreign powers; only Japan
+supported them for a time, owing to the anti-British feeling of the
+South Chinese and in order to further her purpose of maintaining
+disunion in China. The first serious collision with the outer world came
+on May 30th, 1925, when British soldiers shot at a crowd demonstrating
+in Shanghai. This produced a widespread boycott of British goods in
+Canton and in British Hong Kong, inflicting a great loss on British
+trade with China and bringing considerable advantages in consequence to
+Japanese trade and shipping: from the time of this boycott began the
+Japanese grip on Chinese coastwise shipping.
+
+The second party congress was held in Canton in 1926. Chiang Kai-shek
+already played a prominent part. The People's Party, under Chiang
+Kai-shek and with the support of the communists, began the great
+campaign against the north. At first it had good success: the various
+provincial governors and generals and the Peking government were played
+off against each other, and in a short time one leader after another was
+defeated. The Yangtze was reached, and in 1926 the southern government
+moved to Hankow. All over the southern provinces there now came a
+genuine rising of the masses of the people, mainly the result of
+communist propaganda and of the government's promise to give land to the
+peasants, to set limits to the big estates, and to bring order into the
+taxation. In spite of its communist element, at the beginning of 1927
+the southern government was essentially one of the middle class and the
+peasantry, with a socialistic tendency.
+
+
+3 _Second period of the Republic: Nationalist China_
+
+With the continued success of the northern campaign, and with Chiang
+Kai-shek's southern army at the gates of Shanghai (March 21st, 1927), a
+decision had to be taken. Should the left wing be allowed to gain the
+upper hand, and the great capitalists of Shanghai be expropriated as it
+was proposed to expropriate the gentry? Or should the right wing
+prevail, an alliance be concluded with the capitalists, and limits be
+set to the expropriation of landed estates? Chiang Kai-shek, through his
+marriage with Sun Yat-sen's wife's sister, had become allied with one of
+the greatest banking families. In the days of the siege of Shanghai
+Chiang, together with his closest colleagues (with the exception of Hu
+Han-min and Wang Chying-wei, a leader who will be mentioned later),
+decided on the second alternative. Shanghai came into his hands without
+a struggle, and the capital of the Shanghai financiers, and soon foreign
+capital as well, was placed at his disposal, so that he was able to pay
+his troops and finance his administration. At the same time the Russian
+advisers were dismissed or executed.
+
+The decision arrived at by Chiang Kai-shek and his friends did not
+remain unopposed, and he parted from the "left group" (1927) which
+formed a rival government in Hankow, while Chiang Kai-shek made Nanking
+the seat of his government (April 1927). In that year Chiang not only
+concluded peace with the financiers and industrialists, but also a sort
+of "armistice" with the landowning gentry. "Land reform" still stood on
+the party programme, but nothing was done, and in this way the
+confidence and cooperation of large sections of the gentry was secured.
+The choice of Nanking as the new capital pleased both the industrialists
+and the agrarians: the great bulk of China's young industries lay in the
+Yangtze region, and that region was still the principal one for
+agricultural produce; the landowners of the region were also in a better
+position with the great market of the capital in their neighbourhood.
+
+Meanwhile the Nanking government had succeeded in carrying its dealings
+with the northern generals to a point at which they were largely
+out-manoeuvred and became ready for some sort of collaboration (1928).
+There were now four supreme commanders--Chiang Kai-shek, F�ng Y�-hsiang
+(the "Christian general"), Yen Hsi-shan, the governor of Shansi, and the
+Muslim Li Chung-yen. Naturally this was not a permanent solution; not
+only did Chiang Kai-shek's three rivals try to free themselves from his
+ever-growing influence and to gain full power themselves, but various
+groups under military leadership rose again and again, even in the home
+of the Republic, Canton itself. These struggles, which were carried on
+more by means of diplomacy and bribery than at arms, lasted until 1936.
+Chiang Kai-shek, as by far the most skilful player in this game, and at
+the same time the man who had the support of the foreign governments
+and of the financiers of Shanghai, gained the victory. China became
+unified under his dictatorship.
+
+As early as 1928, when there seemed a possibility of uniting China, with
+the exception of Manchuria, which was dominated by Japan, and when the
+European powers began more and more to support Chiang Kai-shek, Japan
+felt that her interests in North China were threatened, and landed
+troops in Shantung. There was hard fighting on May 3rd, 1928. General
+Chang Tso-lin, in Manchuria, who was allied to Japan, endeavoured to
+secure a cessation of hostilities, but he fell victim to a Japanese
+assassin; his place was taken by his son, Chang Hs�eh-liang, who pursued
+an anti-Japanese policy. The Japanese recognized, however, that in view
+of the international situation the time had not yet come for
+intervention in North China. In 1929 they withdrew their troops and
+concentrated instead on their plans for Manchuria.
+
+Until the time of the "Manchurian incident" (1931), the Nanking
+government steadily grew in strength. It gained the confidence of the
+western powers, who proposed to make use of it in opposition to Japan's
+policy of expansion in the Pacific sphere. On the strength of this
+favourable situation in its foreign relations, the Nanking government
+succeeded in getting rid of one after another of the Capitulations.
+Above all, the administration of the "Maritime Customs", that is to say
+of the collection of duties on imports and exports, was brought under
+the control of the Chinese government: until then it had been under
+foreign control. Now that China could act with more freedom in the
+matter of tariffs, the government had greater financial resources, and
+through this and other measures it became financially more independent
+of the provinces. It succeeded in building up a small but modern army,
+loyal to the government and superior to the still existing provincial
+armies. This army gained its military experience in skirmishes with the
+Communists and the remaining generals.
+
+It is true that when in 1931 the Japanese occupied Manchuria, Nanking
+was helpless, since Manchuria was only loosely associated with Nanking,
+and its governor, Chang Hs�eh-liang, had tried to remain independent of
+it. Thus Manchuria was lost almost without a blow. On the other hand,
+the fighting with Japan that broke out soon afterwards in Shanghai
+brought credit to the young Nanking army, though owing to its numerical
+inferiority it was unsuccessful. China protested to the League of
+Nations against its loss of Manchuria. The League sent a commission (the
+Lytton Commission), which condemned Japan's action, but nothing further
+happened, and China indignantly broke away from her association with
+the Western powers (1932-1933). In view of the tense European situation
+(the beginning of the Hitler era in Germany, and the Italian plans of
+expansion), the Western powers did not want to fight Japan on China's
+behalf, and without that nothing more could be done. They pursued,
+indeed, a policy of playing off Japan against China, in order to keep
+those two powers occupied with each other, and so to divert Japan from
+Indo-China and the Pacific.
+
+China had thus to be prepared for being involved one day in a great war
+with Japan. Chiang Kai-shek wanted to postpone war as long as possible.
+He wanted time to establish his power more thoroughly within the
+country, and to strengthen his army. In regard to external relations,
+the great powers would have to decide their attitude sooner or later.
+America could not be expected to take up a clear attitude: she was for
+peace and commerce, and she made greater profits out of her relations
+with Japan than with China; she sent supplies to both (until 1941). On
+the other hand, Britain and France were more and more turning away from
+Japan, and Russo-Japanese relations were at all times tense. Japan tried
+to emerge from her isolation by joining the "axis powers", Germany and
+Italy (1936); but it was still doubtful whether the Western powers would
+proceed with Russia, and therefore against Japan, or with the Axis, and
+therefore in alliance with Japan.
+
+Japan for her part considered that if she was to raise the standard of
+living of her large population and to remain a world power, she must
+bring into being her "Greater East Asia", so as to have the needed raw
+material sources and export markets in the event of a collision with the
+Western powers; in addition to this, she needed a security girdle as
+extensive as possible in case of a conflict with Russia. In any case,
+"Greater East Asia" must be secured before the European conflict should
+break out.
+
+
+4 _The Sino-Japanese war_ (1937-1945)
+
+Accordingly, from 1933 onward Japan followed up her conquest of
+Manchuria by bringing her influence to bear in Inner Mongolia and in
+North China. She succeeded first, by means of an immense system of
+smuggling, currency manipulation, and propaganda, in bringing a number
+of Mongol princes over to her side, and then (at the end of 1935) in
+establishing a semi-dependent government in North China. Chiang Kai-shek
+took no action.
+
+The signal for the outbreak of war was an "incident" by the Marco Polo
+Bridge, south of Peking (July 7th, 1937). The Japanese government
+profited by a quite unimportant incident, undoubtedly provoked by the
+Japanese, in order to extend its dominion a little further. China still
+hesitated; there were negotiations. Japan brought up reinforcements and
+put forward demands which China could not be expected to be ready to
+fulfil. Japan then occupied Peking and Tientsin and wide regions between
+them and south of them. The Chinese soldiers stationed there withdrew
+almost without striking a blow, but formed up again and began to offer
+resistance. In order to facilitate the planned occupation of North
+China, including the province of Shantung, Japan decided on a
+diversionary campaign against Shanghai. The Nanking government sent its
+best troops to the new front, and held it for nearly three months
+against superior forces; but meanwhile the Japanese steadily advanced in
+North China. On November 9th Nanking fell into their hands. By the
+beginning of January 1938, the province of Shantung had also been
+conquered.
+
+Chiang Kai-shek and his government fled to Ch'ung-k'ing (Chungking), the
+most important commercial and financial centre of the interior after
+Hankow, which was soon threatened by the Japanese fleet. By means of a
+number of landings the Japanese soon conquered the whole coast of China,
+so cutting off all supplies to the country; against hard fighting in
+some places they pushed inland along the railways and conquered the
+whole eastern half of China, the richest and most highly developed part
+of the country. Chiang Kai-shek had the support only of the
+agriculturally rich province of Szechwan, and of the scarcely developed
+provinces surrounding it. Here there was as yet no industry. Everything
+in the way of machinery and supplies that could be transported from the
+hastily dismantled factories was carried westwards. Students and
+professors went west with all the contents of their universities, and
+worked on in small villages under very difficult conditions--one of the
+most memorable achievements of this war for China. But all this was by
+no means enough for waging a defensive war against Japan. Even the
+famous Burma Road could not save China.
+
+By 1940-1941 Japan had attained her war aim: China was no longer a
+dangerous adversary. She was still able to engage in small-scale
+fighting, but could no longer secure any decisive result. Puppet
+governments were set up in Peking, Canton, and Nanking, and the Japanese
+waited for these governments gradually to induce supporters of Chiang
+Kai-shek to come over to their side. Most was expected of Wang
+Ching-wei, who headed the new Nanking government. He was one of the
+oldest followers of Sun Yat-sen, and was regarded as a democrat. In
+1925, after Sun Yat-sen's death, he had been for a time the head of the
+Nanking government, and for a short time in 1930 he had led a government
+in Peking that was opposed to Chiang Kai-shek's dictatorship. Beyond any
+question Wang still had many followers, including some in the highest
+circles at Chungking, men of eastern China who considered that
+collaboration with Japan, especially in the economic field, offered good
+prospects. Japan paid lip service to this policy: there was talk of
+sister peoples, which could help each other and supply each other's
+needs. There was propaganda for a new "Greater East Asian" philosophy,
+_Wang-tao_, in accordance with which all the peoples of the East could
+live together in peace under a thinly disguised dictatorship. What
+actually happened was that everywhere Japanese capitalists established
+themselves in the former Chinese industrial plants, bought up land and
+securities, and exploited the country for the conduct of their war.
+
+After the great initial successes of Hitlerite Germany in 1939-1941,
+Japan became convinced that the time had come for a decisive blow
+against the positions of the Western European powers and the United
+States in the Far East. Lightning blows were struck at Hong Kong and
+Singapore, at French Indo-China, and at the Netherlands East Indies. The
+American navy seemed to have been eliminated by the attack on Pearl
+Harbour, and one group of islands after another fell into the hands of
+the Japanese. Japan was at the gates of India and Australia. Russia was
+carrying on a desperate defensive struggle against the Axis, and there
+was no reason to expect any intervention from her in the Far East.
+Greater East Asia seemed assured against every danger.
+
+The situation of Chiang Kai-shek's Chungking government seemed hopeless.
+Even the Burma Road was cut, and supplies could only be sent by air;
+there was shortage of everything. With immense energy small industries
+were begun all over western China, often organized as co-operatives;
+roads and railways were built--but with such resources would it ever be
+possible to throw the Japanese into the sea? Everything depended on
+holding out until a new page was turned in Europe. Infinitely slow
+seemed the progress of the first gleams of hope--the steady front in
+Burma, the reconquest of the first groups of inlands; the first bomb
+attacks on Japan itself. Even in May, 1945, with the war ended in
+Europe, there seemed no sign of its ending in the Far East. Then came
+the atom bomb, bringing the collapse of Japan; the Japanese armies
+receded from China, and suddenly China was free, mistress once more in
+her own country as she had not been for decades.
+
+
+
+
+Chapter Twelve
+
+PRESENT-DAY CHINA
+
+
+1 _The growth of communism_
+
+In order to understand today's China, we have to go back in time to
+report events which were cut short or left out of our earlier discussion
+in order to present them in the context of this chapter.
+
+Although socialism and communism had been known in China long ago, this
+line of development of Western philosophy had interested Chinese
+intellectuals much less than liberalistic, democratic Western ideas. It
+was widely believed that communism had no real prospects for China, as a
+dictatorship of the proletariat seemed to be relevant only in a highly
+industrialized and not in an agrarian society. Thus, in its beginning
+the "Movement of May Fourth" of 1919 had Western ideological traits but
+was not communistic. This changed with the success of communism in
+Russia and with the theoretical writings of Lenin. Here it was shown
+that communist theories could be applied to a country similar to China
+in its level of development. Already from 1919 on, some of the leaders
+of the Movement turned towards communism: the National University of
+Peking became the first centre of this movement, and Ch'en Tu-hsiu, then
+dean of the College of Letters, from 1920 on became one of its leaders.
+Hu Shih did not move to the left with this group; he remained a liberal.
+But another well-known writer, Lu Hs�n (1881-1936), while following Hu
+Shih in the "Literary Revolution," identified politically with Ch'en.
+There was still another man, the Director of the University Library, Li
+Ta-chao, who turned towards communism. With him we find one of his
+employees in the Library, Mao Tse-tung. In fact, the nucleus of the
+Communist Party, which was officially created as late as 1921, was a
+student organization including some professors in Peking. On the other
+hand, a student group in Paris had also learned about communism and had
+organized; the leaders of this group were Chou En-lai and Li Li-san. A
+little later, a third group organized in Germany; Chu T� belonged to
+this group. The leadership of Communist China since 1949 has been in the
+hands of men of these three former student groups.
+
+After 1920, Sun Yat-sen, too, became interested in the developments in
+Soviet Russia. Yet, he never actually became a communist; his belief
+that the soil should belong to the tiller cannot really be combined with
+communism, which advocates the abolition of individual landholdings.
+Yet, Soviet Russia found it useful to help Sun Yat-sen and advised the
+Chinese Communist Party to collaborate with the KMT (Kuo-min-tang). This
+collaboration, not always easy, continued until the fall of Shanghai in
+1927.
+
+In the meantime, Mao Tse-tung had given up his studies in Peking and had
+returned to his home in Hunan. Here, he organized his countrymen, the
+farmers of Hunan. It is said that at the verge of the northern
+expedition of Chiang Kai-shek, Mao's adherents in Hunan already numbered
+in the millions; this made the quick and smooth advance of the
+communist-advised armies of Chiang Kai-shek possible. Mao developed his
+ideas in written form in 1927; he showed that communism in China could
+be successful only if it was based upon farmers. Because of this
+unorthodox attitude, he was for years severely attacked as a
+deviationist.
+
+When Chiang Kai-shek separated from the KMT in 1927, the main body of
+the KMT remained in Hankow as the legal government. But now, while
+Chiang Kai-shek executed all leftists, union leaders, and communists who
+fell into his hands, tensions in Hankow increased between the Chinese
+Communist Party and the rest of the KMT. Finally, the KMT turned against
+the communists and reunited with Chiang Kai-shek. The remaining
+communists retreated to the Hunan-Kiangsi border area, the centre of
+Mao's activities; even the orthodox communist wing, which had condemned
+Mao, now had to come to him for protection from the KMT. A small
+communist state began to develop in Kiangsi, in spite of pressure and,
+later, attacks of the KMT against them. By 1934, this pressure became so
+strong that Kiangsi had to be abandoned, and in the epic "Long March"
+the rest of the communists and their army fought their way through all
+of western and northwestern China into the sparsely inhabited,
+underdeveloped northern part of Shensi, where a new socialistic state
+was created with Yen-an as its capital.
+
+After the fall of the communist enclave in Kiangsi, the prospects for
+the Nationalist regime were bright; indeed, the unification of China was
+almost achieved. At this moment a new Japanese invasion threatened and
+demanded the full attention of the regime. Thus, in spite of talk about
+land reform and other reforms which might have led to a liberalization
+of the government, no attention was given to internal and social
+problems except to the suppression of communist thought. Although all
+leftist publications were prohibited, most historians and sociologists
+succeeded in writing Marxist books without using Marxist terminology, so
+that they escaped Chiang's censors. These publications contributed
+greatly to preparing China's intellectuals and youth for communism.
+
+When the Japanese War began, the communists in Yen-an and the
+Nationalists under Chiang Kai-shek agreed to cooperate against the
+invaders. Yet, each side remembered its experiences in 1927 and
+distrusted the other. Chiang's resistance against the invaders became
+less effective after the Japanese occupied all of China's ports;
+supplies could reach China only in small quantities by airlift or via
+the Burma Road. There was also the belief that Japan could be defeated
+only by an attack on Japan itself and that this would have to be
+undertaken by the Western powers, not by China. The communists, on their
+side, set up a guerilla organization behind the Japanese lines, so that,
+although the Japanese controlled the cities and the lines of
+communication, they had little control over the countryside. The
+communists also attempted to infiltrate the area held by the
+Nationalists, who in turn were interested in preventing the communists
+from becoming too strong; so, Nationalist troops guarded also the
+borders of communist territory.
+
+American politicians and military advisers were divided in their
+opinions. Although they recognized the internal weakness of the
+Nationalist government, the fighting between cliques within the
+government, and the ever-increasing corruption, some advocated more help
+to the Nationalists and a firm attitude against the communists. Others,
+influenced by impressions gained during visits to Yen-an, and believing
+in the possibility of honest cooperation between a communist regime and
+any other, as Roosevelt did, attempted to effect a coalition of the
+Nationalists with the communists.
+
+At the end of the war, when the Nationalist government took over the
+administration, it lacked popular support in the areas liberated from
+the Japanese. Farmers who had been given land by the communists, or who
+had been promised it, were afraid that their former landlords, whether
+they had remained to collaborate with the Japanese or had fled to West
+China, would regain control of the land. Workers hoped for new social
+legislation and rights. Businessmen and industrialists were faced with
+destroyed factories, worn-out or antiquated equipment, and an unchecked
+inflation which induced them to shift their accounts into foreign banks
+or to favor short-term gains rather than long-term investments. As in
+all countries which have suffered from a long war and an occupation,
+the youth believed that the old regime had been to blame, and saw
+promise and hope on the political left. And, finally, the Nationalist
+soldiers, most of whom had been separated for years from their homes and
+families, were not willing to fight other Chinese in the civil war now
+well under way; they wanted to go home and start a new life. The
+communists, however, were now well organized militarily and well equiped
+with arms surrendered by the Japanese to the Soviet armies as well as
+with arms and ammunition sold to them by KMT soldiers; moreover, they
+were constantly strengthened by deserters from the KMT. The civil war
+witnessed a steady retreat by the KMT armies, which resisted only
+sporadically. By the end of 1948, most of mainland China was in the
+hands of the communists, who established their new capital in Peking.
+
+
+2 _Nationalist China in Taiwan_
+
+The Nationalist government retreated to Taiwan with those soldiers who
+remained loyal. This island was returned to China after the defeat of
+Japan, though final disposition of its status had not yet been
+determined.
+
+Taiwan's original population had been made up of more than a dozen
+tribes who are probably distant relatives of tribes in the Philippines.
+These are Taiwan's "aborigines," altogether about 200,000 people in
+1948.
+
+At about the time of the Sung dynasty, Chinese began to establish
+outposts on the island; these developed into regular agricultural
+settlements toward the end of the Ming dynasty. Immigration increased in
+the eighteenth and especially the nineteenth centuries. These Chinese
+immigrants and their descendants are the "Taiwanese," Taiwan's main
+population of about eight million people as of 1948.
+
+Taiwan was at first a part of the province of Fukien, whence most of its
+Chinese settlers came; there was also a minority of Hakka, Chinese from
+Kuangtung province. When Taiwan was ceded to Japan, it was still a
+colonial area with much lawlessness and disorder, but with a number of
+flourishing towns and a growing population. The Japanese, who sent
+administrators but no settlers, established law and order, protected the
+aborigines from land-hungry Chinese settlers, and attempted to abolish
+headhunting by the aborigines and to raise the cultural level in
+general. They built a road and railway system and strongly stressed the
+production of sugar cane and rice. During the Second World War, the
+island suffered from air attacks and from the inability of the Japanese
+to protect its industries.
+
+After Chiang Kai-shek and the remainder of his army and of his
+government officials arrived in Taiwan, they were followed by others
+fleeing from the communist regime, mainly from Chekiang, Kiangsu, and
+the northern provinces of the mainland. Eventually, there were on Taiwan
+about two million of these "mainlanders," as they have sometimes been
+called.
+
+When the Chinese Nationalists took over from the Japanese, they assumed
+all the leading positions in the government. The Taiwanese nationals who
+had opposed the Japanese were disappointed; for their part, the
+Nationalists felt threatened because of their minority position. The
+next years, especially up to 1952, were characterized by terror and
+bloodshed. Tensions persisted for many years, but have lessened since
+about 1960.
+
+The new government of Taiwan resembled China's pre-war government under
+Chiang Kai-shek. First, to maintain his claim to the legitimate rule of
+all of China, Chiang retained--and controlled through his party, the
+KMT--his former government organization, complete with cabinet
+ministers, administrators, and elected parliament, under the name
+"Central Government of China." Secondly, the actual government of
+Taiwan, which he considered one of China's provinces, was organized as
+the "Provincial Government of Taiwan," whose leading positions were at
+first in the hands of KMT mainlanders. There have since been elections
+for the provincial assembly, for local government councils and boards,
+and for various provincial and local positions. Thirdly, the military
+forces were organized under the leadership and command of mainlanders.
+And finally, the education system was set up in accordance with former
+mainland practices by mainland specialists. However, evolutionary
+changes soon occurred.
+
+The government's aim was to make Mandarin Chinese the language of all
+Chinese in Taiwan, as it had been in mainland China long before the War,
+and to weaken the Taiwanese dialects. Soon almost every child had a
+minimum of six years of education (increased in 1968 to nine years),
+with Mandarin Chinese as the medium of instruction. In the beginning few
+Taiwanese qualified as teachers because, under Japanese rule, Japanese
+had been the medium of instruction. As the children of Taiwanese and
+mainland families went to school together, the Taiwanese children
+quickly learned Mandarin, while most mainland children became familiar
+with the Taiwan dialect. For the generation in school today, the
+difference between mainlander and Taiwanese has lost its importance. At
+the same time, more teachers of Taiwanese origin, but with modern
+training, have begun to fill first the ranks of elementary, later of
+high-school, and now even of university instructors, so that the end of
+mainland predominance in the educational system is foreseeable.
+
+The country is still ruled by the KMT, but although at first hardly any
+Taiwanese belonged to the Party, many of the elective jobs and almost
+all positions in the provincial government are at present (1969) in the
+hands of Taiwanese independents, or KMT members, more of whom are
+entering the central government as well. Because military service is
+compulsory, the majority of common soldiers are Taiwanese: as career
+officers grow older and their sons show little interest in an army
+career, more Taiwan-Chinese are occupying higher army positions. Foreign
+policy and major political decisions still lie in the hands of mainland
+Chinese, but economic power, once monopolized by them, is now held by
+Taiwan-Chinese.
+
+This shift gained impetus with the end of American economic aid, which
+had tied local businessmen to American industry and thus worked to the
+advantage of mainland Chinese, for these had contacts in the United
+States, whereas the Taiwan-Chinese had contacts only in Japan. After the
+termination of American economic aid, Taiwanese trade with Japan, the
+Philippines, and Korea grew in importance and with it the economic
+strength of Taiwan-Chinese businessmen. After 1964, Taiwan became a
+strong competitor of Hong Kong and Japan in some export industries, such
+as electronics and textiles. We can regard Taiwan from 1964 on as
+occupying the "take-off" stage, to use Rostow's terminology--a stage of
+rapid development of new, principally light and consumer, industries.
+There has been a rapid rise of industrial towns around the major cities,
+and there are already many factories in the countryside, even in some
+villages. Electrification is essentially completed, and heavy
+industries, such as fertilizer and assembly plants and oil refineries,
+now exist.
+
+This rapid industrialization was accompanied by an unusually fast
+development of agriculture. A land-reform program limited land
+ownership, reduced rents, and redistributed formerly Japanese-owned
+land. This was the program that the Nationalist government had attempted
+unsuccessfully to enforce in liberated China after the Pacific War. It
+is well known that the abolition of landlordism and the distribution of
+land to small farmers do not in themselves improve or enlarge
+production. The Joint Council on Rural Reconstruction, on which American
+advisers worked with Chinese specialists to devise a system comparable
+to American agricultural extension services but possessing added
+elements of community development, introduced better seeds, more and
+better fertilizers, and numerous other innovations which the farmers
+quickly adopted, with the result that the island became
+self-supporting, in spite of a steadily growing population (thirteen
+million in 1968).
+
+At the same time, the government succeeded in stabilizing the currency
+and in eliminating corruption, thus re-establishing public confidence
+and security. Good incomes from farming as well as from industries were
+invested on the island instead of flowing into foreign banks. In
+addition, the population had enough surplus money to buy the products of
+the new domestic industries as these appeared. Thus, the
+industrialization of Taiwan may be called "industrialization without
+tears," without the suffering, that is, of proletarian masses who
+produce objects which they cannot afford for themselves. Today, even
+lower middle-class families have television consoles which cost the
+equivalent of US $200; they own electric fans and radios; they are
+buying Taiwan-produced refrigerators and air conditioners; and more and
+more think of buying Taiwan-assembled cars. They encourage their
+children to finish high school and to attend college if at all possible;
+competition for admission is very strong in spite of the continuous
+building of new schools and universities. Education to the level of the
+B. A. is of good quality, but for most graduate study students are still
+sent abroad. Taiwan complains about the "brain drain," as about 93 per
+cent of its students who go overseas do not return, but in many fields
+it has sufficient trained manpower to continue its development, and in
+any case there would not be enough jobs available if all the students
+returned. Most of these expatriates would be available to develop
+mainland China, if conditions there were to change in a way that would
+make them compatible with the values with which these expatriates grew
+up on Taiwan, or with the Western democratic values which they absorbed
+abroad.
+
+Chiang Kai-shek's government still hopes that one day its people will
+return to the mainland. This hope has changed from hope of victory in a
+civil war to hope of revolutionary developments within Communist China
+which might lead to the creation of a more liberal government in which
+men with KMT loyalties could find a place. Because they are Chinese, the
+present government and, it is believed, the majority of the people,
+consider themselves a part of China from which they are temporarily
+separated. Therefore they reject the idea, proposed by some American
+politicians, that Taiwan should become an independent state. There are,
+mainly in the United States and Japan, groups of Taiwan-Chinese who
+favor an independent Taiwan, which naturally would be close to Japan
+politically and economically. One may agree with their belief that
+Taiwan, now larger than many European countries, could exist and
+flourish as an independent country; yet few Chinese will wish to divorce
+themselves from the world's largest society.
+
+
+3 _Communist China_
+
+Both Taiwan and mainland China have developed extremely quickly. The
+reasons do not seem to lie solely in the form of government, for the
+pre-conditions for a "take-off" existed in China as early as the 1920's,
+if not earlier. That is, the quick development of China could have
+started forty years ago but was prevented, primarily for political
+reasons. One of the main pre-conditions for quick development is that a
+large part of the population is inured to hard and repetitive work. The
+Chinese farmer was accustomed to such work; he put more time and energy
+into his land than any other farmer. He and his fellows were the
+industrial workers of the future: reliable, hard-working, tractable,
+intelligent. To train them was easy, and absenteeism was never a serious
+problem, as it is in other developing nations. Another pre-condition is
+the existence of sufficient trained people to manage industry. Forty
+years ago China had enough such men to start modernization; foreign
+assistance would have been necessary in some fields, but only briefly.
+
+Another requirement (at least in the period before radio and television)
+is general literacy. Meaningful statistical data on literacy in China
+before 1937 are lacking. Some authors remark that before 1800 probably
+all upper-class sons and most daughters were educated, and that men in
+the middle and even in the lower classes often had some degree of
+literacy. In this context "educated" means that these persons could read
+classical poetry and essays written in literary Chinese, which was not
+the language of daily conversation. "Literacy," however, might mean only
+that a person could read and write some 600 characters, enough to
+conduct a business and to read simple stories. Although newspapers today
+have a stock of about 6,000 characters, only some 600 characters are
+commonly used, and a farmer or worker can manage well with a knowledge
+of about 100 characters. Statements to the effect that in 1935 some 70
+per cent of all men and 95 per cent of all women were illiterate must
+include the last category in these figures. In any case, the literacy
+program of the Nationalist government had penetrated the countryside and
+had reached even outlying villages before the Pacific War.
+
+The transportation system in China before the war was not highly
+developed, but numerous railroads connecting the main industrial centers
+did exist, and bus and truck services connected small towns with the
+larger centers. What were missing in the pre-war years were laws to
+protect the investor, efficient credit facilities, an insurance system
+supported by law, and a modern tax structure. In addition, the monetary
+system was inflation-prone. Although sufficient capital probably could
+have been mobilized within the country, the available resources either
+went into foreign banks or were invested in enterprises providing a
+quick return.
+
+The failure to capitalize on existing means of development before the
+War resulted from the chronic unrest caused by warlordism,
+revolutionaries and foreign invaders, which occupied the energies of the
+Nationalist government from its establishment to its fall. Once a stable
+government free from internal troubles arose, national development,
+whether private or socialist, could proceed at a rapid pace.
+
+Thus, the development of Communist China is not a miracle, possible only
+because of its form of government. What is unusual about Communist China
+is the fact that it is the only nation possessing a highly developed
+culture of its own to have jettisoned it in favor of a foreign one. What
+missionaries had dreamed of for centuries and knew they would never
+accomplish, Mao Tse-tung achieved; he imposed an ideology created by
+Europeans and understandable only in the context of Central Europe in
+the nineteenth century. How long his success will last is uncertain. One
+school of analysts believes that the friction between Soviet Russia and
+Communist China indicates that China's communism has become Chinese.
+These men point out that Communist Chinese practices are often direct
+continuations of earlier Chinese practices, customs, and attitudes. And
+they predict that this trend will continue, resulting in a form of
+socialism or communism distinctly different from that found in any other
+country. Another school, however, believes that communism precedes
+"Sinism," and that the regime will slowly eliminate traits which once
+were typical of China and replace them with institutions developed out
+of Marxist thinking. In any case, for the present, although the
+Communist government's aim is to impose communist thought and
+institutions in the country, typically Chinese traits are still
+omnipresent.
+
+Soon after the establishment of the Peking regime, a pact of friendship
+and alliance with the Soviet Union was concluded (February 1950), and
+Soviet specialists and civil and military products poured into China to
+speed its development. China had to pay for this assistance as well as
+for the loans it received from Russia, but the application of Russian
+experience, often involving the duplication of whole factories, was
+successful. In a few years, China developed its heavy industry, just as
+Russia had done. It should not be forgotten that Manchuria, as well as
+other parts of China, had had modern heavy industries long before 1949.
+The Manchurian factories ceased production because, when the Russians
+invaded Manchuria at the end of the war, they removed the machinery to
+Russia.
+
+Russian aid to Communist China continued to 1960. Its termination slowed
+development briefly but was not disastrous. Russian assistance was a
+"shot in the arm," as stimulating and about as lasting as American aid
+to Taiwan or to European countries. The stress laid upon heavy industry,
+in imitation of Russia, increased China's military strength quickly, but
+the consumer had to wait for goods which would make his life more
+enjoyable. One cause of friction in China today concerns the relative
+desirability of heavy industry versus consumer industry, a problem which
+arose in Russia after the death of Stalin.
+
+China's military strength was first demonstrated in the Korean War when
+Chinese armies entered Korea (October 1950). Their successes contributed
+to the prestige of the Peking regime at home and abroad, but they also
+foreshadowed a conflict with Soviet Russia, which regarded North Korea
+as lying within its own sphere of influence.
+
+In the same year, China invaded and conquered Tibet. Tibet, under Manchu
+rule until 1911, had achieved a certain degree of independence
+thereafter: no republican Chinese regime ever ruled Lhasa. The military
+conquest of Tibet is regarded by many as an act of Chinese imperialism,
+or colonialism, as the Tibetans certainly did not want to belong to
+China or be forced to change their traditional form of government.
+Having regarded themselves as subjects of the Manchu but not of the
+Chinese, they rose against the communist rulers in March 1959, but
+without success.
+
+Chinese control of Tibet, involving the construction of numerous roads,
+airstrips, and military installations, as well as differences concerning
+the international border, led in 1959 to conflicts with India, a country
+which had previously sided with the new China in international affairs.
+Indeed, the borders were uncertain and looked different depending on
+whether one used Manchu or Indian maps. China's other border problem was
+with Burma. Early in 1960 the two countries concluded a border agreement
+which ended disputes dating from British colonial times.
+
+Very early in its existence Communist China assumed control of Sinkiang,
+Chinese Central Asia, a large area originally inhabited by Turkish and
+Mongolian tribes and states, later conquered by the Manchu, and then
+integrated into China in the early nineteenth century. The communist
+action was to be expected, although after the Revolution of 1911 Chinese
+rule over this area had been spotty, and during the Pacific War some
+Soviet-inspired hope had existed that Sinkiang might gain independence,
+following the example of Outer Mongolia, another country which had been
+attached to the Manchu until 1911 and which, with Russian assistance,
+had gained its independence from China. Sinkiang is of great importance
+to Communist China as the site of large sources of oil and of atomic
+industries and testing grounds. The government has stimulated and often
+forced Chinese immigration into Sinkiang, so that the erstwhile Turkish
+and Mongolian majorities have become minorities, envious of their ethnic
+brothers in Soviet Central Asia who enjoy a much higher standard of
+living and more freedom.
+
+Inner Mongolia had a brief dream of independence under Japanese
+protection during the war. But the majority of the population were
+Chinese, and already before the Pacific War, the country had been
+divided into three Chinese provinces, of which the Chinese Communists
+gained control without delay.
+
+In general, when the Chinese Communists discuss territorial claims, they
+appear to seek the restoration of borders that China claimed in the
+eighteenth century. Thus, they make occasional remarks about the Ili
+area and parts of Eastern Siberia, which the Manchu either lost to the
+Russians or claimed as their territory. North Vietnam is probably aware
+that Imperial China exercised political rights over Tongking and Annam
+(the present-day North and part of South Vietnam). And, treaty or no,
+the Sino-Burmese question may be reopened one day, for Burma was
+semi-dependent on China under the Manchu.
+
+The build-up of heavy industry enabled China to conduct an aggressive
+policy towards the countries surrounding her, but industrialization had
+to be paid for, and, as in other countries, it was basically agriculture
+that had to create the necessary capital. Therefore, in June 1950 a
+land-reform law was promulgated. By October 1952 it had been implemented
+at an estimated cost of two million human lives: the landlords. The next
+step, socialization of the land, began in 1953.
+
+The cooperative farms were supposed to achieve higher production than
+small individual farms. It may be that any farmer, but particularly the
+Chinese, is emotionally involved in his crop, in contrast to the
+industrial worker, who often is alienated from the product he makes.
+Thus the farmer is unwilling to put unlimited energy and time into
+working on a farm that does not belong to him. But it may also be that
+the application of principles of industrial operation to agriculture
+fails because emergencies often occur in farming and are followed by
+periods of leisure, whereas in industry steady work is possible.
+
+In any case, in 1956 strains began to appear in China's economy. In
+early 1958 the "Great Leap Forward" was promoted in an attempt to speed
+production in all sectors. Soon after, the first communes were created,
+against the advise of Russian specialists. The objective of the communes
+seems to have been not only the creation of a new organizational form
+which would allow the government to exercise more pressure upon farmers
+to increase production, but also the correlation of labor and other
+needs of industry with agriculture. The communes may have represented an
+attempt to set up an organization which could function independently,
+even in the event of a governmental breakdown in wartime. At the same
+time, the decentralization of industries began and a people's militia
+was created. The "back-yard furnaces," which produced high-cost iron of
+low quality, seem to have had a similar purpose: to teach citizens how
+to produce iron for armaments in case of war and enemy occupation, when
+only guerrilla resistance would be possible. In the same year,
+aggressive actions against offshore, Nationalist-held islands increased.
+China may have believed that war with the United States was imminent.
+Perhaps as a result of Russian talks with China, a d�tente followed in
+1959, but so too did increased tension between Russia and China, while
+the results of the Great Leap and its policies proved catastrophic. The
+years 1961-64 provided a needed respite from the failures of the Great
+Leap. Farmers regained limited rights to income from private efforts,
+and improved farm techniques such as better seed and the use of
+fertilizer began to produce results. China can now feed her population
+in normal years.
+
+Chinese leaders realize that an improved level of living is difficult to
+attain while the birth rate remains high. They have hesitated to adopt a
+family-planning policy, which would fly in the face of Marxist doctrine,
+although for a short period family planning was openly recommended.
+Their most efficient method of limiting the birth rate has been to
+recommend postponement of marriage.
+
+First the limitation of private enterprise and business and then the
+nationalization of all important businesses following the completion of
+land reform deprived many employers as well as small shopkeepers of an
+occupation. But the new industries could not absorb all of the labor
+that suddenly became available. When rural youth inundated the cities in
+search of employment, the government returned the excess urban
+population to the countryside and recruited students and other urban
+youth to work on farms. Re-education camps in outlying areas also
+provided cheap farm labor.
+
+The problem facing China or any nation that modernizes and
+industrializes in the twentieth century can be simply stated.
+Nineteenth-century industry needed large masses of workers which only
+the rural areas could supply; and, with the development of farming
+methods, the countryside could afford to send its youth to the cities.
+Twentieth-century industry, on the other hand, needs technicians and
+highly qualified personnel, often with college degrees, but few
+unskilled workers. China has traditionally employed human labor where
+machines would have been cheaper and more efficient, simply because
+labor was available and capital was not. But since, with the growth of
+modern industry and modern farming, the problem will arise again, the
+policy of employing urban youth on farms is shortsighted.
+
+The labor force also increased as a result of the "liberation" of women,
+in which the marriage law of April 1950 was the first step. Nationalist
+China had earlier created a modern and liberal marriage law; moreover,
+women were never the slaves that they have sometimes been painted. In
+many parts of China, long before the Pacific War, women worked in the
+fields with their husbands. Elsewhere they worked in secondary
+agricultural industries (weaving, preparation of food conserves, home
+industries, and even textile factories) and provided supplementary
+income for their families. All that "liberation" in 1950 really meant
+was that women had to work a full day as their husbands did, and had, in
+addition, to do house work and care for their children much as before.
+The new marriage law did, indeed, make both partners equal; it also made
+it easier for men to divorce their wives, political incompatibility
+becoming a ground for divorce.
+
+The ideological justification for a new marriage law was the
+desirability of destroying the traditional Chinese family and its
+economic basis because a close family, and all the more an extended
+family or a clan, could obviously serve as a center of resistance. Land
+collectivization and the nationalization of business destroyed the
+economic basis of families. The "liberation" of women brought them out
+of the house and made it possible for the government to exploit
+dissention between husband and wife, thereby increasing its control over
+the family. Finally, the new education system, which indoctrinated all
+children from nursery to the end of college, separated children from
+parents, thus undermining parental control and enabling the state to
+intimidate parents by encouraging their children to denounce their
+"deviations." Sporadic efforts to dissolve the family completely by
+separating women from men in communes--recalling an attempt made almost
+a century earlier by the T'ai-p'ing--were unsuccessful.
+
+The best formula for a revolution seems to involve turning youth against
+its elders, rather than turning one class against another. Not all
+societies have a class system so clear-cut that class antagonism is
+effective. On the other hand, Chinese youth, in its opposition to the
+"establishment," to conservatism, to traditional religion, to blind
+emulation of Western customs and institutions, to the traditional family
+structure and the position of women, had hopes that communism would
+eradicate the specific "evil" which each individual wanted abolished.
+Mao and his followers had once been such rebellious youths, but by the
+1960's they were mostly old men and a new youth had appeared, a
+generation of revolutionaries for whom the "old regime" was dim history,
+not reality. In the struggle between Mao and Liu Shao-ch'i, which became
+increasingly apparent in 1966, Mao tried to retain his power by
+mobilizing young people as "Red Guards" and by inciting them to make the
+"Great Proletarian Revolution." The motives behind the struggle are
+diverse. It is on the one hand a conflict of persons contending for
+power, but there are also disagreements over theory: for example, should
+China's present generation toil to make possible a better life only for
+the next generation, or should it enjoy the fruits of its labor, after
+its many years of suffering? Mao opposes such "weakening" and favors a
+new generation willing to endure hardships, as he did in his youth.
+There is also a question whether the Chinese Communist Party under the
+banner of Maoism should replace the Russian party, establish Mao as the
+fourth founder after Marx, Lenin, and Stalin, and become the leader of
+world communism, or whether it should collaborate with the Russian
+party, at least temporarily, and thus ensure China Russian support.
+When, however, Chinese youth was summoned to take up the fight for Mao
+and his group, forces were loosed which could not be controlled.
+Following independent action by youth groups similar in nature to youth
+revolts in Western countries, the power and prestige of older leaders
+suffered. Even now (1969) it is impossible to re-establish unity and
+order; the Mao and Liu groups still oppose each other, and local
+factions have arisen. Violent confrontations, often resulting in
+hundreds of deaths, occur in many provinces. The regime is no longer so
+strong and unified as it was before 1966, although its end is not in
+sight. Quite possibly far-reaching changes may occur in the future.
+
+Three factors will probably influence the future of China. First, the
+emergence of neo-communism, as in Czechoslovakia in 1968, in an attempt
+to soften traditional communist practice. Second, the outcome of the war
+in Vietnam. Will China be able to continue its eighteenth-century dream
+of direct or indirect domination of Southeast Asia? Will North Vietnam
+detach itself from China and attach itself more closely to Russia? Will
+Russia and China continue to create separate spheres of influence in
+Asia, Africa, and South America? The first factor depends on
+developments inside China, the second on events outside, and at least in
+part on decisions in the United States, Japan, and Europe.
+
+The third factor has to do with human nature. One may justifiably ask
+whether the change in human personality which Chinese communism has
+attempted to achieve is possible, let alone desirable. Studies of
+animals and of human beings have demonstrated a tendency to identify
+with a territory, with property, and with kin. Can the Chinese eradicate
+this tendency? The Chinese have been family-centered and accustomed to
+subordinating their individual inclinations to the requirements of
+family and neighborhood. But beyond these established frameworks they
+have been individualistic and highly idiosyncratic at all times. Under
+the communist regime, however, the government is omnipresent, and people
+must toe the official line. One senses the tragedy that affects
+well-known scholars, writers and poets, who must degrade themselves,
+their work, their past and their families in order to survive. They may
+hope for comprehension of their actions, but nonetheless they must
+suffer shame. Will the present government change the minds of these men
+and eradicate their feelings?
+
+Communist China has made great progress, no doubt. Soon it may equal
+other developed nations. But its progress has been achieved at an
+unnecessary cost in human lives and happiness.
+
+That the regime is no longer so strong and unified as it was before 1966
+does not mean that its end is in sight. Far-reaching changes may occur
+in the near future. Public opinion is impressed with mainland China's
+progress, as the world usually is with strong nations. And public
+opinion is still unimpressed by the achievements of Taiwan and has
+hardly begun to change its attitude toward the government of the
+"Republic of China." To the historian and the sociologist, the
+experience of Taiwan indicates that China, if left alone and freed from
+ideological pressures, could industrialize more quickly than any other
+presently underdeveloped nation. Taiwan offers a model with which to
+compare mainland China.
+
+
+
+
+NOTES AND REFERENCES
+
+
+The following notes and references are intended to help the interested
+reader. They draw his attention to some more specialized literature in
+English, and occasionally in French and German. They also indicate for
+the more advanced reader the sources for some of the interpretations of
+historical events. As such sources are most often written in Chinese or
+Japanese and, therefore, inaccessible to most readers, only brief hints
+and not full bibliographical data are given. The specialists know the
+names and can easily find details in the standard bibliographies. The
+general reader will profit most from the bibliography on Chinese history
+published each year in the _Journal of Asian Studies_. These Notes do
+not mention the original Chinese sources which are the factual basis of
+this book.
+
+
+_Chapter One_
+
+p. 7: Reference is made here to the _T'ung-chien kang-mu_ and its
+translation by de Mailla (1777-85). Criticism by O.�Franke, Ku
+Chieh-kang and his school, also by G.�Haloun.
+
+p. 8: For the chronology, I rely here upon Ijima Tadao and my own
+research. Excavations at Chou-k'ou-tien still continue and my account
+should be taken as very preliminary. An earlier analysis is given by E.
+von Eickstedt (_Rassendynamik von Ostasien_, Berlin 1944). For the
+following periods, the best general study is still J.�G.�Andersson,
+_Researches into the Prehistory of the Chinese_, Stockholm 1943. A great
+number of new findings has been made recently, but no comprehensive
+analysis in a Western language is available.
+
+p. 9: Comparison with Ainu has been made by Weidenreich. The theory of
+desiccation of Asia is not the Huntington theory, but I rely here upon
+arguments by J.�G.�Andersoon and Sven Hedin.
+
+p. 10: The earlier theories of R.�Heine-Geldern have been used here.
+
+p. 11: This is a summary of my own theories. Concerning the Tungus
+tribes, K.�Jettmar (_Wiener Beitr�ge zur Kulturgeschichte_, vol. 9,
+1952, p. 484f and later studies) has proposed a more refined theory;
+other parts of the theory, as far as it is concerned with conditions in
+Central Asia, have been modified by F.�Kussmaul (in: _Tribus_, vol.
+1952-3, pp. 305-60). Archaeological data from Central Asia have been
+analysed again by K.�Jettmar (in: _The Museum of Far Eastern
+Antiquities, Bulletin_ No. 23, 1951). The discussion on domestication of
+large animals relies on the studies by C.�O.�Sauer, H.�von Wissmann,
+Menghin, Amschler, Flohr and, most recently, F.�Hancar (in: _Saeculum_,
+vol. 10, 1959, pp. 21-37 with further literature), and also on my own
+research.
+
+p. 12: An analysis of the situation in the South according to Western
+and Chinese studies is found in H.�J.�Wiens, _China's March toward the
+Tropics_, Hamden 1954. Much further work is now published by Ling
+Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best
+analysis of denshiring in the Far East is still the book by K.�J.�Pelzer,
+_Population and Land Utilization_, New York 1941. The anthropological
+theories on this page are my own, influenced by ideas of R.
+Heine-Geldern and Gordon Luce.
+
+p. 14: Sociological theory, as developed by R.�Thurnwald and others, has
+been used as a theoretical tool here, together with observations by A.
+Credner and H.�Bernatzik. Concerning rice in Yang-shao see R.
+Heine-Geldern in _Anthropos_, vol. 27, p. 595.
+
+p. 15: Wu Chin-ting defended the local origin of Yang-shao; T.�J.�Arne,
+J.�G.�Andersson and many others suggested Western influences. Most
+recently R.�Heine-Geldern elaborated this theory. The allusion to
+Indo-Europeans refers to the studies by G.�Haloun and others concerning
+the Ta-Hsia, the later Y�eh-chih, and the Tocharian problem.
+
+p. 16: R.�Heine-Geldern proposed a "Pontic migration". Yin Huan-chang
+discussed most recently Lung-shan culture and the mound-dwellers.
+
+p. 17: The original _Chu-shu chi-nien_ version of the stories about Yao
+has been accepted here, together with my own research and the studies by
+B.�Karlgren, M.�Loehr, G.�Haloun, E.�H.�Minns and others concerning the
+origin and early distribution of bronze and the animal style. Smith
+families or tribes are well known from Central Asia, but also from India
+and Africa (see W.�Ruben, _Eisenschmiede und D�monen in Indien_, Leiden
+1939, for general discussion).--For a discussion of the Hsia see E.
+Erkes.
+
+
+_Chapter Two_
+
+p. 19: The discussion in this chapter relies mainly upon the An-yang
+excavation reports and the studies by Tung Tso-pin and, most strongly,
+Ch'en Meng-chia. In English, the best work is still H.�G.�Creel, _The
+Birth of China_, London 1936 and his more specialized _Studies in Early
+Chinese Culture_, Baltimore 1937.
+
+p. 20: The possibility of a "megalithic" culture in the Far East has
+often been discussed, by O.�Menghin, R.�Heine-Geldern, Cheng T�-k'un,
+Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia,
+southern China, Korea and Japan.--Teng Ch'u-min and others believe that
+silk existed already in the time of Yang-shao.
+
+p. 21: Kuo Mo-jo believes, that the Shang already used a real plough
+drawn by animals. The main discussion on ploughs in China is by Hs�
+Chung-shu; for general anthropological discussion see E.�Werth and H.
+Kothe.
+
+p. 22: For the discussion of the T'ao-t'ieh see the research by B.
+Karlgren and C.�Hentze.
+
+p. 23: I follow here mainly Ch'en Meng-chia, but work by B.�Schindler,
+C.�Hentze, H.�Maspero and also my own research has been considered.
+
+p. 24: I am accepting here a narrow definition of feudalism (see my
+_Conquerors and Rulers_, Leiden 1952).--The division of armies into
+"right" and "left" is interesting in the light of the theories
+concerning the importance of systems of orientation (Fr. R�ck and
+others).
+
+p. 25: Here, the work by W.�Koppers, O.�Spengler, F.�Hancar, V.�G.�Childe
+and many others, concerning the domestication of the horse and the
+introduction of the war-chariot in general, and work by Shih Chang-ju,
+Ch'en Meng-chia, O.�Maenchen, Uchida Gimpu and others concerning
+horses, riding and chariots in China has been used, in addition to my
+own research.
+
+p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia,
+Hs� Chung-shu and Tung Tso-pin.--The discussion as to whether there was
+a period of "slave society" (as postulated by Marxist theory) in China,
+and when it florished, is still going on under the leadership of Kuo
+Mo-jo and his group. I prefer to differentiate between slaves and serfs,
+and relied for factual data upon texts from oracle bones, not upon
+historical texts.--The problem of Shang chronology is still not solved,
+in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many
+Japanese and Western scholars. The old chronology, however, seems to be
+rejected by most scholars now.
+
+
+_Chapter Three_
+
+p. 29: Discussing the early script and language, I refer to the great
+number of unidentified Shang characters and, especially, to the
+composite characters which have been mentioned often by C.�Hentze in his
+research; on the other hand, the original language of the Chou may have
+been different from classical Chinese, if we can judge from the form of
+the names of the earliest Chou ancestors. Problems of substrata
+languages enter at this stage. Our first understanding of Chou language
+and dialects seems to come through the method applied by P.�Serruys,
+rather than through the more generally accepted theories and methods of
+B.�Karlgren and his school.
+
+p. 30: I reject here the statement of classical texts that the last
+Shang ruler was unworthy, and accept the new interpretation of Ch'en
+Meng-chia which is based upon oracle bone texts.--The most recent
+general study on feudalism, and on feudalism in China, is in R.
+Coulborn, _Feudalism in History_, Princeton 1956. Stimulating, but in
+parts antiquated, is M.�Granet, _La F�odalit� Chinoise_, Oslo 1952. I
+rely here on my own research. The instalment procedure has been
+described by H.�Maspero and Ch'i Szu-ho.
+
+p. 31: The interpretation of land-holding and clans follows my own
+research which is influenced by Niida Noboru, Kato Shigeru and other
+Japanese scholars, as well as by G.�Haloun.--Concerning the origin of
+family names see preliminarily Yang Hsi-mei; much further research is
+still necessary. The general development of Chinese names is now studied
+by Wolfgang Bauer.--The spread of cities in this period has been studied
+by Li Chi, _The Formation of the Chinese People_, Cambridge 1928. My
+interpretation relies mainly upon a study of the distribution of
+non-Chinese tribes and data on early cities coming from excavation
+reports (see my "Data on the Structure of the Chinese City" in _Economic
+Development and Cultural Change_, 1956, pp. 253-68, and "The Formation
+of Chinese Civilization" in _Sociologus_ 7, 1959, pp. 97-112).
+
+p. 32: The work on slaves by T.�Pippon, E.�Erkes, M.�Wilbur, Wan
+Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been
+consulted; the interpretation by E.�G.�Pulleyblank, however, was not
+accepted.
+
+p. 33: This interpretation of the "well-field" system relies in part
+upon the work done by Hs� Ti-shan, in part upon M.�Granet and H.
+Maspero, and attempts to utilize insight from general anthropological
+theory and field-work mainly in South-East Asia. Other interpretations
+have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Szu-ho P.
+Demi�ville, Hu Shih, Chi Ch'ao-ting, K.�A.�Wittfogel, and others. Some
+authors, such as Kuo Mo-jo, regard the whole system as an utopia, but
+believe in an original "village community".--The characterization of the
+_Chou-li_ relies in part upon the work done by Hs� Chung-shu and Ku
+Chieh-kang on the titles of nobility, research by Yang K'uan and textual
+criticism by B.�Karlgren, O.�Franke, and again Ku Chieh-kang and his
+school.--The discussion on twin cities is intended to draw attention to
+its West Asian parallels, the "acropolis" or "ark" city, as well as to
+the theories on the difference between Western and Asian cities (M.
+Weber) and the specific type of cities in "dual societies" (H.�Boeke).
+
+p. 34: This is a modified form of the Hu Shih theory.--The problem of
+nomadic agrarian inter-action and conflict has been studied for a later
+period mainly by O.�Lattimore. Here, general anthropological research as
+well as my own have been applied.
+
+p. 36: The supra-stratification theory as developed by R.�Thurnwald has
+been used as analytic tool here.
+
+p. 38: For this period, a novel interpretation is presented by R.�L.
+Walker, _The Multi-State System of China_, Hamden 1953. For the concepts
+of sovereignty, I have used here the _Chou-li_ text and interpretations
+based upon this text.
+
+p. 40: For the introduction of iron and the importance of Ch'i, see Chu
+Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.--Some scholars (G.
+Haloun) tend to interpret attacks such as the one of 660 B.�C.�as attacks
+from outside the borders of China.
+
+p. 41: For Confucius see H.�G.�Creel, _Confucius_, New York 1949. I do
+not, however, follow his interpretation, but rather the ideas of Hu
+Shih, O.�Franke and others.
+
+p. 42: For "ch�n-tzu" and its counterpart "hsiao-jen" see D.�Bodde and
+Ch'en Meng-chia.
+
+p. 43: I rely strongly here upon O.�Franke and Ku Chieh-kang and upon my
+own work on eclipses.
+
+p. 44: I regard the Confucian traditions concerning the model emperors
+of early time as such a falsification. The whole concept of "abdication"
+has been analysed by M.�Granet. The later ceremony of abdication was
+developed upon the basis of the interpretations of Confucius and has
+been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius'
+disciple Meng Tzu, and later Chuang Tzu and Han Fei Tzu were against
+this theory.--As a general introduction to the philosophy of this
+period, Y.�L.�Feng's _History of Chinese Philosophy_, London 1937 has
+still to be recommended, although further research has made many
+advances.--My analysis of the role of Confucianism in society is
+influenced by theories in the field of Sociology of religion.
+
+p. 45: The temple in Turkestan was in Khotan and is already mentioned in
+the _Wei-shu_ chapter 102. The analysis of the famous "Book on the
+transfiguration of Lao Tzu into a Western Barbarian" by Wang Wei-cheng
+is penetrating and has been used here. The evaluation of Lao Tzu and his
+pupils as against Confucius by J.�Needham, in his _Science and
+Civilization in China_, Cambridge 1954 _et sqq._ (in volume 2) is very
+stimulating, though necessarily limited to some aspects only.
+
+p. 47: The concept of _wu-wei_ has often been discussed; some, such as
+Masaaki Matsumoto, interpreted the concept purely in social terms as
+"refusal of actions carrying wordly estimation".
+
+p. 49: Further literature concerning alchemy and breathing exercises is
+found in J.�Needham's book.
+
+
+_Chapter Four_
+
+p. 51: I have used here the general frame-work of R.�L.�Walker, but more
+upon Yang K'uan's studies.
+
+p. 52: The interpretation of the change of myths in this period is based
+in part upon the work done by H.�Maspero, G.�Haloun, and Ku Chieh-kang.
+The analysis of legends made by B.�Karlgren from a philological point of
+view ("Legends and Cults in Ancient China", _The Museum of Far Eastern
+Antiquities, Bulletin_ No. 18, 1946, pp. 199-365) follows another
+direction.
+
+p. 53: The discussion on riding involves the theories concerning
+horse-nomadic tribes and the period of this way of life. It also
+involves the problem of the invention of stirrup and saddle. The saddle
+seems to have been used in China already at the beginning of our period;
+the stirrup seems to be as late as the fifth century A.D. The article by
+A.�Kroeber, _The Ancient Oikumene as an Historic Culture Aggregate_,
+Huxley Memorial Lecture for 1945, is very instructive for our problems
+and also for its theoretical approach.--The custom of attracting
+settlers from other areas in order to have more production as well as
+more man-power seems to have been known in India at the same time.
+
+p. 54: The work done by Kato Shigeru and Niida Noboru on property and
+family has been used here. For the later period, work done by Makino
+Tatsumi has also been incorporated.--Literature on the plough and on
+iron for implements has been mentioned above. Concerning the fallow
+system, I have incorporated the ideas of Kato Shigeru, Oshima Toshikaza,
+Hs� Ti-shan and Wan Kuo-ting. Hs� Ti-shan believes that a kind of
+3-field system had developed by this time. Traces of such a system have
+been observed in modern China (H.�D.�Scholz). For these questions, the
+translation by N.�Lee Swann, _Food and Money in Ancient China_, 1959 is
+very important.
+
+p. 55: For all questions of money and credit from this period down to
+modern times, the best brief introduction is by Lien-sheng Yang, _Money
+and Credit in China_, Cambridge 1952. The _Introduction to the Economic
+History of China_, London 1954, by E.�Stuart Kirby is certainly still
+the best brief introduction into all problems of Chinese Economic
+history and contains a bibliography in Western and Chinese-Japanese
+languages. Articles by Chinese authors on economic problems have been
+translated in E-tu Zen Sun and J.�de Francis, _Chinese Social History_;
+Washington 1956.--Data on the size of early cities have been collected
+by T.�Sekino and Kato Shigeru.
+
+p. 56: T.�Sekino studied the forms of cities. G.�Hentze believes that
+the city even in the Shang period normally had a square plan.--T.�Sekino
+has also made the first research on city coins. Such a privilege and
+such independence of cities disappear later, but occasionally the
+privilege of minting was given to persons of high rank.--K.�A.�Wittfogel,
+_Oriental Despotism_, New Haven 1957 regards irrigation as a key
+economic and social factor and has built up his theory around this
+concept. I do not accept his theory here or later. Evidence seems to
+point towards the importance of transportation systems rather than of
+government-sponsored or operated irrigation systems.--Concerning steel,
+we follow Yang K'uan; a special study by J.�Needham is under
+preparation. Centre of steel production at this time was Wan (later
+Nan-yang in Honan).--For early Chinese law, the study by A.�F.�P.�Hulsew�,
+_Remnants of Han Law_, Leiden 1955 is the best work in English. He does
+not, however, regard Li K'ui as the main creator of Chinese law, though
+Kuo Mo-jo and others do. It is obvious, however, that Han law was not a
+creation of the Han Chinese alone and that some type of code must have
+existed before Han, even if such a code was not written by the man Li
+K'ui. A special study on Li was made by O.�Franke.
+
+p. 57: In the description of border conditions, research by O.�Lattimore
+has been taken into consideration.
+
+p. 59: For Shang Yang and this whole period, the classical work in
+English is still J.�J.�L.�Duyvendak, _The Book of Lord Shang_, London
+1928; the translation by Ma Perleberg of _The Works of Kung-sun
+Lung-tzu_, Hongkong 1952 as well as the translation of the _Economic
+Dialogues in Ancient China: The Kuan-tzu_, edited by L.�Maverick, New
+Haven 1954 have not found general approval, but may serve as
+introductions to the way philosophers of our period worked. Han Fei Tzu
+has been translated by W.�K.�Liao, _The Complete Works of Han Fei Tzu_,
+London 1939 (only part 1).
+
+p. 60: Needham does not have such a positive attitude towards Tsou Yen,
+and regards Western influences upon Tsou Yen as not too likely. The
+discussion on pp. 60-1 follows mainly my own researches.
+
+p. 61: The interpretation of secret societies is influenced by general
+sociological theory and detailed reports on later secret societies. S.
+Murayama and most modern Chinese scholars stress almost solely the
+social element in the so-called "peasant rebellions".
+
+
+_Chapter Five_
+
+p. 63: The analysis of the emergence of Ch'in bureaucracy has profitted
+from general sociological theory, especially M.�Weber (see the new
+analysis by R.�Bendix, _Max Weber, an Intellectual Portrait_, Garden
+City 1960, p. 117-157). Early administration systems of this type in
+China have been studied in several articles in the journal _Y�-kung_
+(vol. 6 and 7).
+
+p. 65: In the discussion of language, I use arguments which have been
+brought forth by P.�Serruys against the previously generally accepted
+theories of B.�Karlgren.--For weights and measures I have referred to T.
+Sekino, Liu Fu and Wu Ch'eng-lo.
+
+p. 66: For this period, D.�Bodde's _China's First Unifier_, Leiden 1938
+and his _Statesman, Patriot, and General in Ancient China_, New Haven
+1940 remain valuable studies.
+
+
+_Chapter Six_
+
+p. 71: The basic historical text for this whole period, the _Dynastic
+History of the Han Dynasty_, is now in part available in English
+translation (H.�H.�Dubs, _The History of the Former Han Dynasty_,
+Baltimore 1938, 3 volumes).
+
+p. 72: The description of the gentry is based upon my own research.
+Other scholars define the word "gentry", if applied to China,
+differently (some of the relevant studies are discussed in my note in
+the _Bull. School of Orient. & African Studies_, 1955, p. 373 f.).
+
+p. 73: The theory of the cycle of mobility has been brought forth by Fr.
+L.�K.�Hsu and others. I have based my criticism upon a forthcoming study
+of _Social Mobility in Traditional Chinese Society_. The basic point is
+not the momentary economic or political power of such a family, but the
+social status of the family (_Li-shih yen-chiu_, Peking 1955, No. 4, p.
+122). The social status was, increasingly, defined and fixed by law
+(Ch'� T'ung-tsu).--The difference in the size of gentry and other
+families has been pointed out by a number of scholars such as Fr. L.�K.
+Hsu, H.�T.�Fei, O.�Lang. My own research seems to indicate that gentry
+families, on the average, married earlier than other families.
+
+p. 74: The Han system of examinations or rather of selection has been
+studied by Yang Lien-sheng; and analysis of the social origin of
+candidates has been made in the _Bull. Chinese Studies_, vol. 2, 1941,
+and 3, 1942.--The meaning of the term "Hundred Families" has been
+discussed by W.�Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by
+Hs� T'ung-hsin. It was later also a fiscal term.
+
+p. 75: The analysis of Hsiung-nu society is based mainly upon my own
+research. There is no satisfactory history of these northern federations
+available in English. The compilation of W.�M.�MacGovern, _The Early
+Empires of Central Asia_, Chapel Hill 1939, is now quite antiquated.--An
+attempt to construct a model of Central Asian nomadic social structure
+has been made by E.�E.�Bacon, _Obok, a Study of Social Structure in
+Eurasia_, New York 1958, but the model constructed by B.�Vladimirtsov
+and modified by O.�Lattimore remains valuable.--For origin and
+early-development of Hsiung-nu society see O.�Maenchen, K.�Jettmar, B.
+Bernstam, Uchida Gimpu and many others.
+
+p. 79: Material on the "classes" (_szu min_) will be found in a
+forthcoming book. Studies by Ch'� T'ung-tsu and Tamai Korehiro are
+important here. An up-to-date history of Chinese education is still a
+desideratum.
+
+p. 80: For Tung Chung-shu, I rely mainly upon O.�Franke.--Some scholars
+do not accept this "double standard", although we have clear texts which
+show that cases were evaluated on the basis of Confucian texts and not
+on the basis of laws. In fact, local judges probably only in exceptional
+cases knew the text of the law or had the code. They judged on the basis
+of "customary law".
+
+p. 81: Based mainly upon my own research. K.�A.�Wittfogel, _Oriental
+Despotism_, New Haven 1957, has a different interpretation.
+
+p. 82: Cases in which the Han emperors disregarded the law code were
+studied by Y.�Hisamura.--I have used here studies published in the
+_Bull. of Chinese Studies_, vol. 2 and 3 and in _T�y� gakuho_, vol. 8
+and 9, in addition to my own research.
+
+p. 85: On local administration see Kato Shigeru and Yen Keng-wang's
+studies.
+
+p. 86: The problem of the Chinese gold, which will be touched upon later
+again, has gained theoretical interest, because it could be used as a
+test of M.�Lombard's theories concerning the importance of gold in the
+West (_Annales, Economies, Soci�t�s, Civilisations_, vol. 12, Paris
+1957, No. 1, p. 7-28). It was used in China from _c._ 600 B.C. on in form
+of coins or bars, but disappeared almost completely from A.D. 200 on,
+i.e. the period of economic decline (see L.�S.�Yang, Kato Shigeru).--The
+payment to border tribes occurs many times again in Chinese history down
+to recent times; it has its parallel in British payments to tribes in
+the North-West Frontier Province in India which continued even after the
+Independence.
+
+p. 88: According to later sources, one third of the tributary gifts was
+used in the Imperial ancestor temples, one third in the Imperial
+mausolea, but one third was used as gifts to guests of the Emperor.--The
+trade aspect of the tributes was first pointed but by E.�Parker, later
+by O.�Lattimore, recently by J.�K.�Fairbank.--The importance of Chang
+Ch'ien for East-West contacts was systematically studied by B.�Laufer;
+his _Sino-Iranica_, Chicago 1919 is still a classic.
+
+p. 89: The most important trait which points to foreign trade, is the
+occurrence of glass in Chinese tombs in Indo-China and of glass in China
+proper from the fifth century B.C. on; it is assumed that this glass was
+imported from the Near East, possibly from Egypt (O.�Janse, N.�Egami,
+Seligman).
+
+p. 91: Large parts of the "Discussions" have been translated by Esson M.
+Gale, _Discourses on Salt and Iron_, Leiden 1931; the continuation of
+this translation is in _Jour. Royal As. Society, North-China Branch_
+1934.--The history of eunuchs in China remains to be written. They were
+known since at least the seventh century B.C. The hypothesis has been
+made that this custom had its origin in Asia Minor and spread from there
+(R.�F.�Spencer in _Ciba Symposia_, vol. 8, No. 7, 1946 with references).
+
+p. 92: The main source on Wang Mang is translated by C.�B.�Sargent, _Wang
+Mang, a translation_, Shanghai 1950 and H.�H.�Dubs, _History of the
+Former Han Dynasty_, vol, 3, Baltimore 1955.
+
+p. 93: This evaluation of the "Old character school" is not generally
+accepted. A quite different view is represented by Tjan Tjoe Som and
+R.�P.�Kramers and others who regard the differences between the schools
+as of a philological and not a political kind. I follow here most
+strongly the Chinese school as represented by Ku Chieh-kang and his
+friends, and my own studies.
+
+p. 93: Falsification of texts refers to changes in the Tso-chuan. My
+interpretation relies again upon Ku Chieh-kang, and Japanese
+astronomical studies (Ijima Tadao), but others, too, admit
+falsifications (H.�H.�Dubs); B.�Karlgren and others regard the book as in
+its main body genuine. The other text mentioned here is the _Chou-li_
+which is certainly not written by Wang Mang (_Jung-chai Hs�-pi_ 16), but
+heavily mis-used by him (in general see S.�Uno).
+
+p. 94: I am influenced here by some of H.�H.�Dubs's studies. For this and
+the following period, the work by H.�Bielenstein, _The Restoration of
+the Han Dynasty_, Stockholm 1953 and 1959 is the best monograph.--The
+"equalization offices" and their influence upon modern United States has
+been studied by B.�Bodde in the _Far Eastern Quarterly_, vol. 5, 1946.
+
+p. 95: H.�Bielenstein regards a great flood as one of the main reasons
+for the breakdown of Wang Mang's rule.
+
+p. 98: For the understanding of Chinese military colonies in Central
+Asia as well as for the understanding of military organization, civil
+administration and business, the studies of Lao Kan on texts excavated
+in Central Asia and Kansu are of greatest importance.
+
+p. 101: Mazdaistic elements in this rebellion have been mentioned mainly
+by H.�H.�Dubs. Zoroastrism (Zoroaster born 569 B.C.) and Mazdaism were
+eminently "political" religions from their very beginning on. Most
+scholars admit the presence of Mazdaism in China only from 519 on
+(Ishida Mikinosuke, O.�Franke). Dubs's theory can be strengthened by
+astronomical material.--The basic religious text of this group, the
+"Book of the Great Peace" has been studied by W.�Eichhron, H.�Maspero
+and Ho Ch'ang-ch'�n.
+
+p. 102: For the "church" I rely mainly upon H.�Maspero and W.�Eichhorn.
+
+p. 103: I use here concepts developed by Cheng Chen-to and especially by
+Jung Chao-tsu.
+
+p. 104: Wang Ch'ung's importance has recently been mentioned again by J.
+Needham.
+
+p. 105: These "court poets" have their direct parallel in Western Asia.
+This trend, however, did not become typical in China.--On the general
+history of paper read A.�Kroeber, _Anthropology_, New York 1948, p.
+490f., and Dard Hunter, _Paper Making_, New York 1947 (2nd ed.).
+
+
+_Chapter Seven_
+
+p. 109: The main historical sources for this period have been translated
+by Achilles Fang, _The Chronicle of the Three Kingdoms_, Cambridge,
+Mass. 1952; the epic which describes this time is C.�H.�Brewitt-Taylor,
+_San Kuo, or Romance of the Three Kingdoms_, Shanghai 1925.
+
+p. 112: For problems of migration and settlement in the South, we relied
+in part upon research by Ch'en Y�an and Wang Yi-t'ung.
+
+p. 114: For the history of the Hsiung-nu I am relying mainly upon my own
+studies.
+
+p. 117: This analysis of tribal structure is based mainly upon my own
+research; it differs in detail from the studies by E.�Bacon, _Obok, a
+Study of Social Structure in Eurasia_, New York 1958, B.�Vladimirtsov,
+O.�Lattimore's _Inner Asian Frontiers of China_, New York 1951 (2nd
+edit.) and the studies by L.�M.�J.�Schram, _The Monguors of the
+Kansu-Tibetan Frontier_, Philadelphia 1954 and 1957.
+
+p. 118: The use of the word "Huns" does not imply that we identify the
+early or the late Hsiung-nu with the European Huns. This question is
+still very much under discussion (O.�Maenchen, W.�Haussig, W.�Henning,
+and others).
+
+p. 119: For the history of the early Hsien-pi states see the monograph
+by G.�Schreiber, "The History of the Former Yen Dynasty", in _Monomenta
+Serica_, vol. 14 and 15 (1949-56). For all translations from Chinese
+Dynastic Histories of the period between 220 and 960 the _Catalogue of
+Translations from the Chinese Dynastic Histories for the Period
+220-960_, by Hans H.�Frankel, Berkeley 1957, is a reliable guide.
+
+p. 125: For the description of conditions in Turkestan, especially in
+Tunhuang, I rely upon my own studies, but studies by A.�von Gabein, L.
+Ligeti, J.�R.�Ware, O.�Franke and Tsukamoto Zenry� have been used, too.
+
+p. 133: These songs have first been studied by Hu Shih, later by Chinese
+folklorists.
+
+p. 134: For problems of Chinese Buddhism see Arthur F.�Wright, _Buddhism
+in Chinese History_, Stanford 1959, with further bibliography. I have
+used for this and later periods, in addition to my own sociological
+studies, R.�Michihata, J.�Gernet, and Tamai Korehiro.--It is interesting
+that the rise of land-owning temples in India occurred at exactly the
+same time (R.�S.�Sharma in _Journ. Econ. and Soc. Hist. Orient_, vol. 1,
+1958, p. 316). Perhaps even more interesting, but still unstudied, is
+the existence of Buddhist temples in India which owned land and villages
+which were donated by contributions from China.--For the use of foreign
+monks in Chinese bureaucracies, I have used M.�Weber's theory as an
+interpretative tool.
+
+p. 135: The important deities of Khotan Buddhism are Vaisramana and
+Kubera, (research by P.�Demi�ville, R.�Stein and others).--Where, how,
+and why Hinayana and Mahayana developed as separate sects, is not yet
+studied. Also, a sociological analysis of the different Buddhist sects
+in China has not even been attempted yet.
+
+p. 136: Such public religious disputations were known also in India.
+
+p. 137: Analysis of the tribal names has been made by L.�Bazin.
+
+p. 138-9: The personality type which was the ideal of the Toba
+corresponded closely to the type described by G.�Geesemann, _Heroische
+Lebensform_, Berlin 1943.
+
+p. 142: The Toba occur in contemporary Western sources as Tabar, Tabga�,
+Tafka� and similar names. The ethnic name also occurs as a title (O.
+Pritsak, P.�Pelliot, W.�Haussig and others).--On the _ch�n-t'ien_ system
+cf. the article by Wan Kuo-ting in E-tu Zen Sun, _Chinese Social
+History_, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and
+T'ang Ch'ang-ju.--Census fragments from Tunhuang have been published by
+L.�Giles, Niida Noboru and other Japanese scholars.
+
+p. 143: On slaves for the earlier time see M.�Wilbur, _Slavery in China
+during the Former Han Dynasty_, Chicago 1943. For our period Wang
+Yi-t'ung and especially Niida Noboru and Ch'� T'ung-tsu. I used for this
+discussion Niida, Ch'� and Tamai Korehiro.--For the _pu-ch'�_ I used in
+addition Yang Chung-i, H.�Maspero, E.�Balazs, W.�Eichhorn. Yang's
+article is translated in E-tu Zen Sun's book, _Chinese Social History_,
+pp. 142-56.--The question of slaves and their importance in Chinese
+society has always been given much attention by Chinese Communist
+authors. I believe that a clear distinction between slaves and serfs is
+very important.
+
+p. 145: The political use of Buddhism has been asserted for Japan as
+well as for Korea and Tibet (H.�Hoffmann, _Quellen zur Geschichte der
+tibetischen Bon-Religion_, Mainz 1950, p. 220 f.). A case could be made
+for Burma. In China, Buddhism was later again used as a tool by rulers
+(see below).
+
+p. 146: The first text in which such problems of state versus church are
+mentioned is Mou Tzu (P.�Pelliot transl.). More recently, some of the
+problems have been studied by R.�Michihata and E.�Z�rcher. Michihata
+also studied the temple slaves. Temple families were slightly different.
+They have been studied mainly by R.�Michihata, J.�Gernet and Wang
+Yi-t'ung. The information on T'an-yao is mainly in _Wei-shu_ 114
+(transl. J.�Ware).--The best work on Y�n-kang is now Seiichi Mizuno and
+Toshio Nagahiro, _Y�n-kang. The Buddhist Cave-Temples of the Fifth
+Century A.D.�in North China_, Kyoto 1951-6, thus far 16 volumes. For
+Chinese Buddhist art, the work by Tokiwa Daij� and Sekino Tadashi,
+_Chinese Buddhist Monuments_, Tokyo 1926-38, 5 volumes, is most
+profusely illustrated.--As a general reader for the whole of Chinese
+art, Alexander Soper and L.�Sickman's _The Art and Architecture of
+China_, Baltimore 1956 may be consulted.
+
+p. 147: Zenry� Tsukamoto has analysed one such popular, revolutionary
+Buddhist text from the fifth century A.D.�I rely here for the whole
+chapter mainly upon my own research.
+
+p. 150: On the Ephtalites (or Hephtalites) see R.�Ghirshman and
+Enoki.--The carpet ceremony has been studied by P.�Boodberg, and in a
+comparative way by L.�Olschki, _The Myth of Felt_, Berkeley 1949.
+
+p. 151: For Yang Chien and his time see now A.�F.�Wright, "The Formation
+of Sui Ideology" in John K.�Fairbank, _Chinese Thought and
+Institutions_, Chicago 1957, pp. 71-104.
+
+p. 153: The processes described here, have not yet been thoroughly
+analysed. A preliminary review of literature is given by H.�Wiens,
+_China's March towards the Tropics_, Hamden 1954. I used Ch'en Y�an,
+Wang Yi-t'ung and my own research.
+
+p. 154: It is interesting to compare such hunting parks with the
+"_paradeisos_" (Paradise) of the Near East and with the "Garden of
+Eden".--Most of the data on gardens and manors have been brought
+together and studied by Japanese scholars, especially by Kato Shigeru,
+some also by Ho Tz�-ch'�an.--The disappearance of "village commons" in
+China should be compared with the same process in Europe; both
+processes, however, developed quite differently. The origin of manors
+and their importance for the social structure of the Far East (China as
+well as Japan) is the subject of many studies in Japan and in modern
+China. This problem is connected with the general problem of feudalism
+East and West. The manor (_chuang_: Japanese _sh�_) in later periods has
+been studied by Y.�Sud�. H.�Maspero also devotes attention to this
+problem. Much more research remains to be done.
+
+p. 158: This popular rebellion by Sun En has been studied by W.
+Eichhorn.
+
+p. 163: On foreign music in China see L.�C.�Goodrich and Ch'� T'ung-tsu,
+H.�G.�Farmer, S.�Kishibe and others.--Niida Noboru pointed out that
+musicians belonged to one of the lower social classes, but had special
+privileges because of their close relations to the rulers.
+
+p. 164: Meditative or _Ch'an_ (Japanese: _Zen_) Buddhism in this period
+has been studied by Hu Shih, but further analysis is necessary.--The
+philosophical trends of this period have been analysed by E.
+Balazs.--Mention should also be made of the aesthetic-philosophical
+conversation which was fashionable in the third century, but in other
+form still occurred in our period, the so-called "pure talk"
+(_ch'ing-t'an_) (E.�Balazs, H.�Wilhelm and others).
+
+
+_Chapter Eight_
+
+p. 167: For genealogies and rules of giving names, I use my own research
+and the study by W.�Bauer.
+
+p. 168: For Emperor Wen Ti, I rely mainly upon A.�F.�Wright's
+above-mentioned article, but also upon O.�Franke.
+
+p. 169: The relevant texts concerning the T'u-ch�eh are available in
+French (E.�Chavannes) and recently also in German translation (Liu
+Mau-tsai, _Die chinesischen Nachrichten zur Geschichte der Ost-Turken_,
+Wiesbaden 1958, 2 vol.).--The T�l�s are called T'e-lo in Chinese
+sources; the T'u-y�-hun are called Aza in Central Asian sources (P.
+Pelliot, A.�Minorsky, F.�W.�Thomas, L.�Hambis, _et al._). The most
+important text concerning the T'u-y�-hun had been translated by Th. D.
+Caroll, _Account of the T'u-y�-hun in the History of the Chin Dynasty_,
+Berkeley 1953.
+
+p. 171: The transcription of names on this and on the other maps could
+not be adjusted to the transcription of the text for technical reasons.
+
+p. 172: It is possible that I have underestimated the role of Li Y�an. I
+relied here mainly upon O.�Franke and upon W.�Bingham's _The Founding of
+the T'ang Dynasty_, Baltimore 1941.
+
+p. 173: The best comprehensive study of T'ang economy in a Western
+language is still E.�Balazs's work. I relied, however, strongly upon Wan
+Kuo-ting, Yang Chung-i, Kato Shigeru, J.�Gernet, T.�Naba, Niida Noboru,
+Yoshimi Matsumoto.
+
+p. 173-4: For the description of the administration I used my own
+studies and the work of R.�des Rotours; for the military organization I
+used Kikuehi Hideo. A real study of Chinese army organization and
+strategy does not yet exist. The best detailed study, but for the Han
+period, is written by H.�Maspero.
+
+p. 174: For the first occurrence of the title _tu-tu_ we used W.
+Eichhorn; in the form _tutuq_ the title occurs since 646 in Central Asia
+(J.�Hamilton).
+
+p. 177: The name T'u-fan seems to be a transcription of T�p�t which, in
+turn, became our Tibet. (J.�Hamilton).--The Uigurs are the Hui-ho or
+Hui-hu of Chinese sources.
+
+p. 179: On relations with Central Asia and the West see Ho Chien-min and
+Hsiang Ta, whose classical studies on Ch'ang-an city life have recently
+been strongly criticized by Chinese scholars.--Some authors (J.�K.
+Rideout) point to the growing influence of eunuchs in this period.--The
+sources paint the pictures of the Empress Wu in very dark colours. A
+more detailed study of this period seems to be necessary.
+
+p. 180: The best study of "family privileges" (_yin_) in general is by
+E.�A.�Kracke, _Civil Service in Early Sung China_, Cambridge, Mass. 1953.
+
+p. 180-1: The economic importance of organized Buddhism has been studied
+by many authors, especially J.�Gernet, Yang Lien-sheng, Ch'�an
+Han-sheng, K.�Tamai and R.�Michihata.
+
+p. 182: The best comprehensive study on T'ang prose in English is still
+E.�D.�Edwards, _Chinese Prose Literature of the T'ang Period_, London
+1937-8, 2 vol. On Li T'ai-po and Po Ch�-i we have well-written books by
+A.�Waley, _The Poetry and Career of Li Po_, London 1951 and _The Life
+and Times of Po Ch�-i_, London 1950.--On the "free poem" (_tz'u_), which
+technically is not a free poem, see A.�Hoffmann and Hu Shih. For the
+early Chinese theatre, the classical study is still Wang Kuo-wei's
+analysis, but there is an almost unbelievable number of studies
+constantly written in China and Japan, especially on the later theatre
+and drama.
+
+p. 184: Conditions at the court of Hs�an Tsung and the life of Yang
+Kui-fei have been studied by Howard Levy and others, An Lu-shan's
+importance mainly by E.�G.�Pulleyblank, _The Background of the Rebellion
+of An Lu-shan_, London 1955.
+
+p. 187: The tax reform of Yang Yen has been studied by K.�Hino; the most
+important figures in T'ang economic history are Liu Yen (studied by Ch�
+Ch'ing-y�an) and Lu Chih (754-805; studied by E.�Balazs and others).
+
+p. 187-8: The conditions at the time of this persecution are well
+described by E.�O.�Reischauer, _Ennin's Travels in T'ang China_, New York
+1955, on the basis of his _Ennin's Diary. The Record of a Pilgrimage to
+China_, New York 1955. The persecution of Buddhism has been analysed in
+its economic character by Niida Noboru and other Japanese
+scholars.--Metal statues had to be delivered to the Salt and Iron Office
+in order to be converted into cash; iron statues were collected by local
+offices for the production of agricultural implements; figures in gold,
+silver or other rare materials were to be handed over to the Finance
+Office. Figures made of stone, clay or wood were not affected
+(Michihata).
+
+p. 189: It seems important to note that popular movements are often not
+led by simple farmers or members of the lower classes. There are other
+salt merchants and persons of similar status known as leaders.
+
+p. 190: For the Sha-t'o, I am relying upon my own research. Tatars are
+the Ta-tan of the Chinese sources. The term is here used in a narrow
+sense.
+
+p. 195: Many Chinese and Japanese authors have a new period begin with
+the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li
+Chien-nung), while others prefer a cut already in the Middle of the
+T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the
+period which we called "Modern Times" is at best a sub-period within a
+larger period which really started with what we called "Medieval China".
+
+p. 196: For the change in the composition of the gentry, I am using my
+own research.--For clan rules, clan foundations, etc., I used D.�C.
+Twitchett, J.�Fischer, Hu Hsien-chin, Ch'� T'ung-tsu, Niida Noboru and
+T.�Makino. The best analysis of the clan rules is by Wang Hui-chen in
+D.�S.�Nivison, _Confucianism in Action_, Stanford 1959, p. 63-96.--I do
+not regard such marriage systems as "survivals" of ancient systems which
+have been studied by M.�Granet and systematically analysed by C.
+L�vy-Strauss in his _Les structures �l�mentaires de la parent�_, Paris
+1949, pp. 381-443. In some cases, the reasons for the establishment of
+such rules can still be recognized.--A detailed study of despotism in
+China still has to be written. K.�A.�Wittfogel's _Oriental Despotism_,
+New Haven 1957 does not go into the necessary detailed work.
+
+p. 197: The problem of social mobility is now under study, after
+preliminary research by K.�A.�Wittfogel, E.�Kracke, myself and others. E.
+Kracke, Ho Ping-ti, R.�M.�Marsh and I are now working on this topic.--For
+the craftsmen and artisans, much material has recently been collected by
+Chinese scholars. I have used mainly Li Chien-nung and articles in
+_Li-shih yen-chiu_ 1955, No. 3 and in _Mem. Inst. Orient. Cult._
+1956.--On the origin of guilds see Kato Shigeru; a general study of
+guilds and their function has not yet been made (preliminary work by P.
+Maybon, H.�B.�Morse, J.�St. Burgess, K.�A.�Wittfogel and others).
+Comparisons with Near-Eastern guilds on the one hand and with Japanese
+guilds on the other, are quite interesting but parallels should not be
+over-estimated. The _tong_ of U.�S.�Chinatowns (_tang_ in Mandarin) are
+late and organizations of businessmen only (S.�Yokoyama and Laai
+Yi-faai). They are not the same as the _hui-kuan_.
+
+p. 198: For the merchants I used Ch'� T'ung-tsu, Sung Hsi and Wada
+Kiyoshi.--For trade, I used extensively Ch'�an Han-sheng and J.
+Kuwabara.--On labour legislation in early modern times I used Ko
+Ch'ang-chi and especially Li Chien-nung, also my own studies.--On
+strikes I used Kato Shigeru and modern Chinese authors.--The problem of
+"vagrants" has been taken up by Li Chien-nung who always refers to the
+original sources and to modern Chinese research.--The growth of cities,
+perhaps the most striking event in this period, has been studied for the
+earlier part of our period by Kato Shigeru. Li Chien-nung also deals
+extensively with investments in industry and agriculture. The problem as
+to whether China would have developed into an industrial society without
+outside stimulus is much discussed by Marxist authors in China.
+
+p. 199: On money policy see Yang Lien-sheng, Kato Shigeru and others.
+
+p. 200: The history of one of the Southern Dynasties has been translated
+by Ed. H.�Schafer, _The Empire of Min_, Tokyo 1954; Schafer's
+annotations provide much detail for the cultural and economic conditions
+of the coastal area.--For tea and its history, I use my own research;
+for tea trade a study by K.�Kawakami and an article in the _Frontier
+Studies_, vol. 3, 1943.--Salt consumption according to H.�T.�Fei,
+_Earthbound China_, 1945, p. 163.
+
+p. 201: For salt I used largely my own research. For porcelain
+production Li Chien-nung and other modern articles.--On paper, the
+classical study is Th. F.�Carter, _The Invention of Printing in China_,
+New York 1925 (a revised edition now published by L.�C.�Goodrich).
+
+p. 202: For paper money in the early period, see Yang Lien-sheng, _Money
+and Credit in China_, Cambridge, Mass., 1952. Although the origin of
+paper money seems to be well established, it is interesting to note that
+already in the third century A.D. money made of paper was produced and
+was burned during funeral ceremonies to serve as financial help for the
+dead. This money was, however, in the form of coins.--On iron money see
+Yang Lien-sheng; I also used an article in _Tung-fang tsa-chih_, vol.
+35, No. 10.
+
+p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K.�A.
+Wittfogel and Feng Chia-sheng, _History of Chinese Society. Liao_,
+Philadelphia 1949.
+
+p. 204: For these dynasties, I rely upon my own research.--Niida Noboru
+and Kato Shigeru have studied adoption laws; our specific case has in
+addition been studied by M.�Kurihara. This system of adoptions is
+non-Chinese and has its parallels among Turkish tribes (A.�Kollantz,
+Abdulkadir Inan, Osman Turan).
+
+p. 207: For the persecution I used K.�Tamai and my own research.
+
+p. 211: This is based mainly upon my own research.--The remark on tax
+income is from Ch'�an Han-sheng.
+
+p. 212: Fan Chung-yen has been studied recently by J.�Fischer and D.
+Twitchett, but these notes on price policies are based upon my own
+work.--I regard the statement, that it was the gentry which prevented
+the growth of an industrial society--a statement which has often been
+made before--as preliminary, and believe that further research,
+especially in the growth of cities and urban institutions may lead to
+quite different explanations.--On estate management I relied on Y.
+Sud�'s work.
+
+p. 213: Research on place names such as mentioned here, has not yet been
+systematically done.--On _i-chuang_ I relied upon the work by T.�Makino
+and D.�Twitchett.--This process of tax-evasion has been used by K.�A.
+Wittfogel (1938) to construct a theory of a crisis cycle in China. I do
+not think that such far-reaching conclusions are warranted.
+
+p. 214: This "law" was developed on the basis of Chinese materials from
+different periods as well as on materials from other parts of Asia.--In
+the study of tenancy, cases should be studied in which wealthier farmers
+rent additional land which gets cultivated by farm labourers. Such cases
+are well known from recent periods, but have not yet been studied in
+earlier periods. At the same time, the problem of farm labourers should
+be investigated. Such people were common in the Sung time. Research
+along these lines could further clarify the importance of the so-called
+"guest families" (_k'o-hu_) which were alluded to in these pages. They
+constituted often one third of the total population in the Sung period.
+The problem of migration and mobility might also be clarified by
+studying the _k'o-hu._
+
+p. 215: For Wang An-shih, the most comprehensive work is still H.
+Williamson's _Wang An-shih_, London 1935, 3 vol., but this work in no
+way exhausts the problems. We have so much personal data on Wang that a
+psychological study could be attempted; and we have since Williamson's
+time much deeper insight into the reforms and theories of Wang. I used,
+in addition to Williamson, O.�Franke, and my own research.
+
+p. 216: Based mainly upon Ch'� T'ung-tsu.--For the social legislation
+see Hs� I-t'ang; for economic problems I used Ch'�an Han-sheng, Ts'en
+Chung-mien and Liu Ming-shu.--Most of these relief measures had their
+precursors in the T'ang period.
+
+p. 217: It is interesting to note that later Buddhism gave up its
+"social gospel" in China. Buddhist circles in Asian countries at the
+present time attempt to revive this attitude.
+
+p. 218: For slaughtering I used A.�Hulsew�; for greeting R.�Michihata;
+on law Ch'� T'ung-tsu; on philosophy I adapted ideas from Chan
+Wing-sit.
+
+p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus
+far, we have in English mainly the essays by Feng Yu-lan (transl. and
+annotated by D.�Bodde) in the _Harvard Journal of Asiat. Stud._, vol. 7,
+1942. T.�Makino emphasized Chu's influence upon the Far East, J.�Needham
+his interest in science.
+
+p. 220: For Su Tung-p'o as general introduction see Lin Yutang, _The Gay
+Genius. The Life and Times of Su Tungpo_, New York 1947.--For painting,
+I am using concepts of A.�Soper here.
+
+p. 222: For this period the standard work is K.�A.�Wittfogel and Feng
+Chia-sheng, _History of Chinese Society, Liao_, Philadelphia
+1949.--Po-hai had been in tributary relations with the dynasties of
+North China before its defeat, and resumed these from 932 on; there were
+even relations with one of the South Chinese states; in the same way,
+Kao-li continuously played one state against the other (M.�Rogers _et
+al._).
+
+p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.
+
+p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia
+Ssu-tao upon H.�Franke.
+
+p. 229: The Ju-ch�n (Jurchen) are also called N�-chih and N�-chen, but
+Ju-chen seems to be correct (_Studia Serica_, vol. 3, No. 2).
+
+
+_Chapter Ten_
+
+p. 233: I use here mainly Meng Ssu-liang, but also others, such as Ch�
+Ch'ing-y�an and Li Chien-nung.--The early political developments are
+described by H.�D.�Martin, _The Rise of Chingis Khan and his Conquest of
+North China_, Baltimore 1950.
+
+p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao
+(Sun K'o-k'uan and especially the study in _Kita Aziya gakuho_, vol. 2).
+
+pp. 236-7: For taxation and all other economic questions I have relied
+upon Wan Kuo-ting and especially upon H.�Franke. The first part of the
+main economic text is translated and annotated by H.�F.�Schurmann,
+_Economic Structure of the Y�an Dynasty_, Cambridge, Mass., 1956.
+
+p. 237: On migrations see T.�Makino and others.--For the system of
+communications during the Mongol time and the privileges of merchants, I
+used P.�Olbricht.
+
+p. 238: For the popular rebellions of this time, I used a study in the
+_Bull. Acad. Sinica_, vol. 10, 1948, but also Meng Ssu-liang and others.
+
+p. 239: On the White Lotos Society (Pai-lien-hui) see note to previous
+page and an article by Hagiwara Jumpei.
+
+p. 240: H.�Serruys, _The Mongols in China during the Hung-wu Period_,
+Bruges 1959, has studied in this book and in an article the fate of
+isolated Mongol groups in China after the breakdown of the dynasty.
+
+pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A.
+Waley, _The Travels of an Alchemist_, London 1931.
+
+p. 242: _Hsi-hsiang-chi_ has been translated by S.�I.�Hsiung. _The
+Romance of the Western Chamber_, London 1935. All important analytic
+literature on drama and theatre is written by Chinese and Japanese
+authors, especially by Yoshikawa K�jir�.--For Bon and early Lamaism, I
+used H.�Hoffmann.
+
+p. 243: Lamaism in Mongolia disappeared later, however, and was
+re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the
+sixteenth century. See R.�J.�Miller, _Monasteries and Culture Change in
+Inner Mongolia_, Wiesbaden 1959.
+
+p. 245: Much more research is necessary to clarify Japanese-Chinese
+relations in this period, especially to determine the size of trade.
+Good material is in the article by S.�Iwao. Important is also S.�Sakuma
+and an article in _Li-shih yen-chiu_ 1955, No. 3. For the loss of coins,
+I relied upon D.�Brown.
+
+p. 246: The necessity of transports of grain and salt was one of the
+reasons for the emergence of the Hsin-an and Hui-chou merchants. The
+importance of these developments is only partially known (studies mainly
+by H.�Fujii and in _Li-shih-yen-chiu_ 1955, No. 3). Data are also in an
+unpublished thesis by Ch. Mac Sherry, _The Impairment of the Ming
+Tributary System_, and in an article by Wang Ch'ung-wu.
+
+p. 247: The tax system of the Ming has been studied among others by
+Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in
+the periods before the reform. For the land grants, I used Wan
+Kuo-ting's data.
+
+p. 248: Based mainly upon my own research. On the progress of
+agriculture wrote Li Chien-nung and also Kato Shigeru and others.
+
+p. 250: I believe that further research would discover that the
+"agrarian revolution" was a key factor in the economic and social
+development of China. It probably led to another change in dietary
+habits; it certainly led to a greater labour input per person, i.e. a
+higher number of full working days per year than before. It may be--but
+only further research can try to show this--that the "agrarian
+revolution" turned China away from technology and industry.--On cotton
+and its importance see the studies by M.�Amano, and some preliminary
+remarks by P.�Pelliot.
+
+p. 250-1: Detailed study of Central Chinese urban centres in this time
+is a great desideratum. My remarks here have to be taken as very
+preliminary. Notice the special character of the industries
+mentioned!--The porcelain centre of Ching-t�-chen was inhabited by
+workers and merchants (70-80 per cent of population); there were more
+than 200 private kilns.--On indented labour see Li Chien-nung, H.�Iwami
+and Y.�Yamane.
+
+p. 253: On _pien-wen_ I used R.�Michihata, and for this general
+discussion R.�Irvin, _The Evolution of a Chinese Novel_, Cambridge,
+Mass., 1953, and studies by J.�Jaworski and J.�Prusek. Many texts of
+_pien-wen_ and related styles have been found in Tunhuang and have been
+recently republished by Chinese scholars.
+
+p. 254: _Shui-hu-chuan_ has been translated by Pearl Buck, _All Men are
+Brothers_. Parts of _Hsi-yu-chi_ have been translated by A.�Waley,
+_Monkey_, London 1946. _San-kuo yen-i_ is translated by C.�H.
+Brewitt-Taylor, _San Kuo, or Romance of the Three Kingdoms_, Shanghai
+1925 (a new edition just published). A purged translation of
+Chin-p'ing-mei is published by Fr. Kuhn _Chin P'ing Mei_, New York 1940.
+
+p. 255: Even the "murder story" was already known in Ming time. An
+example is R.�H.�van Gulik, _Dee Gong An. Three Murder Cases solved by
+Judge Dee_, Tokyo 1949.
+
+p. 256: For a special group of block-prints see R.�H.�van Gulik, _Erotic
+Colour Prints of the Ming Dynasty_, Tokyo 1951. This book is also an
+excellent introduction into Chinese psychology.
+
+p. 257: Here I use work done by David Chan.
+
+p. 258: I use here the research of J.�J.�L.�Duyvendak; the reasons for the
+end of such enterprises, as given here, may not exhaust the problem. It
+may not be without relevance that Cheng came from a Muslim family. His
+father was a pilgrim (_Bull. Chin. Studies_, vol. 3, pp. 131-70).
+Further research is desirable.--Concerning folk-tales, I use my own
+research. The main Buddhist tales are the _Jataka_ stories. They are
+still used by Burmese Buddhists in the same context.
+
+p. 260: The Oirat (Uyrat, Ojrot, �l�t) were a confederation of four
+tribal groups: Khosud, Dzungar, D�rbet and Turgut.
+
+p. 261: I regard this analysis of Ming political history as
+unsatisfactory, but to my knowledge no large-scale analysis has been
+made.--For Wang Yang-ming I use mainly my own research.
+
+p. 262: For the coastal salt-merchants I used Lo Hsiang-lin's work.
+
+p. 263: On the rifles I used P.�Pelliot. There is a large literature on
+the use of explosives and the invention of cannons, especially L.�C.
+Goodrich and Feng Chia-sheng in _Isis_, vol. 36, 1946 and 39, 1948; also
+G.�Sarton, Li Ch'iao-p'ing, J.�Prusek, J.�Needham, and M.�Ishida; a
+comparative, general study is by K.�Huuri, _Studia Orientalia_ vol. 9,
+1941.--For the earliest contacts of Wang with Portuguese, I used Chang
+Wei-hua's monograph.--While there is no satisfactory, comprehensive
+study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i,
+_Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher_, New
+Haven 1944, can be used.
+
+p. 264: For Tao-yen, I used work done by David Chan.--Large parts of the
+_Yung-lo ta-tien_ are now lost (Kuo Po-kung, Y�an T'ung-li studied this
+problem).
+
+p. 265: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the
+T�met. He is also responsible for the re-introduction of Lamaism into
+Mongolia (1574).--For the border trade I used Hou Jen-chih; for the
+Shansi bankers Ch'en Ch'i-t'ien and P.�Maybon. For the beginnings of the
+Manchu see Fr. Michael, _The Origins of Manchu Rule in China_, Baltimore
+1942.
+
+p. 266: M.�Ricci's diary (Matthew Ricci, _China in the Sixteenth
+Century_, The Journals of M.�Ricci, transl. by L.�J.�Gallagher, New York
+1953) gives much insight into the life of Chinese officials in this
+period. Recently, J.�Needham has tried to show that Ricci and his
+followers did not bring much which was not already known in China, but
+that they actually attempted to prevent the Chinese from learning about
+the Copernican theory.
+
+p. 267: For Coxinga I used M.�Eder's study.--The Szechwan rebellion was
+led by Chang Hsien-chung (1606-1647); I used work done by James B.
+Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published
+the important documents concerning all late Ming peasant
+rebellions.--For the Tung-lin academy see Ch. O.�Hucker in J.�K.
+Fairbank, _Chinese Thought and Institutions_, Chicago 1957. A different
+interpretation is indicated by Shang Y�eh in _Li-shih yen-chiu_ 1955,
+No. 3.
+
+p. 268: Work on the "academies" (shu-y�an) in the earlier time is done
+by Ho Yu-shen.
+
+p. 273-4: Based upon my own, as yet unfinished research.
+
+p. 274: The population of 1953 as given here, includes Chinese outside
+of mainland China. The population of mainland China was 582.6 millions.
+If the rate of increase of about 2 per cent per year has remained the
+same, the population of mainland China in 1960 may be close to 680
+million. In general see P.�T.�Ho. _Studies on the Population of China,
+1368-1953_, Cambridge, Mass., 1960.
+
+p. 276: Based upon my own research.--A different view of the development
+of Chinese industry is found in Norman Jacobs, _Modern Capitalism and
+Eastern Asia_, Hong Kong 1958. Jacobs attempted a comparison of China
+with Japan and with Europe. Different again is Marion Levy and Shih
+Kuo-heng, _The Rise of the Modern Chinese Business Class_, New York
+1949. Both books are influenced by the sociological theories of T.
+Parsons.
+
+p. 277: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four �l�t
+(Oirat) groups. I am here using studies by E.�Haenisch and W.�Fuchs.
+
+p. 278: Tibetan-Chinese relations have been studied by L.�Petech, _China
+and Tibet in the Early 18th Century_, Leiden 1950. A collection of data
+is found in M.�W.�Fisher and L.�E.�Rose, _England, India, Nepal, Tibet,
+China, 1765-1958_, Berkeley 1959. For diplomatic relations and tributary
+systems of this period, I referred to J.�K.�Fairbank and Teng Ssu-y�.
+
+p. 279: For Ku Yen-wu, I used the work by H.�Wilhelm.--A man who
+deserves special mention in this period is the scholar Huang Tsung-hsi
+(1610-1695) as the first Chinese who discussed the possibility of a
+non-monarchic form of government in his treatise of 1662. For him see
+Lin Mou-sheng, _Men and Ideas_, New York 1942, and especially W.�T.�de
+Bary in J.�K.�Fairbank, _Chinese Thought and Institutions_, Chicago 1957.
+
+p. 280-1: On Liang see now J.�R.�Levenson, _Liang Ch'i-ch'ao and the Mind
+of Modern China_, London 1959.
+
+p. 282: It should also be pointed out that the Yung-cheng emperor was
+personally more inclined towards Lamaism.--The Kalmuks are largely
+identical with the above-mentioned �l�t.
+
+p. 286: The existence of _hong_ is known since 1686, see P'eng Tse-i and
+Wang Chu-an's recent studies. For details on foreign trade see H.�B.
+Morse, _The Chronicles of the East India Company Trading to China
+1635-1834_, Oxford 1926, 4 vols., and J.�K.�Fairbank, _Trade and
+Diplomacy on the China Coast. The Opening of the Treaty Ports,
+1842-1854_, Cambridge, Mass., 1953, 2 vols.--For Lin I used G.�W.
+Overdijkink's study.
+
+p. 287: On customs read St. F.�Wright, _Hart and the Chinese Customs_,
+Belfast 1950.
+
+p. 288: For early industry see A.�Feuerwerker, _China's Early
+Industrialization: Sheng Hsuan-huai (1844-1916)_, Cambridge, Mass.,
+1958.
+
+p. 289: The Chinese source materials for the Mohammedan revolts have
+recently been published, but an analysis of the importance of the
+revolts still remains to be done.--On T'ai-p'ing much has been
+published, especially in the last years in China, so that all documents
+are now available. I used among other studies, details brought out by Lo
+Hsiang-lin and Jen Yu-wen.
+
+p. 291: For Ts�ng Kuo-fan see W.�J.�Hail, _Ts�ng Kuo-fan and the
+T'ai-p'ing Rebellion_, Hew Haven 1927, but new research on him is about
+to be published.--The Nien-fei had some connection with the White Lotos,
+and were known since 1814, see Chiang Siang-tseh, _The Nien Rebellion_,
+Seattle 1954.
+
+p. 292: Little is known about Salars, Dungans and Yakub Beg's rebellion,
+mainly because relevant Turkish sources have not yet been studied. On
+Salars see L.�Schram, _The Monguors of Kansu_, Philadelphia 1954, p. 23
+and P.�Pelliot; on Dungans see I.�Grebe.
+
+p. 293: On Tso Tsung-t'ang see G.�Ch'en, _Tso Tung T'ang, Pioneer
+Promotor of the Modern Dockyard and Woollen Mill in China_, Peking 1938,
+and _Yenching Journal of Soc. Studies_, vol. 1.
+
+p. 294: For the T'ung-chih period, see now Mary C.�Wright, _The Last
+Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874_,
+Stanford 1957.
+
+p. 295: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of
+this group.--Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese:
+Chao-hsien, Japanese: Ch�sen.
+
+p. 297: M.�C.�Wright has shown the advisers around the ruler before the
+Empress Dowager realized the severity of the situation.--Much research
+is under way to study the beginning of industrialization of Japan, and
+my opinions have changed greatly, due to the research done by Japanese
+scholars and such Western scholars as H.�Rosovsky and Th. Smith. The
+eminent role of the lower aristocracy has been established. Similar
+research for China has not even seriously started. My remarks are
+entirely preliminary.
+
+p. 298: For K'ang Yo-wei, I use work done by O.�Franke and others. See
+M.�E.�Cameron, _The Reform Movement in China, 1898-1921_, Stanford 1921.
+The best bibliography for this period is J.�K.�Fairbank and Liu
+Kwang-ching, _Modern China: A Bibliographical Guide to Chinese Works,
+1898-1937_, Cambridge, Mass., 1950. The political history of the time,
+as seen by a Chinese scholar, is found in Li Chien-nung, _The Political
+History of China 1840-1928_, Princeton 1956.--For the social history of
+this period see Chang Chung-li, _The Chinese Gentry_, Seattle 1955.--For
+the history of Tzu Hsi Bland-Backhouse, _China under the Empress
+Dowager_, Peking 1939 (Third ed.) is antiquated, but still used For some
+of K'ang Yo-wei's ideas, see now K'ang Yo-wei: _Ta T'ung Shu. The One
+World Philosophy of K'ang Yu Wei_, London 1957.
+
+
+_Chapter Eleven_
+
+p. 305: I rely here partly upon W.�Franke's recent studies. For Sun
+Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P.�Linebarger,
+_Sun Yat-sen and the Chinese Republic_, Cambridge, Mass., 1925 and his
+later _The Political Doctrines of Sun Yat-sen_, Baltimore
+1937.--Independently, Atat�rk in Turkey developed a similar theory of
+the growth of democracy.
+
+p. 306: On student activities see Kiang Wen-han, _The Ideological
+Background of the Chinese Student Movement_, New York 1948.
+
+p. 307: On Hu Shih see his own _The Chinese Renaissance_, Chicago 1934
+and J.�de Francis, _Nationalism and Language Reform in China_, Princeton
+1950.
+
+p. 310: The declaration of Independence of Mongolia had its basis in the
+early treaty of the Mongols with the Manchus (1636): "In case the Tai
+Ch'ing Dynasty falls, you will exist according to previous basic laws"
+(R.�J.�Miller, _Monasteries and Culture Change in Inner Mongolia_,
+Wiesbaden 1959, p. 4).
+
+p. 315: For the military activities see F.�F.�Liu, _A Military History of
+Modern China, 1924-1949_, Princeton 1956. A marxist analysis of the 1927
+events is Manabendra Nath Roy, _Revolution and Counter-Revolution in
+China_, Calcutta 1946; the relevant documents are translated in C.
+Brandt, B.�Schwartz, J.�K.�Fairbank, _A Documentary History of Chinese
+Communism_, Cambridge, Mass., 1952.
+
+
+_Chapter Twelve_
+
+For Mao Tse-tung, see B.�Schwartz, _Chinese Communism and the Rise of
+Mao_, second ed., Cambridge, Mass., 1958. For Mao's early years; see
+J.�E.�Rue, _Mao Tse-tung in Opposition, 1927-1935_, Stanford 1966. For
+the civil war, see L.�M.�Chassin, _The Communist Conquest of China: A
+History of the Civil War, 1945-1949_, Cambridge, Mass., 1965. For
+brief information on communist society, see Franz Schurmann and Orville
+Schell, _The China Reader_, vol. 3, _Communist China_, New York 1967.
+For problems of organization, see Franz Schurmann, _Ideology and
+Organization in Communist China_, Berkeley 1966. For cultural and
+political problems, see Ho Ping-ti, _China in Crisis_, vol. 1, _China's
+Heritage and the Communist Political System_, Chicago 1968. For a
+sympathetic view of rural life in communist China, see J.�Myrdal,
+_Report from a Chinese Village_, New York 1965; for Taiwanese village
+life, see Bernard Gallin, _Hsin Hsing, Taiwan: A Chinese Village in
+Change_, Berkeley 1966.
+
+
+
+
+INDEX
+
+
+Abahai, ruler, 269
+
+Abdication, 92-3, 182, 227, 302
+
+Aborigines, 323
+
+Absolutism, 196, 208, 210, 232 ff., 247
+  (_see_ Despotism, Dictator, Emperor,
+  Monarchy)
+
+Academia Sinica, 307
+
+Academies, 221, 255, 267-8, 272
+
+Administration, 64, 82-4, 138 ff, 142, 144, 154, 170, 173-4, 210;
+  provincial, 85
+  (_see_ Army, Feudalism, Bureaucracy)
+
+Adobe (Mud bricks), 16, 19, 32
+
+Adoptions, 204
+
+Afghanistan, 146-7
+
+Africa, 201, 259
+
+Agriculture, development, 54, 198 ff., 249-50, 275;
+  Origin of, 10, 11;
+  of Shang, 21;
+  shifting (denshiring), 32
+  (_see_ Wheat, Millet, Rice, Plough, Irrigation, Manure, Canals,
+  Fallow)
+
+An Ti, ruler of Han, 92
+
+Ainu, tribes, 9
+
+Ala-shan mountain range, 88
+
+Alchemy, 49, 104
+  (_see_) Elixir
+
+Alexander the Great, 146-7
+
+America, 276, 300
+  (_see_) United States
+
+Amithabha, god, 188
+
+Amur, river, 278
+
+An Chi-yeh, rebel, 293
+
+An Lu-shan, rebel, 184 ff., 189, 195
+
+Analphabetism, 65
+
+Anarchists, 47
+
+Ancestor, cult, 24, 32
+
+Aniko, sculptor, 243
+
+Animal style, 17
+
+Annam (Vietnam), 97, 160, 209, 219, 234, 258, 265, 295, 330
+
+Anyang (Yin-ch'�), 19, 22
+
+Arabia, 258; Arabs, 104, 178, 183, 185, 266
+
+Architecture, 147, 256
+
+Aristocracy, 25, 26, 36, 122, 195
+  (_see_ Nobility, Feudalism)
+
+Army, cost of, 211;
+  organization of, 24, 118, 174, 236;
+  size of, 53;
+  Tibetan, 127
+  (_see_ War, Militia, tu-tu, pu-ch'�)
+
+Art, Buddhist, 146-7
+  (_see_ Animal style, Architecture, Pottery, Painting, Sculpture,
+  Wood-cut)
+
+Arthashastra, book, attributed to Kautilya, 59
+
+Artisans, 19, 26, 31, 33, 56, 79;
+  Organizations of, 58
+  (_see_ Guilds, Craftsmen)
+
+Assimilation, 144, 152, 166, 244
+  (_see_ Colonization)
+
+Astronomy, 266
+
+Austroasiats, 10, 12
+
+Austronesians, 12
+
+Avars, tribe, 140
+  (_see_ Juan-juan)
+
+Axes, prehistoric, 10
+
+Axis, policy, 51
+
+
+Babylon, 65
+
+Baghdad, city, 201
+
+Balasagun, city, 224
+
+Ballads, 133
+
+Banks, 265, 305
+
+Banner organization, 268, 291
+
+Barbarians (Foreigners), 109, 122, 246, 278
+
+Bastards, 41
+
+Bath, 217
+
+Beg, title, 289
+
+Beggar, 239
+
+Bengal, 250, 283
+
+Boat festival, 23
+
+Bokhara (Bukhara), city, 46
+
+Bon, religion, 242
+
+Bondsmen, 31, 117, 143
+  (_see pu-ch'�_, Serfs, Feudalism)
+
+Book, printing, 201; B burning, 66
+
+B�ttger, inventor, 256
+
+Boxer rebellion, 299
+
+Boycott, 314
+
+Brahmans, Indian caste, 34, 106
+
+Brain drain, 326
+
+Bronze, 17, 20, 22, 29, 33, 40, 106, 180-1
+  (_see_ Metal, Copper)
+
+Brothel (Tea-house), 163, 217
+
+Buddha, 46; Buddhism, 20, 106, 108-9, 125, 127, 133 ff., 145 ff., 150,
+  161, 164, 168, 178, 179 ff., 188, 217, 218, 236, 257, 259, 266, 306
+  (_see_ Ch'an, Vinaya, Sects, Amithabha, Maitreya, Hinayana,
+Mahayana, Monasteries, Church, Pagoda, Monks, Lamaism)
+
+Budget, 168, 175, 209, 210, 215, 261
+  (_see_ Treasury, Inflation, Deflation)
+
+Bullfights, 182
+
+Bureaucracy, 24, 33, 63, 72;
+  religious B, 25
+  (_see_ Administration; Army)
+
+Burgher (_liang-min_), 143, 183, 216
+
+Burma, 12, 146, 234, 248, 265, 269, 283, 318, 319, 322, 329, 330
+
+Businessmen, 64
+  (_see_ Merchants, Trade)
+
+Byzantium, 177
+
+
+Calcutta, city, 283
+
+Caliph (Khaliph), 185
+
+Cambodia, 234, 295
+
+Canals, 170, 246; Imperial C, 168, 235-6
+  (_see_ Irrigation)
+
+Cannons, 232, 263
+
+Canton (Kuang-chou), city, 67, 77, 89, 97, 159, 190, 209, 237, 262, 266,
+  286, 287, 308, 309, 312, 314
+
+Capital of Empire, 144
+  (_see_ Ch'ang-an, Si-an, Lo-yang, etc.)
+
+Capitalism, 180-1, 212, 297, 303
+  (_see_ Investments, Banks, Money, Economy, etc.)
+
+Capitulations (privileges of foreign nations), 273, 287, 290, 312, 316
+
+Caravans, 86, 98, 121, 129, 181
+  (_see_ Silk road, Trade)
+
+Carpet, 243
+
+Castes, 106
+  (_see_ Brahmans)
+
+Castiglione, G., painter, 281
+
+Cattle, breeding, 155
+
+Cavalry, 53
+  (_see_ Horse)
+
+Cave temples, 146-7
+  (_see_ Lung-men, Y�n-kang, Tun-huang)
+
+Censorate, 84
+
+Censorship, 254
+
+Census, 143
+  (_see_ Population)
+
+Central Asia, 25, 87-88, 90, 113, 119, 135, 169, 179, 209, 259, 277, 330
+  (_see_ Turkestan, Sinkiang, Tarim, City States)
+
+Champa, State, 249
+
+Ch'an (Zen), meditative Buddhism, 164, 175, 218, 263
+
+Chan-kuo Period (Contending States), 51 ff.
+
+Chancellor, 82
+
+Ch'ang-an, capital of China, 123, 127, 129, 167, 172, 176, 184, 185,
+  190, 207
+  (_see_ Sian)
+
+Chang Ch'ien, ambassador, 88
+
+Chang Ch�-chan, teacher, 265
+
+Chang Hsien-chung, rebel, 268, 271
+
+Chang Hs�eh-liang, war lord, 316
+
+Chang Ling, popular leader, 101, 136, 147, 264
+
+Chang Ti, ruler, 99
+
+Chang Tsai, philosopher, 218
+
+Chang Tso-lin, war lord, 312, 316
+
+Chao, state, 53, 63;
+  Earlier Chao, 124;
+  Later Chao, 124
+
+Chao K'uang-yin (T'ai Tsu), ruler, 208, 209
+
+Chao Meng-fu, painter, 243
+
+Charters, 30
+
+Chefoo Convention, 295
+
+Ch'en, dynasty, 162 ff.
+
+Ch'en Pa-hsien, ruler, 162
+
+Ch'en Tu-hsiu, intellectual, 307, 320
+
+Ch'eng Hao, philosopher, 219
+
+Cheng Ho, navy commander, 258
+
+Ch'eng I, philosopher, 219
+
+Cheng-i-chiao, religion, 263-4
+
+Ch'eng Ti, ruler of Han, 92;
+  ruler of Chin, 156
+
+Ch'eng Tsu, ruler of Manchu, 257
+
+Ch'eng-tu, city, 110, 120
+
+Ch'i, state, 40;
+  short dynasty, 190, 225;
+  Northern Ch'i, 148 ff., 149, 150 ff., 161, 162, 168
+
+Ch'i-fu, clan, 129 ff.
+
+Chi-nan, city, 55
+
+Ch'i-tan (_see_ Kitan)
+
+Ch'i Wan-nien, leader, 118
+
+Chia, clan, 120
+
+Chia-ch'ing, period, 285
+
+Chia Ssu-tao, politician, 228
+
+Ch'iang, tribes, 21, 118 (_see_ Tanguts)
+
+Chiang Kai-shek, president, 264, 311, 314, 315, 316, 317, 318, 321, 322,
+  324, 326
+
+Ch'ien-lung, period, 272, 282, 284, 285
+
+_ch'ien-min_ (commoners), 143
+
+Chin, dynasty, 229 ff.
+  (_see_ Juch�n); dynasty, 114, 115 ff.;
+  Eastern Chin dynasty, 152 ff., 155 ff.;
+  Later Chin dynasty, 139
+
+Ch'in, state, 36;
+  Ch'in, dynasty, 53, 59, 60, 62 ff., 80;
+  Earlier Ch'in dynasty, 126, 157;
+  Later Ch'in dynasty, 129, 139, 159;
+  Western Ch'in dynasty, 129, 140
+
+Ch'in K'ui, politician, 226
+
+Chinese, origin of, 2, 8 ff.
+
+Ching Fang, scholar, 255
+
+Ching-t� (-chen), city, 201, 256
+
+_ching-t'ien_ system, 33
+
+Ching Tsung, Manchu ruler, 260
+
+Ch'in Ying, painter, 255
+
+Chou, dynasty, 29 f., 76;
+  short Chou dynasty, 180;
+  Later Chou dynasty, 206;
+  Northern Chou dynasty, 148, 149, 150 ff., 169, 172
+
+Chou En-lai, politician, 320
+
+Chou-k'ou-tien, archaeological site, 8
+
+Chou-kung (Duke of Chou), 33, 93
+Chou-li, book, 33
+
+Chou Tun-i, philosopher, 218
+
+Christianity, 179, 266, 282, 290
+  (_see_ Nestorians, Jesuits, Missionaries)
+
+Chronology, 7, 335
+
+Ch'u, state, 38, 199 ff., 205
+
+Chu Ch'�an-chung, general and ruler, 190, 191, 203, 204
+
+Chu Hsi, philosopher, 219, 263, 279
+
+Chu-ko Liang, general, 111
+
+Chu T� general, 321
+
+Chu Tsai-y�, scholar, 255
+
+Chu Y�an-chang (T'ai Tsu), ruler, 239 ff., 243 ff., 246, 247, 256, 257
+
+_chuang_, 181, 212-13, 345
+  (_see_ Manors, Estates)
+
+Chuang Tzu;, philosopher, 47-8, 50
+
+Ch�n-ch'en, ruler, 88
+
+Ch'un-ch'iu, book, 43, 80
+
+_ch�n-t'ien_ system (land equalization system), 142-3, 173, 187
+
+_ch�n-tz�_ (gentleman), 42, 44
+
+Chung-ch'ang T'ung, philosopher, 50
+
+Chungking (Ch'ung-ch'ing), city, 38, 110, 318
+
+Church, Buddhistic, 146, 147, 188, 218;
+  Taoistic, 136, 147
+  (_see_ Chang Ling)
+
+Cities, 36, 37;
+  spread and growth of cities, 31, 55-6, 175, 229, 250-1, 252;
+  origin of cities, 19;
+  twin cities, 33
+  (_see_ City states, Ch'ang-an, Sian, Lo-yang, Hankow, etc.)
+
+City States (of Central Asia), 97, 132, 177
+
+Clans, 31, 196
+
+Classes, social classes, 79, 143-4, 207, 216
+  (_see_ Castes, _ch'ien-min_, _liang-min_, Gentry, etc.)
+
+Climate, changes, 9
+
+Cliques, 91, 160, 197, 257, 261
+
+Cloisonn�, 256
+
+Cobalt, 221, 256
+
+Coins, 78, 94, 116, 199, 209
+  (_see_ Money)
+
+Colonialism, 278, 283, 329
+  (_see_ Imperialism)
+
+Colonization, 97, 102, 111, 116, 153, 209, 248 ff.
+  (_see_ Migration, Assimilation)
+
+Colour prints, 256
+
+Communes, 331
+
+Communism, 314, 320 ff.
+  (_see_ Marxism, Socialism, Soviets)
+
+Concubines, 100, 227
+
+Confessions, 102
+
+Confucian ritual, 78-9;
+  Confucianism, 93, 136, 145, 150, 163-4, 168, 175, 183-4, 188, 306;
+  Confucian literature, 78;
+  false Confucian literature, 93-4;
+  Confucians, 40 ff., 134
+  (_see_ Neo-Confucianism)
+
+Conquests, 122, 270
+  (_see_ War, Colonialism)
+
+Conservatism, 219
+
+Constitution, 311
+
+Contending States, 40 ff.
+
+Co-operatives, 319
+
+Copper, 17, 211
+  (_see_ Bronze, Metal)
+
+Corruption, 51, 200
+
+Corv�e (forced labour), 82, 173, 187, 196, 238
+  (_see_ Labour)
+
+Cotton, 250
+
+Courtesans, 182
+  (_see_ Brothel)
+
+Coxinga, rebel, 267, 271
+
+Craftsmen, 26, 105, 183, 197, 216, 247-8
+  (_see_ Artisans)
+
+Credits, 215
+
+Criminals, 146, 218, 248
+
+Crop rotation, 249
+
+
+Dalai Lama, religious ruler of Tibet, 278, 310
+
+Dance, 105
+
+Deflation, 215
+
+Deities, 23
+  (_see_ Tien, Shang Ti, Maitreya, Amithabha, etc.)
+
+Delft, city, 256
+
+Demands, the twenty-one, 311, 313
+
+Democracy, 305, 301
+
+Denshiring, 12
+
+Despotism, 81, 196
+  (_see_ Absolutism)
+
+Dewey, J., educator, 307
+
+Dialects, 64-5
+  (_see_ Language)
+
+Dialecticians, 59
+
+Dictators, 38, 47
+  (_see_ Despotism)
+
+Dictionaries, 65
+
+Diploma, for monks, 208
+
+Diplomacy, 223, 226
+
+Disarmament, 115, 120
+
+Discriminatory laws, 189, 233 ff., 270
+  (_see_ Double Standard)
+
+Dog, 54
+
+Dorgon, prince, 269
+
+Double standard, legal, 80
+
+Drama, 242, 255, 280
+
+Dress, changes, 53
+
+Dungan, tribes, 292
+
+Dynastic histories
+  (_see_ History), 2
+
+Dzungars, people, 277
+
+
+Eclipses, 43
+
+Economy, 53 ff., 94 ff., 100, 109, 112-13, 142 ff.;
+  Money economy, 198;
+  Natural economy, 107-8, 116
+  (_see_ Agriculture, Nomadism, Industry, Denshiring, Money, Trade,
+  etc.)
+
+Education, 73, 103, 201, 306, 326, 327
+  (_see_ Schools, Universities, Academies, Script, Examination
+  system, etc.)
+
+Elements, the five, 60
+
+Elephants, 26
+
+Elite, 73, 74, 196, 218
+  (_see_ Intellectuals, Students, Gentry)
+
+Elixir, 187 (_see_ Alchemy)
+
+Emperor, position of, 81, 92, 210, 304;
+  Emperor and church, 218
+  (_see_ Despotism, King, Absolutism, Monarchy, etc.)
+
+Empress (_see_ L�, Wu, Wei, Tzu Hsi)
+
+Encyclopaedias, 219, 264, 279
+
+England, 265, 283, 285 (_see_ Great Britain)
+
+Ephtalites, tribe, 150
+
+Epics, 133
+
+Equalization Office, 91, 94 (_see ch�n-t'ien_)
+
+Erotic literature, 254
+
+Estates (_chuang,_) 154, 175, 181, 212, 236
+
+Ethics, 45
+  (_see_ Confucianism)
+
+Eunuchs, 91, 100, 191, 253, 259-60, 261, 267, 272
+
+Europe, 143, 212; Europeans, 209, 233, 237, 246, 263, 272, 297, 299
+
+Examination system, 74, 78, 85-6, 91, 175, 197, 216, 252-3, 259, 280;
+  Examinations for Buddhists, 207
+
+
+Fables, 259
+
+Factories, 250, 251
+
+Fallow system, 54, 249
+
+Falsifications, 93
+  (_see_ Confucianism)
+
+Family structure, 24, 29, 31, 42, 54, 138-9, 196, 332;
+  Family ethics, 58;
+  Family planning, 331
+
+Fan Chung-yen, politician, 212, 213
+
+Fascism, 264
+
+Federations, tribal, 117
+
+Felt, 33
+
+F�ng Kuo-chang, politician, 312
+
+F�ng Meng-lung, writer, 254, 255
+
+F�ng Tao, politician, 201
+
+F�ng Y�-hsiang, war lord, 312, 315
+
+Ferghana, city, 88
+
+Fertility cults, 23;
+  differential fertility, 73
+
+Fertilizer, 54
+
+Feudalism, 24, 29, 30 ff., 37, 38, 40, 42, 44, 45, 85;
+  end of feudalism, 51, 59, 62-3;
+  late feudalism, 71-2, 77 ff.;
+  new feudalism, 81;
+  nomadic feudalism, 76, 131
+  (_see_ Serfs, Aristocracy, Fiefs, Bondsmen, etc.)
+
+Fiefs, 30, 54, 78, 82
+
+Finances, 209
+  (_see_ Budget, Inflation, Money, Coins)
+
+Fire-arms
+  (_see_ Rifles, Cannons)
+
+Fishing, 94
+
+Folk-tales, 254, 258
+
+Food habits, 54-5, 155
+
+Foreign relations, 84
+  (_see_ Diplomacy, Treaty, Tribute, War)
+
+Forests, 26
+
+Formosa (T'aiwan), 152, 267, 276, 277, 295, 296, 323 ff.
+
+France, 287, 295, 296, 313, 317
+
+Frontier, concept of, 38
+
+Frugality, 58
+
+Fu Chien, ruler, 126 ff., 130, 131, 136, 139, 157-8
+
+Fu-lan-chi (Franks), 263
+
+Fu-lin, Manchu ruler, 269
+
+Fu-y�, country, 141
+
+Fukien, province, 167, 228, 237, 248, 249, 250, 251, 276
+
+
+Galdan, leader, 277
+
+Gandhara, country, 146
+
+Gardens, 154
+
+Geisha (_see_ Courtesans), 217
+
+Genealogy, 52, 167, 196
+
+Genghiz Khan, ruler, 225, 230, 241
+
+Gentry (Upper class), 44, 78, 80, 101, 108, 133, 138, 143, 144, 166,
+  173, 174, 196, 197, 203, 209, 210, 214, 236, 239, 252 ff., 257, 268,
+  272, 297, 303-4, 307;
+  colonial gentry, 163;
+  definition of gentry, 72;
+  gentry state, 71 ff.,
+  southern gentry, 153
+
+Germany, 296, 311, 312, 317
+
+G�k Turks, 149 ff.
+
+Governors, role of, 184 ff.
+
+Grain
+  (_see_ Millet, Rice, Wheat)
+
+Granaries, 216, 290
+
+Great Britain, 285, 293, 294, 295, 310
+  (_see_ England)
+
+Great Leap Forward, 331
+
+Great Proletarian Cultural Revolution, 333
+
+Great Wall, 57
+
+Greeks, 59, 60
+
+Guilds, 58, 197
+
+
+Hakka, ethnic group, 228, 289, 323
+
+Hami, city state, 245
+
+Han, dynasty, 71 ff., 122;
+  Later Han dynasty, 206
+
+Han Fei Tzu, philosopher, 59
+
+Han T'o-wei, politician, 226-7
+
+Han Y�, philosopher, 182, 217, 218
+
+Hankow (Han-k'ou), city, 38, 156, 162, 251, 290, 314
+
+Hangchow (Hang-chou), city, 38, 225, 228
+
+Heaven, 42, 81
+  (_see_ Shang Ti, T'ien)
+
+Hermits, 46 ff.
+  (_see_ Monks, Sages)
+
+Hinayana, religion, 135
+
+Historians, 2
+
+Histories, dynastic, 2, 242;
+  falsification
+  of histories, 43, 52, 93;
+  Historiography, 43, 103-4
+Hitler, Adolf, dictator, 317, 319
+
+Hittites, ethnic group, 25
+
+Ho Ch'eng-t'ien, scholar, 255
+
+Ho-lien P'o-p'o, ruler, 139, 140, 159, 225
+
+Ho Ti, Han ruler, 99
+
+_hong_, association, 286
+
+Hong Kong, colony, 286, 319, 325
+
+Hopei, province, 296
+
+Horse, 11, 90, 186, 223, 237;
+  horse chariot, 25;
+  horse riding, 53;
+  horse trade, 63
+
+Hospitals, 216
+
+Hou Ching, ruler, 161-2
+
+Houses, 19, 33
+  (_see_ Adobe)
+
+Hsi-hsia, kingdom, 214, 221, 223, 224 ff., 231
+
+Hsi-k'ang, Tibet, 310
+
+Hsia, dynasty, 17-18, 21, 25;
+  Hunnic Hsia dynasty, 139
+  (_see_ Hsi-hsia)
+
+Hsia-hou, clan, 113
+
+Hsia Kui, painter, 221
+
+Hsiao Tao-ch'eng, general, 160
+
+Hsiao Wu Ti, Chin ruler, 158
+
+Hsieh, clan, 157
+
+Hsieh Hs�an, general, 128
+
+Hsien-feng, period, 294
+
+Hsien-pi, tribal federation, 98, 102, 114, 116, 117, 119, 120, 121, 123,
+  126, 127, 128 ff., 130, 131, 132, 136, 137, 138, 140, 148, 169
+
+Hsien Ti, Han ruler, 100
+
+Hsien-y�n, tribes, 21
+
+Hsin, dynasty, 92
+
+Hsin-an merchants, 251, 263
+
+_Hsin Ch'ing-nien_, journal, 307
+
+Hsiung-nu, tribal federation, 67 ff., 75 ff., 81, 86 ff., 90, 95, 96,
+  97 ff., 102, 108, 113, 114, 116, 117, 118, 224, 226
+  (_see_ Huns)
+
+Hs� Shih-ch'ang, president, 312
+
+Hs�an-t�, period, 259
+
+Hs�an-tsang, Buddhist, 181
+
+Hs�an Tsung, T'ang ruler, 181;
+  Manchu ruler, 259, 288
+
+Hs�an-t'ung, period, 300
+
+Hs�n Tzu, philosopher, 57-8
+
+Hu, name of tribes, 118
+  (_see_ Huns)
+
+Hu Han-min, politician, 314-15
+
+Hu Shih, scholar and politician, 307, 320
+
+Hu Wei-yung, politician, 257
+
+Huai-nan Tzu, philosopher, 50, 104
+
+Huai, Ti, Chin ruler, 123, 124
+
+Huan Hs�an, general, 158, 159
+
+Huan Wen, general, 157-8
+
+Huang Ch'ao, leader of rebellion, 189 ff., 195, 203
+
+Huang Ti, ruler, 52
+
+Huang Tsung-hsi, philosopher, 247, 352
+
+Hui-chou merchants, 251, 254
+
+_hui-kuan_, association, 197
+
+Hui Ti, Chin ruler, 120;
+  Manchu ruler, 257
+
+Hui Tsung, Sung ruler, 221
+
+Hui Tzu, philosopher, 59
+
+Human sacrifice, 19, 23
+
+Hung Hsiu-ch'�an, leader of rebellion, 289 ff.
+
+Huns, 57, 118, 119, 120, 121, 124, 125, 126, 127, 130, 131, 136, 139,
+  140, 147, 148, 151, 278
+  (_see_ Hu, Hsiung-nu)
+
+Hunting, 25-6
+
+Hutuktu, religious ruler, 310
+
+Hydraulic society, 56
+
+
+_i-chuang_, clan manors, 213
+
+Ili, river, 282 ff., 293, 330
+
+Imperialism, 76, 265, 285 ff., 294, 295, 329
+  (_see_ Colonialism)
+
+India, 20, 26, 34, 45, 60, 89, 106, 111, 118, 125, 134-5, 145, 146, 164,
+  181, 182, 198, 243, 265, 287, 288, 310, 329
+  (_see_ Brahmans, Bengal, Gandhara, Calcutta, Buddhism)
+
+Indo-China, 234, 258
+  (_see_ Cambodia, Annam, Laos).
+
+Indo-Europeans, language group, 15, 25, 29, 150
+  (_see_ Y�eh-chih, Tocharians, Hittites)
+
+Indonesia, 10, 201, 209, 319
+  (_see_ Java)
+
+Industries, 198, 214, 250 ff.;
+  Industrialization, 275, 325-26, 327-28, 331-32;
+  Industrial society, 212
+  (_see_ Factories)
+
+Inflation, 20, 211, 215, 237
+
+Inheritance, laws of, 24, 54
+
+Intellectuals, 300, 309
+  (_see_ �lite, Students)
+
+Investments, 198, 212, 212-14
+
+Iran (Persia), 60, 61, 234
+
+Iron, 40, 55, 96, 198;
+  Cast iron, 56;
+  Iron money, 202
+  (_see_ Steel)
+
+Irrigation, 56, 62
+
+Islam, 179, 183, 202-3
+  (_see_ Muslims)
+
+Istanbul (Constantinople), 256, 259, 293
+
+Italy, 317
+
+
+Japan, 9, 10, 26, 44, 88, 106, 112, 114, 126, 144, 145, 170, 178, 179,
+  181, 196, 201, 234, 245-6, 254, 256, 258, 263, 264, 265, 275, 294 ff.,
+  297, 298, 300, 308, 309, 311, 312, 313, 314, 316, 317 ff., 322, 323,
+  324, 325
+  (_see_ Meiji, Tada, Tanaka)
+
+Java, 234
+
+Jedzgerd, ruler, 178
+
+Jehol, province, 11, 287
+Jen Tsung, Manchu ruler, 285
+
+Jesuits, 266, 278
+
+Jews, 179
+
+_Ju_ (scribes), 34, 41
+
+Ju-chen (Chin Dynasty, Jurchen), 221-2, 223, 225, 226, 227, 229 ff, 244,
+  265
+
+Juan-juan, tribal federation, 114, 140, 149
+
+Jurchen
+  (_see_ Ju-chen)
+
+
+K'ai-feng, city
+  (_see_ Yeh, Pien-liang), 203, 230
+
+Kalmuk, Mongol tribes, 282, 283, 284
+  (_see_ �l�t)
+
+Kang-hsi, period, 272, 277, 279
+
+K'ang Yo-wei, politician and scholar, 298-99
+
+Kansu, province, 12, 14, 86, 87, 121, 124, 125, 129, 131, 132, 139, 140,
+  142, 159, 163, 225, 292, 293, 324
+  (_see_ Tun-huang)
+
+Kao-ch'ang, city state, 177
+
+Kao, clan, 148
+
+Kao-li, state, 126, 141, 222
+  (_see_ Korea)
+
+Kao Ming, writer, 242
+
+Kao Tsu, Han ruler, 71, 77
+
+Kao Tsung, T'ang ruler, 179, 180
+
+Kao Yang, ruler, 148
+
+Kapok, textile fibre, 250
+
+Kara Kitai, tribal federation, 223-4
+
+Kashgar, city, 99, 282, 292
+
+Kazak, tribal federation, 282, 283
+
+Khalif (_see_ Caliph), 293
+
+Khamba, Tibetans, 310
+
+Khan, Central Asian title, 149, 169, 176, 177, 186
+
+Khocho, city, 177
+
+Khotan, city, 99, 135, 174
+
+King, position of, 24, 34, 42, 43; first kings, 19;
+  religious character of kingship, 37
+  (_see_ Yao, Shun, Hsia dynasty, Emperor, Wang, Prince)
+
+Kitan (Ch'i-tan), tribal federation, 184, 186, 203, 204, 205, 206, 207,
+  208, 209, 221, 222 ff., 229, 241
+  (_see_ Liao dynasty)
+
+Ko-shu Han, general, 184-5
+
+Korea, 9, 88-89, 112, 126, 169 ff., 178, 181, 201, 219, 222, 265, 268,
+  295, 296, 324, 329
+  (_see_ Kao-li, Pai-chi, Sin-lo)
+
+K'ou Ch'ien-chih, Taoist, 147
+
+Kowloon, city, 287
+
+Ku Yen-wu, geographer, 279
+
+Kuan Han-ch'ing, writer, 242
+
+Kuang-hs�, period, 295 ff.
+
+Kuang-wu Ti, Han ruler, 96 ff.
+
+Kub(i)lai Khan, Mongol ruler, 234, 241
+
+Kung-sun Lung, philosopher, 59
+
+K'ung Tzu (Confucius), 40 ff.
+
+Kuo-min-tang (KMT), party, 313, 321, 323, 324, 325
+
+Kuo Wei, ruler, 206
+
+Kuo Tzu-hsing, rebel leader, 239
+
+Kuo Tzu-i, loyal general, 184, 186
+
+Kyakhta (Kiachta), city, 278
+
+
+Labour, forced, 235, 237
+  (_see_ Corv�e);
+  Labour laws, 198;
+  Labour shortage, 251
+
+Lacquer, 256
+
+Lamaism, religion, 242-3
+
+Land ownership, 31, 32, 54
+  (_see_ Property);
+  Land reform, 94, 142-3, 172-3, 229, 290, 315, 325, 330
+  (_see ch�n-t'ien, ching-t'ien_)
+
+Landlords, 54, 55, 154, 155, 198, 212, 213, 236-7, 251;
+  temples as landlords, 134
+
+Language, 36, 46;
+  dialects, 64-5, 167;
+  Language reform, 307-8, 324
+
+Lang Shih-ning, painter, 281
+
+La Tzu, philosopher, 45 ff., 101, 136
+
+Laos, country, 12
+
+Law codes, 56, 66, 80, 81-2, 93
+  (_see_ Li K'ui, Property law, Inheritance, Legalists)
+
+Leadership, 73-4
+
+League of Nations, 316
+
+Leibniz, philosopher, 281
+
+Legalists (_fa-chia_), 47, 63, 65, 66, 80, 81
+
+Legitimacy of rule, 44, 111
+  (_see_ Abdication)
+
+Lenin, V., 320, 333
+
+Lhasa, city, 278, 329
+
+Li An-shih, economist, 142
+
+Li Chung-yen, governor, 315
+
+Li Hung-chang, politician, 291, 296, 297
+
+Li K'o-yung, ruler, 190, 191, 203, 204
+
+Li Kuang-li, general, 88
+
+Li K'ui, law-maker, 56, 80
+
+Li Li-san, politician, 320
+
+Li Lin-fu, politician, 184
+
+Li Lung-mien, painter, 220
+
+Li Shih-min
+  (_see_ T'ai Tsung), T'ang ruler, 170, 172, 178
+
+Li Ssu, politician, 66
+
+Li Ta-chao, librarian, 320
+
+Li T'ai-po, poet, 182
+
+Li Tzu-ch'eng, rebel, 268, 269, 271
+
+Li Yu, writer, 280
+
+Li Yu-chen, writer, 280
+
+Li Y�an, ruler, 172
+
+Li Y�an-hung, politician, 301, 302, 312
+
+Liang dynasty, Earlier, 124, 130;
+  Later Liang, 130, 150, 162, 191, 203 ff., 207;
+  Northern Liang, 130 ff., 132, 133, 140;
+  Southern Liang, 132;
+  Western Liang, 131, 140
+
+Liang Ch'i-ch'ao, journalist, 280-1
+
+_liang-min_ (burghers), 143
+
+Liao, tribes, 12;
+  Liao dynasty (_see_ Kitan), 203, 208, 222 ff.;
+  Western Liao dynasty, 224
+
+_Liao-chai chih-i_, short-story collection, 280
+
+Libraries, 66, 201-2
+
+Lin-chin, city, 55
+
+Lin-ch'uan, city, 263
+
+Lin Shu, translator, 280
+
+Lin Tse-hs�, politician, 286
+
+Literati, 73
+  (_see_ Scholars, Confucianists)
+
+Literature, 66, 103 ff., 182 ff., 220, 253 ff.
+  (_see_ _pien-wen_, _pi-chi_, Poetry, Drama, Novels,
+  Epics, Theatre, ballads, Folk-tales, Fables, History, Confucians,
+  Writers, Scholars, Scribes)
+
+Literary revolution, 307, 320
+
+Liu Chi, Han ruler, 68, 71 ff.
+
+Liu Chih-y�an, ruler, 206
+
+Liu Chin, eunuch, 261
+
+Liu Hsiu
+  (_see_ Kuang-wu Ti), Han ruler, 96
+
+Liu Lao-chih, general, 158
+
+_liu-min_ (vagrants), 198
+
+Liu Pang
+  (_see_ Liu Chi)
+
+Liu Pei, general and ruler, 100, 101, 102
+
+Liu Shao-ch'i, political leader, 333
+
+Liu Sung, rebel, 284
+
+Liu Tsung-y�an, writer, 182
+
+Liu Ts'ung, ruler, 123, 124
+
+Liu Yao, ruler, 124
+
+Liu Y�, general, 158, 159;
+  emperor, 225
+
+Liu Y�an, sculptor, 243;
+  emperor, 119, 122, 123, 124, 126, 127, 131, 137, 139
+
+Lo Kuan-chung, writer, 254
+
+Loans, to farmers, 94;
+  foreign, 288
+
+Loess, soil formation, 9
+
+Logic, 46
+
+Long March, 321
+
+Lorcha War, 287, 291
+
+Loyang (Lo-yang), capital of China, 32, 33, 36, 37, 55, 97, 113, 122,
+  127, 142, 144, 145, 148, 149, 150, 160, 168, 176, 180, 184, 185, 215
+
+Lu, state, 41, 43
+
+L�, empress, 77 ff.
+
+Lu Hsiang-shan, philosopher, 263
+
+Lu Hs�n, writer, 320
+
+L� Kuang, ruler, 130
+
+L� Pu, general, 100
+
+L� Pu-wei, politician, 63, 103
+
+Lun, prince, 120
+
+_Lun-heng_, book, 104
+
+Lung-men, place, 150
+
+Lung-shan, excavation site, 14, 15 ff., 19
+
+Lytton Commission, 316
+
+
+Ma Yin, ruler, 199-200
+
+Ma Y�an, general, 97;
+  painter, 221
+
+Macchiavellism, 60, 164, 263-4
+
+Macao, Portuguese colony, 227, 266, 286
+
+Mahayana, Buddhist sect, 135, 145
+
+Maitreya, Buddhist deity, 147, 189
+  (_see_ Messianic movements)
+
+Malacca, state, 263
+
+Malaria, 249
+
+Managers, 212-13
+
+Manchu, tribal federation and dynasty, 76, 232, 265, 267, 270 ff., 301,
+  312, 329, 330
+
+Manchuria, 9, 11, 14, 111, 114, 137, 222, 246, 275, 277, 296, 311, 316,
+  317
+
+Manichaeism, Iranian religion, 46, 179, 187
+
+Manors (_chuang_, _see_ Estates), 154
+
+Mao Tun, Hsiung-nu ruler, 75, 76, 119, 122, 139, 170
+
+Mao Tse-tung, party leader, 320, 321, 333
+
+Marco Polo, businessman, 238, 317
+
+Market, 56;
+  Market control, 85
+
+Marriage systems, 73-5, 167, 196, 332
+
+Marxism, 304, 306, 322, 331, 333;
+  Marxist theory of history, 75
+  (_see_ Materialism, Communism, Lenin, Mao Tse-tung)
+
+Materialism, 58, 164
+
+Mathematics, 61
+
+Matrilinear societies, 24
+
+Mazdaism, Iranian religion, 101, 179, 187, 342
+
+May Fourth Movement, 307, 320
+
+Medicine, 219;
+  Medical doctors, 144, 216-17
+
+Meditation
+  (_see_ Ch'an)
+
+Megalithic culture, 20
+
+Meiji, Japanese ruler, 294
+
+Melanesia, 10
+
+Mencius (Meng Tzu), philosopher, 57
+
+Merchants, 31, 55, 56, 62, 63, 65, 79, 90-1, 104-5, 134, 160, 163, 179,
+  189, 198, 200, 201, 202, 212, 215-16, 247-8, 251, 276-7, 297;
+  foreign merchants, 190, 234, 237, 281-2
+  (_see_ Trade, Salt, Caravans, Businessmen)
+
+Messianic movements, 61, 147
+
+Metal, 15, 20
+  (_see_ Bronze, Copper, Iron)
+
+Mi Fei, painter, 220
+
+Middle Class, 195, 254, 297, 304, 309, 310, 314
+  (_see_ Burgher, Merchant, Craftsmen, Artisans)
+
+Middle East
+  (_see_ Near East)
+
+Migrations, 54, 116, 120 ff., 130, 142, 152 ff., 228, 237, 248, 275-6, 294;
+  forced migrations, 54, 167
+  (_see_ Colonization, Assimilation, Settlement)
+
+Militarism, 63
+
+Militia, 174, 215, 291
+
+Millet, 11, 21, 32
+
+Mills, 181, 213
+
+Min, state in Fukien, 205
+
+Ming dynasty, 243 ff.
+
+Ming Jui, general, 283
+
+Min Ti, Chin ruler, 123
+
+Ming Ti, Han ruler, 99;
+  Wei ruler, 114;
+  Later T'ang ruler, 204
+
+Minorate, 24
+
+Missionaries, Christian, 266, 281, 287, 289
+  (_see_ Jesuits)
+
+Mo Ti, philosopher, 58
+
+Modernization, 296-7
+
+Mohammedan rebellions, 292 ff.
+  (_see_ Muslim)
+
+Mon-Khmer tribes, 10
+
+Monarchy, 47, 247, 281
+  (_see_ King, Emperor, Absolutism, Despotism)
+
+Monasteries, Buddhist, 144, 207, 236;
+  economic importance, 125, 134, 180-1, 187 ff.
+
+Money, 20, 55, 180-1;
+  Money economy, 56, 58, 107-8;
+  Origin of money, 40;
+  paper money, 202, 211, 347
+  (_see_ Coins, Paper, Silver)
+
+Mongolia, 8, 9, 11, 98, 283, 317
+
+Mongols, tribes, tribal federation, dynasty, 17, 40, 53, 57, 76, 102,
+  114, 117, 119, 120, 137, 140, 175, 220, 225, 227, 228, 230 ff.,
+  232 ff., 240, 243, 244, 257, 259, 264, 266, 268, 270, 277, 281, 284,
+  291, 329, 330
+  (_see_ Y�an dynasty, Kalmuk, T�met, Oirat, �l�t, Naiman, Turgut,
+  Timur, Genghiz, Kublai)
+
+Monks, Buddhist, 134, 146, 164, 188, 207, 218, 239, 246, 253-4
+
+Monopolies, 85, 91, 200, 215
+
+Mound-dwellers, 16
+
+Mu-jung, tribes, 119, 126, 128-9
+
+Mu Ti, East Chin ruler, 157
+
+Mu Tsung, Manchu ruler, 294
+
+Mulberries, 143
+
+Munda tribes, 10
+
+Music, 163, 182-3, 255
+  (_see_ Theatre, Dance, Geisha)
+
+Muslims, 179, 233, 278, 289;
+  Muslim rebellions, 289, 292 ff.
+  (_see_ Islam, Mohammedans)
+
+Mysticism, 46
+
+
+Naiman, Mongol tribe, 233
+
+Nan-chao, state, 171
+
+Nan-yang, city, 96
+
+Nanking (Nan-ching), capital of China, 38, 121, 156, 162, 225, 228, 235,
+  246, 250, 254, 257, 262, 263, 266, 270, 286, 287, 290, 291, 302, 315,
+  316, 318;
+  Nanking regime, 314 ff.
+
+Nationalism, 76, 131, 233, 284-5
+  (_see_ Kuo-min-tang)
+
+Nature, 46;
+  Nature philosophers, 60
+
+Navy, 258
+
+Near East, 16, 81, 106, 109, 111, 140, 146, 221, 238
+  (_see_ Arabs, Iran, etc.)
+
+Neo-Confucianism, 218 ff., 263
+
+Neolithicum, 9
+
+Nepal, 243, 283
+
+Nerchinsk, place, 278
+
+Nestorian Christianity, 187
+
+Ni Tsan, painter, 243
+
+Nien Fei, rebels, 291-2
+
+Niu Seng-yu, politician, 188
+
+Nobility, 31, 80, 124, 131, 138;
+  Nomadic nobility, 76
+  (_see_ Aristocracy)
+
+Nomadism, 10, 40, 67, 222-3;
+  Economy of nomads, 35-6, 137;
+  Nomadic society structure, 75
+
+Novels, 254 ff., 280
+
+
+Oil, 294
+
+Oirat, Mongol tribes, 260
+
+Okinawa (_see_ Ryukyu)
+
+�l�t, Mongol tribes, 277
+
+Opera, 242, 255-6
+
+Opium, 276, 286;
+  Opium War, 286
+
+Oracle bones, 22, 24
+
+Ordos, area, 9, 17, 20, 67, 86, 125, 129, 133, 148, 170, 225
+
+Orenburg, city, 282
+
+Organizations, 58
+  (_see hui-kuan_ Guilds, _hong_, Secret Societies)
+
+Orphanages, 218
+
+Ottoman (Turkish) Empire, 293
+
+Ou-yang Hsiu, writer, 254
+
+Outer Mongolia, 310-11, 330
+
+
+Pagoda, 243
+
+Pai-chi (Paikche), state in Korea, 141
+
+Pai-lien-hui (_see_ White Lotos) 239
+
+Painting, 56, 105, 183, 220 ff., 243, 255, 281
+
+Palaeolithicum, 8 ff.
+
+Pan Ch'ao, general, 99, 100
+
+_pao-chia_, security system, 173
+
+Paper, 105, 183, 251;
+  Paper money, 202, 228, 237
+  (_see_ Money)
+
+Parliament, 300-1
+
+Party (_see_ Kuo-min-tang, Communists)
+
+Pearl Harbour, 319
+
+Peasant rebellions, 238 ff.
+  (_see_ Rebellions)
+
+Peking, city, 169, 184, 197, 207, 208, 221, 223, 235, 239, 246, 256,
+  257, 262, 264, 265, 266, 268, 269, 272, 278, 283, 287, 290, 291, 297,
+  299, 305, 307, 308, 309, 311, 312, 313, 318;
+  Peking Man, 8
+
+Pensions, 217, 247
+
+People's Democracy, 294
+
+Persecution, religious, 147, 188, 207
+
+Persia (Iran), 256, 258, 259;
+  Persian language, 234
+
+Peruz, ruler, 178
+
+Philippines, state, 295, 323, 325
+
+Philosophy, 44, 217 ff., 263 ff.
+  (_see_ Confucius, Lao Tzu, Chuang Tzu, Huai-nan Tzu,
+  Hs�n Tzu, Mencius, Hui Tzu, Mo Ti, Kung-sun Lung, Shang
+  Tzu, Han Fei Tzu, Tsou Yen, Legalists, Chung-ch'ang,
+  T'ung, Y�an Chi, Liu Ling, Chu Hsi, Ch'eng Hao, Lu Hsiang-shan,
+  Wang Yang-ming, etc.)
+
+_pi-chi_, literary form, 220
+
+_pieh-yeh (see_ Manor), 154
+
+Pien-liang, city (_see_ K'ai-feng), 230
+
+_pien-wen_, literary form, 253
+
+Pig, 54, 199
+
+Pilgrims, 245
+
+P'ing-ch'eng, city, 122
+
+Pirates, 245, 263
+
+Plantation economy, 154
+
+Plough, 54
+
+Po Ch�-i, poet, 182, 220
+
+Po-hai, state, 171, 222, 229
+
+Poetry, 48, 163, 175, 182 ff., 227, 241, 255;
+  Court Poetry, 105;
+  Northern Poetry, 133
+
+Poets, 219 ff.
+  (_see_ T'ao Ch'ien, Po Ch�-i, Li T'ai-po, Tu Fu, etc.)
+
+Politicians, migratory, 52
+
+Pontic migration, 16
+
+Population changes, 21, 55, 62, 78, 108, 236, 238, 273-4;
+  Population decrease, 107
+  (_see_ Census, Fertility)
+
+Porcelain, 20, 183, 201, 221, 251, 256, 281
+
+Port Arthur, city, 296
+
+Portsmouth, treaty, 296
+
+Portuguese 262, 263
+  (_see_ Fu-lan-chi, Macao)
+
+Potter, 32;
+  Pottery, 14, 15 ff., 20;
+  black pottery, 16
+  (_see_ Porcelain)
+
+Price controls, 212
+
+Priests, 24, 34
+  (_see_ Shamans, Ju, Monks)
+
+Primogeniture, 54
+
+Princes, 115, 120, 123
+
+Printing, 201-2
+  (_see_ Colour, Book)
+
+Privileges of gentry, 173
+
+Proletariate, 305, 320
+  (_see_ Labour)
+
+Propaganda, 93
+
+Property relations, 31, 54, 196
+  (_see_ Laws, Inheritance, Primogeniture)
+
+Protectorate, 82
+
+Provinces, administration, 85
+
+_pu-ch'�,_ bondsmen, 143, 174
+
+Pu-ku Huai-en, general, 185, 186
+
+P'u Sung-lin, writer, 280
+
+P'u Yi, Manchu ruler, 300, 312
+
+Puppet plays, 255
+
+
+Railways, 301, 324; Manchurian Railway, 296
+
+Rebellions, 95-6, 156, 158, 184 ff., 189 ff., 238 ff., 261 ff., 267 ff.,
+  284, 289 ff., 291 ff., 299, 301
+  (_see_ Peasants, Secret Societies, Revolutions)
+
+Red Eyebrows, peasant movement, 95 ff.
+
+Red Guards, 333
+
+Reforms, 298, 299;
+  Reform of language, 307-9
+  (_see_ Land reform)
+
+Regents, 89
+
+Religion, 8, 22-4, 37, 42, 44, 48, 135-6;
+  popular religion, 101
+  (_see_ Bon, Shintoism, Persecution, Sacrifice, Ancestor cult,
+  Fertility cults, Deities, Temples, Monasteries, Christianity,
+  Islam, Buddhism, Mazdaism, Manichaeism, Messianic religions,
+  Secret societies, Soul, Shamanism, State religion)
+
+Republic, 303 ff.
+
+Revolutions, 244;
+  legitimization of revolution, 57
+  (_see_ Rebellions)
+
+Ricci, Matteo, missionary, 266
+
+Rice, 12, 155, 219, 235, 249
+
+Rifles, 263
+
+Ritualism, 34, 42
+
+Roads, 30, 56, 65
+
+Roman Empire, 31, 51, 107, 144, 210
+
+Roosevelt, F.D., president, 322
+
+Russia, 246, 259, 278, 282, 283, 284, 293, 294, 296, 298, 300, 310,
+  311, 313-14, 315, 317, 320, 321, 322, 323, 328-29, 330, 333, 334
+  (_see_ Soviet Republics)
+
+Ryukyu (Liu-ch'iu), islands, 295
+
+
+Sacrifices, 19, 23, 26
+
+Sages, 47
+
+Sakhalin (Karafuto), island, 295, 296
+
+Salar, ethnic group, 292
+
+Salary, 213, 227
+
+Salt, 40;
+  Salt merchants, 189, 238, 248-9, 262;
+  Salt trade, 200-1
+
+Samarkand, city, 45, 183, 241
+
+_San-min chu-i,_ book, 305
+
+Sang Hung-yang, economist, 91
+
+Sassanids, Iranian dynasty, 178
+
+Scholars (_Ju_), 34, 41, 52, 59, 60, 100
+  (_see_ Literati, Scribes, Intellectuals, Confucianists)
+
+Schools, 79, 196, 324-25
+  (_see_ Education)
+
+Science, 60-1, 104-5, 219, 281
+  (_see_ Mathematics, Astronomy, Nature)
+
+Scribes, 34
+
+Script, Chinese, 22, 29, 65, 225, 308
+
+Sculpture, 19-20, 106, 147, 183, 243;
+  Buddhist sculptures, 146
+
+_s�-mu_ (auxiliary troops), 233
+
+Seal, imperial, 92-3
+
+Secret societies, 61, 95 ff., 289
+  (_see_ Red Eyebrows, Yellow Turbans, White Lotos, Boxer,
+     Rebellions)
+
+Sects, 135;
+  Buddhist sects, 188
+
+Seng-ko-lin-ch'in, general, 291
+
+Serfs, 21, 26, 31, 32, 33, 53-4, 72, 143, 197, 216
+  (_see_ Slaves, Servants, Bondsmen)
+
+Servants, 32
+
+Settlement, of foreigners, 177;
+  military, 248
+  (_see_ Colonization)
+
+Sha-t'o, tribal federation, 187, 190, 203, 204, 206, 207, 222, 230
+
+Shadow theatre, 255
+
+Shahruk, ruler, 258
+
+Shamans, 160, 184;
+  Shamanism, 34, 242, 135 ff., 146
+
+Shan tribes of South East Asia, 12
+
+_Shan-hai-ching_, book, 103
+
+Shan-y�, title of nomadic ruler, 88, 89, 90, 95, 103, 119, 125, 151
+
+Shang dynasty, 19 ff., 41
+
+Shang Ti, deity, 23, 24, 25
+
+Shang Tzu, philosopher (Shang Yang), 59
+
+Shanghai, city 246, 250, 287, 288, 301, 305, 308, 314-15, 316, 318
+
+Shao Yung, philosopher, 220
+
+Sheep, 54, 118
+
+Shen Nung, mythical figure, 52
+
+Shen Tsung, Sung ruler, 196;
+  Manchu ruler, 265, 267
+
+Sheng Tsu, Manchu ruler, 272
+
+_Shih-chi_, book, 103
+
+Shih Ching-t'ang, ruler, 204, 222
+
+Shih Ch'ung, writer, 49
+
+Shih H�ng, soldier, 260
+
+Shih Hu, ruler, 125 ff.
+
+Shih Huang-ti, ruler, 63 ff., 78
+
+Shih Lo, ruler, 123, 124, 125, 126
+
+Shih-pi, ruler, 170
+
+Shih Ssu-ming, 185
+
+Shih Tsung, Manchu ruler, 264, 282
+
+Shih-wei, Mongol tribes, 141
+
+Shintoism, Japanese religion, 44
+
+Ships, 168 (_see_ Navy)
+
+Short stories, 255
+
+Shoulder axes, 10
+
+Shu (Szechwan), area and/or state, 219
+
+Shu-Han dynasty, 108, 110, 111, 115
+
+Shun, dynasty, 268;
+  mythical ruler, 17
+
+Shun-chih, reign period, 270
+
+Sian (Hsi-an, Ch'ang-an), city, 31, 33, 35, 97
+
+Siao Ho (Hsiao Ho), jurist, 80
+
+Silk, 20-1, 56, 90-1, 105, 116, 143, 185, 186, 209, 214, 276, 289, 303;
+  Silk road, 86
+
+Silver, 211, 251-2, 276
+
+Sin-lo (Hsin-lo, Silla), state of Korea, 141
+
+Sinanthropos, 8
+
+Sinkiang (Hsin-Chiang, Turkestan), 14, 248, 294, 329, 330
+
+Slash and burn agriculture (denshiring), 12
+
+Slaves, 26, 32, 79, 94, 123, 137-8, 143;
+  Slave society, 26;
+  Temple slaves, 146
+
+Social mobility, 73-4, 196, 197, 218-19;
+  Social structure of tribes, 117
+
+Socialism, 93 ff., 291
+  (_see_ Marxism, Communism)
+
+Sogdiana, country in Central Asia, 45, 60, 134-5, 163, 174, 184
+
+Soul, concept of soul, 32
+
+South-East Asia, 9, 10, 14, 198, 201 250, 275, 324
+  (_see_ Burma, Champa, Cambodia, Annam, Laos, Vietnam,
+     Tonking, Indonesia, Philippines, Thailand, Mon-Khmer)
+
+Soviet Republics, 294, 312, 328
+  (_see_ Russia)
+
+Speculations, financial, 227
+
+Ssu-ma, clan, 113-14
+
+Ssu-ma Ch'ien, historian, 103-4
+
+Ssu-ma Kuang, historian, 220
+
+Ssu-ma Yen, ruler, 114, 115
+
+Standardization, 64 ff.
+
+States, territorial and national, 37, 51;
+  State religion, 145-6, 180
+
+Statistics, 83
+  (_see_ Population)
+
+Steel, 56, 198
+
+Steppe, 9
+
+Stone age, 8 ff.
+
+Stratification, social, 29
+  (_see_ Classes, Social mobility)
+
+Strikes, 198
+
+Students, 304-5, 306, 320
+
+Su Ch�n, rebel, 156
+
+Su Tsung, T'ang ruler, 185
+
+Su Tung-p'o, poet, 219
+
+_su-wang_ (uncrowned king), 43
+
+Sui, dynasty, 151
+
+Sun Ts'�, ruler, 100, 101
+Sun Yat-sen (Sun I-hsien), revolutionary leader, president, 280,
+  299, 300, 302, 305, 309, 311, 312, 313, 315, 318, 321
+
+Sung, dynasty, 207, 208 ff., 238;
+  Liu-Sung dynasty, 159 ff.
+
+Szechwan (Ssu-ch'uan), province, 101, 139, 156, 157, 159, 185,
+  190, 199, 200, 202, 207, 214, 215, 219, 262, 301
+  (_see_ Shu)
+
+
+Ta-tan (Tatars), tribal federation, 233
+
+Tada, Japanese militarist, 295
+
+Tai, tribes, 17, 19, 21, 111, 152
+  (_see_ Thailand)
+
+Tai Chen, philosopher, 279
+
+Tai Ch'ing dynasty (Manchu), 267
+
+T'ai P'ing, state, 274, 289 ff., 333
+
+T'ai Tsu, Sung ruler, 209; Manchu ruler, 257
+
+T'ai Tsung, T'ang ruler 174, 178
+  (_see_ Li Shih-min)
+
+Taiwan (T'ai-wan, _see_ Formosa), 323 ff, 334
+
+T'an-yao, priest, 146
+
+Tanaka, Japanese militarist, 295
+
+T'ang, dynasty, 83-4, 144, 147, 172 ff.;
+  Later T'ang dynasty, 204 ff.
+
+T'ang Hsien-tsu, writer, 255
+
+T'ang Yin, painter, 255
+
+Tanguts, Tibetan tribal federation and/or state, 99, 102, 118, 224-5,
+  233
+  (_see_ Ch'iang)
+
+Tao, philosophical term, 42, 46, 47
+
+Tao-kuang, reign period, 285 ff., 288
+
+_Tao-t�-ching,_ book, 46
+
+T'ao-t'ieh, mythical emblem, 22
+
+Tao-yen, monk, 264
+
+Taoism, religion, 101-2, 133, 136, 150, 183, 188, 236, 266; Taoists, 46,
+  61, 104, 241, 263-4
+  (_see_ Lao Tzu, Chuang Tzu, Chang Ling, etc.)
+
+Tarim basin, 89, 179
+
+Tatars (Ta-tan) Mongolian tribal federation, 190, 230, 233
+
+Taxation, 33, 55, 65, 78, 143, 154, 173, 175, 178, 210, 211, 212, 213,
+  247, 252;
+  Tax collectors, 55, 74, 116;
+  Tax evasion, 214, 226, 246;
+  Tax exemptions, 188, 213, 236;
+  Taxes for monks, 208;
+  Tax reform, 187
+
+T� Tsung, Manchu ruler, 295, 299
+
+Tea, 276; Tea trade, 200; Tea house
+  (_see_ Brothel), 182
+
+Teachers, 74
+  (_see_ Schools)
+
+Technology, 219
+
+Tell, archaeological term, 16
+
+Temples, 101, 183
+  (_see_ Monasteries)
+
+Tengri khan, ruler, 186
+
+Textile industry, 198
+  (_see_ Silk, Cotton)
+
+Thailand, state, 12, 248, 265
+  (_see_ Tai tribes)
+
+Theatre, 182-3, 242
+  (_see_ Shadow, Puppet, Opera)
+
+Throne, accession to, 150
+  (_see_ Abdication, Legitimacy)
+
+Ti, Tibetan tribes, 21, 118
+
+Tibet, 12, 15, 19, 29, 30, 35, 102, 110, 116, 118-19, 120, 121, 126,
+  127, 130, 131, 132, 135, 139, 145, 169, 174, 177, 179, 181, 186, 187,
+  200, 224-5, 242, 273, 278, 283, 284, 293, 310, 329
+  (_see_ Ch'iang, Ti, T'u-fan, T'u-y�-hun, Lhasa Tanguts)
+
+T'ien, deity, 32
+
+Tientsin (T'ien-chin), city, 287, 290, 299
+
+Timur, ruler, 258
+
+Tin, 17
+
+Ting-ling, tribal federation, 89, 102
+
+T'o-pa
+  (_see_ Toba)
+
+T'o-t'o, writer, 241-2
+
+Toba, Turkish tribal federation, 76, 116, 117, 118, 119, 120, 123, 126,
+  127, 132, 136 ff., 159, 160, 161, 168, 169, 172, 173, 174, 177, 214,
+  222, 224
+
+Tocharians, Central Asian ethnic group, 150
+
+Tokto (_see_ T'o-t'o)
+
+T�l�s, Turkish tribal group, 169, 178, 185
+
+Tombs, 19, 34
+
+Tonking, state, 10, 54, 295, 330
+
+Tortoise, 22, 47-8
+
+Totalitarianism, 80
+  (_see_ Dictatorship, Fascism, Communism)
+
+Tou Ku, general, 99
+
+T'ou-man, ruler, 67
+
+Towns
+  (_see_ City)
+
+Trade, 88-9, 90, 99, 127;
+  barter trade, 57;
+  international trade, 60, 62, 86, 127-8, 139, 178, 179, 198, 209, 223,
+  245, 258, 264-5, 276, 286
+  (_see_ Merchants, Commerce, Caravans, Silk road)
+
+Translations, 135, 182, 280, 307
+
+Transportation, 56, 168, 235, 247, 283
+  (_see_ Roads, Canals, Ships, Post, Caravans, Horses)
+
+Travels of emperors, 66
+
+Treasury, 84, 206
+
+Treaty, international, 77, 226, 278, 286, 290-1, 293, 295, 296
+
+Tribal organization, 76, 223, 224
+  (_see_ Banner, Army, Nomads)
+
+Tribes, disappearance of, 133, 151-2;
+  social organization, 117;
+  military organization, 149
+
+Tribute (_kung_), 33, 88, 209, 214, 226, 230, 248
+
+_tsa-hu,_ social class, 144
+
+Tsai T'ien, prince, 295
+
+Ts'ai Y�an-p'ei, scholar, 307
+
+Ts'ao Chih, poet, 48
+
+Ts'ao Hs�eh-ch'in, writer, 280
+
+Ts'ao K'un, politician, 312
+
+Ts'ao P'ei, ruler, 102, 109, 113
+
+Ts'ao Ts'ao, general, 100, 101, 102
+
+Tsewang Rabdan, general, 277
+
+Tseng Kuo-fan, general, 291
+
+Tso Tsung-t'ang, general, 293
+
+Tsou Yen, philosopher, 60-1
+
+Ts'ui, clan, 113, 147, 181
+
+T'u-ch�eh, G�k Turk tribes, 149
+  (_see_ Turks)
+
+Tu Fu, poet, 182
+
+T'u-fan, Tibetan tribal group, 171, 177, 205
+
+Tu-ku, Turkish tribe, 124, 151
+
+_T'u-shu chi-ch'eng_, encyclopaedia, 279
+
+_tu-tu_, title, 174
+
+T'u-y�-hun, Tibetan tribal federation, 130, 141, 169, 177
+
+Tuan Ch'i-jui, president, 312
+
+T�met, Mongol tribal group, 265
+
+Tung Ch'i-ch'ang, painter, 255
+
+T'ung-chien kang-mu, historical encyclopaedia, 43
+
+T'ung-chih, reign period, 294
+
+Tung Chung-shu, thinker, 80, 104
+
+Tung Fu-hsiang, politician, 298
+
+Tung-lin academy, 267
+
+Tungus tribes, 11, 19, 117, 222, 229, 265
+  (_see_ Ju-chen, Po-hai, Manchu)
+
+Tunhuang (Tun-huang), city, 85, 324
+
+Turfan, city state, 245
+
+Turgut, Mongol tribal federation, 283
+
+Turkestan, 45, 60, 62, 85, 86 ff., 88, 95, 97, 99, 113, 114, 125,
+  127, 130, 132, 134, 135, 139, 141, 142, 146, 147, 159, 163,
+  176, 177, 178, 187, 220, 224, 241, 245, 259, 273, 277, 278,
+  282, 289, 293, 294
+  (_see_ Central Asia, Tarim, Turfan, Sinkiang, Khotan,
+  Ferghana, Samarkand, Khotcho, Tocharians, Y�eh-chih, Sogdians,
+  etc.)
+
+Turkey, 259
+
+Turks, 11, 15, 17, 25, 29, 30, 32, 35, 53, 57, 108, 109, 117, 119,
+  122, 127, 133, 135, 137, 140, 146 ff., 149 ff., 169 ff., 174,
+  176 ff., 179, 180, 181, 184, 185, 203, 206, 230, 282, 294, 329
+  (_see_ G�k Turks, T'u-ch�eh, Toba, T�l�s, Ting-ling, Uighur,
+  Sha-t'o, etc.)
+
+Tzu Hsi, empress, 294 ff., 296 ff.
+
+
+Uighurs, Turkish federation, 171, 174, 176, 177, 178, 181, 185, 186
+  ff., 190, 233, 234, 278
+
+United States, 287, 304, 309, 313, 322, 342
+  (_see_ America)
+
+Ungern-Sternberg, general, 311
+
+Urbanization, 31, 250
+  (_see_ City)
+
+Urga, city, 310
+
+University, 304-5, 306, 307, 318, 320
+
+Usury, 94
+
+
+Vagrants (_liu-min_), 198, 213
+
+Vietnam, 330, 334
+  (_see_ Annam)
+
+Village, 23;
+  Village commons, 94, 154
+
+Vinaya Buddhism, 188
+
+Voltaire, writer, 242
+
+
+Walls, 57;
+  Great Wall, 57, 67, 256
+
+Wan-li, reign period, 265, 266
+
+_Wang (king), 38_
+
+Wang An-shih, statesman, 215 ff., 217-18, 254
+
+Wang Chen, eunuch, 260
+
+Wang Ching-wei, collaborator, 315, 318
+
+Wang Ch'ung, philosopher 104-5
+
+Wang Hsien-chih, peasant leader, 189-90
+
+Wang Kung, general, 158
+
+Wang Mang, ruler, 92 ff., 97, 100, 101
+
+Wang Shih-chen, writer, 255
+
+Wang Shih-fu, writer, 242
+
+Wang Tao-k'un, writer, 254
+
+Wang Tun, rebel, 156-7
+
+Wang Yang-ming, general and philosopher, 261 ff.
+
+War, 82;
+  size of wars, 21, 53;
+  War-chariot, 25, 29, 30, 53;
+  cost of wars, 90;
+  War lords, 309 ff.;
+  Warrior-nomads, 36
+  (_see_ Army, World War, Opium War, Lorcha War, Fire-Arms)
+
+Washington, conference, 313
+
+Wei, dynasty, 102, 113 ff.;
+  small state, 40;
+  empress, 180
+
+Wei Chung-hsien, eunuch, 267-8
+
+Wei T'o, ruler in South China, 77
+
+Welfare state, 215 ff.
+
+Well-field system (_ching-t'ien_), 33
+
+Wen Ti, Han ruler, 78, 79, 80, 81, 86;
+  Wei ruler 113;
+  Toba ruler, 144;
+  Sui ruler, 167 ff.
+
+Wen Tsung, Manchu ruler, 294
+
+Whampoa, military academy, 314
+
+Wheat, 11, 21, 32
+
+White Lotos sect (Pai-lien), 239, 267, 284-5
+
+Wholesalers, 200
+
+Wine, 21
+
+Wood-cut, 251, 256
+  (_see_ Colour print)
+
+Wool, 21, 33, 286
+  (_see_ Felt)
+
+World Wars, 295, 310, 311, 312, 317
+
+Women rights, 280, 332
+
+Writing, invention, 18, 22
+  (_see_ Script)
+
+Wu, empress, 179 ff.;
+  state, 38, 111-12, 115, 121
+
+Wu-ch'ang, city, 301
+  (_see_ Hankow)
+
+Wu Ching-tzu, writer, 280
+
+Wu-huan, tribal federation, 98, 102, 114
+
+Wu P'ei-fu, war lord, 312
+
+Wu San-Kui, general, 269, 271, 272, 277
+
+Wu Shih-fan, ruler, 271
+
+Wu-sun, tribal group, 89
+
+Wu Tai (Five Dynasties period), 199 ff.
+
+Wu Tao-tzu, painter, 183
+
+Wu(Ti), Han ruler, 86, 89, 91;
+  Chin ruler, 115;
+  Liang ruler, 161, 164
+
+Wu Tsung, Manchu ruler, 261, 264
+
+Wu Wang, Chou ruler, 30
+
+_wu-wei,_ philosophical term, 47
+
+
+Yakub beg, ruler, 293
+
+Yamato, part of Japan, 112
+
+Yang, clan, 119, 120
+
+Yang Chien, ruler, 151, 163, 166 ff.
+  (_see_ Wen Ti)
+
+Yang (Kui-fei), concubine, 184
+
+Yang-shao, archaeological site, 12 ff., 29
+
+Yang Ti, Sui ruler, 168, 178
+
+Yao, mythical ruler, 17;
+  tribes in South China, 12, 16, 19, 21, 111, 152
+
+Yarkand, city in Turkestan, 97, 98, 282
+
+Yeh (K'ai-feng), city, 125, 148
+
+Yeh-ta (_see_ Ephtalites)
+
+Yehe-Nara, tribe, 294
+
+Yellow Turbans, secret society, 101, 158
+
+Yeh-l� Ch'u-ts'ai, politician, 241
+
+Yen, state, 114;
+  dynasty, 112;
+  Earlier Yen dynasty, 126, 127;
+  Later Yen dynasty 127, 128 ff.;
+  Western Yen dynasty, 129
+
+Yen-an, city, 321-2
+
+Yen Fu, translator, 280
+
+Yen Hsi-shan, war lord, 315
+
+Yen-ta (Altan), ruler, 264-5
+
+_Yen-t'ieh-lun_ (Discourses on Salt and Iron), book, 91
+
+Yin Chung-k'an, general, 158
+
+Yin-ch'�, city, 21
+
+Yin and Yang, philosophical terms, 60
+
+Ying Tsung, Manchu ruler, 259, 260
+
+Yo Fei, general, 226
+
+Y� Liang, general, 156, 157
+
+Y�-wen, tribal group, 119, 148, 169, 172
+
+Y�an Chen, 182
+
+Y�an Chi, philosopher, 50
+
+Y�an Mei, writer, 280
+
+Y�an Shao, general, 100
+
+Y�an Shih-k'ai, general and president, 298, 299, 300, 301, 302, 309,
+     310, 311, 312
+
+Y�an Ti, Han ruler, 92;
+  Chin ruler, 152, 156
+
+Y�eh, tribal group and area, 12, 16, 38, 77, 152
+
+Y�eh-chih, Indo-European-speaking ethnic group, 75, 88, 118, 150
+
+Y�n-kang, caves, 146-7, 344
+
+Y�nnan, (Y�n-nan), province, 10, 89, 97, 110, 248, 258, 275, 292
+
+Yung-cheng, reign period, 278, 282
+
+Yung-lo, reign period, 257, 264
+
+
+Zen Buddhism
+  (_see_ Ch'an), 164
+
+Zoroaster, founder of religion, 342
+
+
+
+Transcriber's Notes
+
+Most typos/misspellings were left as in the original text. In some
+obvious cases they are noted here. There are cases of American and UK
+English. There are cases of unusual hyphenation. There are more than one
+spelling of Chinese proper nouns. There are cases, like Marxism, which
+are not capitalized. There are cases of double words, like 'had had'.
+These are correctly used.
+
+Additionally, the author has spelled the following words inconsistently.
+Those have not been changed, but are listed here:
+
+Northwestern
+Southwards
+Programme
+re-introduced
+practise
+Lotos
+Ju-Ch�n
+cooperate
+life-time
+man-power
+favor
+advise
+
+Page 25. (conceived as a kind of celestrial court) This should be
+celestial court.
+
+Page 25. (the middle of the second millenium B.C.). Normally 'millenium'
+is spelled 'millennium', with a double n.
+
+Page 26. (they re-settled the captured). Normally 're-settled' is
+spelled without a hyphen.
+
+Page 80. ("Collected Statues of the Manchu Dynasty") This is likely a
+typo for "Collected Statutes of the Manchu Dynasty".
+
+Page 197. (allowed to enter the state examina) This may be a typo for
+state examinations.
+
+Page 209. (accounted for 25 per cent cent) I removed the duplicate cent.
+
+Page 255. ("The Peony Pavillion") Pavillion/Pavilion is spelled with one
+'l' in other places thoughout this work.
+
+Page 264. (Ling's church Taosim.) This may be Taoism, but I left as was
+printed.
+
+Page 275. (could allevitate the pressure) Alleviate was probably meant.
+
+Page 278. (particulary in regard) Typo for particularly.
+
+Pages 335 and 336. The spelling of J.�G.�Andersoon/Andersson is not
+consistent. Johan Gunnar Andersson appears to be associated with studies
+of China.
+
+Page 342. The name W.�Eichhorn is apparently misspelled here as Eichhron.
+
+Page 323. Equipped is spelled equiped.
+
+Page 337. (and when it florished,) Typo for flourished.
+
+Index and page 60. Machiavellism/Machiavellian is spelled with 2 'c's.
+Machiavelism is more common as Machiavellianism.
+
+
+
+
+
+End of the Project Gutenberg EBook of A history of China., [3d ed. rev. and
+enl.], by Wolfram Eberhard
+
+*** END OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+***** This file should be named 17695-8.txt or 17695-8.zip *****
+
+This and all associated files of various formats will be found in:
+        http://www.gutenberg.org/1/7/6/9/17695/
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+Updated editions will replace the previous one--the old editions
+will be renamed.
+
+Creating the works from public domain print editions means that no
+one owns a United States copyright in these works, so the Foundation
+(and you!) can copy and distribute it in the United States without
+permission and without paying copyright royalties.  Special rules,
+set forth in the General Terms of Use part of this license, apply to
+copying and distributing Project Gutenberg-tm electronic works to
+protect the PROJECT GUTENBERG-tm concept and trademark.  Project
+Gutenberg is a registered trademark, and may not be used if you
+charge for the eBooks, unless you receive specific permission.  If you
+do not charge anything for copies of this eBook, complying with the
+rules is very easy.  You may use this eBook for nearly any purpose
+such as creation of derivative works, reports, performances and
+research.  They may be modified and printed and given away--you may do
+practically ANYTHING with public domain eBooks.  Redistribution is
+subject to the trademark license, especially commercial
+redistribution.
+
+
+
+*** START: FULL LICENSE ***
+
+THE FULL PROJECT GUTENBERG LICENSE
+PLEASE READ THIS BEFORE YOU DISTRIBUTE OR USE THIS WORK
+
+To protect the Project Gutenberg-tm mission of promoting the free
+distribution of electronic works, by using or distributing this work
+(or any other work associated in any way with the phrase "Project
+Gutenberg"), you agree to comply with all the terms of the Full Project
+Gutenberg-tm License (available with this file or online at
+http://gutenberg.org/license).
+
+
+Section 1.  General Terms of Use and Redistributing Project Gutenberg-tm
+electronic works
+
+1.A.  By reading or using any part of this Project Gutenberg-tm
+electronic work, you indicate that you have read, understand, agree to
+and accept all the terms of this license and intellectual property
+(trademark/copyright) agreement.  If you do not agree to abide by all
+the terms of this agreement, you must cease using and return or destroy
+all copies of Project Gutenberg-tm electronic works in your possession.
+If you paid a fee for obtaining a copy of or access to a Project
+Gutenberg-tm electronic work and you do not agree to be bound by the
+terms of this agreement, you may obtain a refund from the person or
+entity to whom you paid the fee as set forth in paragraph 1.E.8.
+
+1.B.  "Project Gutenberg" is a registered trademark.  It may only be
+used on or associated in any way with an electronic work by people who
+agree to be bound by the terms of this agreement.  There are a few
+things that you can do with most Project Gutenberg-tm electronic works
+even without complying with the full terms of this agreement.  See
+paragraph 1.C below.  There are a lot of things you can do with Project
+Gutenberg-tm electronic works if you follow the terms of this agreement
+and help preserve free future access to Project Gutenberg-tm electronic
+works.  See paragraph 1.E below.
+
+1.C.  The Project Gutenberg Literary Archive Foundation ("the Foundation"
+or PGLAF), owns a compilation copyright in the collection of Project
+Gutenberg-tm electronic works.  Nearly all the individual works in the
+collection are in the public domain in the United States.  If an
+individual work is in the public domain in the United States and you are
+located in the United States, we do not claim a right to prevent you from
+copying, distributing, performing, displaying or creating derivative
+works based on the work as long as all references to Project Gutenberg
+are removed.  Of course, we hope that you will support the Project
+Gutenberg-tm mission of promoting free access to electronic works by
+freely sharing Project Gutenberg-tm works in compliance with the terms of
+this agreement for keeping the Project Gutenberg-tm name associated with
+the work.  You can easily comply with the terms of this agreement by
+keeping this work in the same format with its attached full Project
+Gutenberg-tm License when you share it without charge with others.
+
+1.D.  The copyright laws of the place where you are located also govern
+what you can do with this work.  Copyright laws in most countries are in
+a constant state of change.  If you are outside the United States, check
+the laws of your country in addition to the terms of this agreement
+before downloading, copying, displaying, performing, distributing or
+creating derivative works based on this work or any other Project
+Gutenberg-tm work.  The Foundation makes no representations concerning
+the copyright status of any work in any country outside the United
+States.
+
+1.E.  Unless you have removed all references to Project Gutenberg:
+
+1.E.1.  The following sentence, with active links to, or other immediate
+access to, the full Project Gutenberg-tm License must appear prominently
+whenever any copy of a Project Gutenberg-tm work (any work on which the
+phrase "Project Gutenberg" appears, or with which the phrase "Project
+Gutenberg" is associated) is accessed, displayed, performed, viewed,
+copied or distributed:
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+1.E.2.  If an individual Project Gutenberg-tm electronic work is derived
+from the public domain (does not contain a notice indicating that it is
+posted with permission of the copyright holder), the work can be copied
+and distributed to anyone in the United States without paying any fees
+or charges.  If you are redistributing or providing access to a work
+with the phrase "Project Gutenberg" associated with or appearing on the
+work, you must comply either with the requirements of paragraphs 1.E.1
+through 1.E.7 or obtain permission for the use of the work and the
+Project Gutenberg-tm trademark as set forth in paragraphs 1.E.8 or
+1.E.9.
+
+1.E.3.  If an individual Project Gutenberg-tm electronic work is posted
+with the permission of the copyright holder, your use and distribution
+must comply with both paragraphs 1.E.1 through 1.E.7 and any additional
+terms imposed by the copyright holder.  Additional terms will be linked
+to the Project Gutenberg-tm License for all works posted with the
+permission of the copyright holder found at the beginning of this work.
+
+1.E.4.  Do not unlink or detach or remove the full Project Gutenberg-tm
+License terms from this work, or any files containing a part of this
+work or any other work associated with Project Gutenberg-tm.
+
+1.E.5.  Do not copy, display, perform, distribute or redistribute this
+electronic work, or any part of this electronic work, without
+prominently displaying the sentence set forth in paragraph 1.E.1 with
+active links or immediate access to the full terms of the Project
+Gutenberg-tm License.
+
+1.E.6.  You may convert to and distribute this work in any binary,
+compressed, marked up, nonproprietary or proprietary form, including any
+word processing or hypertext form.  However, if you provide access to or
+distribute copies of a Project Gutenberg-tm work in a format other than
+"Plain Vanilla ASCII" or other format used in the official version
+posted on the official Project Gutenberg-tm web site (www.gutenberg.org),
+you must, at no additional cost, fee or expense to the user, provide a
+copy, a means of exporting a copy, or a means of obtaining a copy upon
+request, of the work in its original "Plain Vanilla ASCII" or other
+form.  Any alternate format must include the full Project Gutenberg-tm
+License as specified in paragraph 1.E.1.
+
+1.E.7.  Do not charge a fee for access to, viewing, displaying,
+performing, copying or distributing any Project Gutenberg-tm works
+unless you comply with paragraph 1.E.8 or 1.E.9.
+
+1.E.8.  You may charge a reasonable fee for copies of or providing
+access to or distributing Project Gutenberg-tm electronic works provided
+that
+
+- You pay a royalty fee of 20% of the gross profits you derive from
+     the use of Project Gutenberg-tm works calculated using the method
+     you already use to calculate your applicable taxes.  The fee is
+     owed to the owner of the Project Gutenberg-tm trademark, but he
+     has agreed to donate royalties under this paragraph to the
+     Project Gutenberg Literary Archive Foundation.  Royalty payments
+     must be paid within 60 days following each date on which you
+     prepare (or are legally required to prepare) your periodic tax
+     returns.  Royalty payments should be clearly marked as such and
+     sent to the Project Gutenberg Literary Archive Foundation at the
+     address specified in Section 4, "Information about donations to
+     the Project Gutenberg Literary Archive Foundation."
+
+- You provide a full refund of any money paid by a user who notifies
+     you in writing (or by e-mail) within 30 days of receipt that s/he
+     does not agree to the terms of the full Project Gutenberg-tm
+     License.  You must require such a user to return or
+     destroy all copies of the works possessed in a physical medium
+     and discontinue all use of and all access to other copies of
+     Project Gutenberg-tm works.
+
+- You provide, in accordance with paragraph 1.F.3, a full refund of any
+     money paid for a work or a replacement copy, if a defect in the
+     electronic work is discovered and reported to you within 90 days
+     of receipt of the work.
+
+- You comply with all other terms of this agreement for free
+     distribution of Project Gutenberg-tm works.
+
+1.E.9.  If you wish to charge a fee or distribute a Project Gutenberg-tm
+electronic work or group of works on different terms than are set
+forth in this agreement, you must obtain permission in writing from
+both the Project Gutenberg Literary Archive Foundation and Michael
+Hart, the owner of the Project Gutenberg-tm trademark.  Contact the
+Foundation as set forth in Section 3 below.
+
+1.F.
+
+1.F.1.  Project Gutenberg volunteers and employees expend considerable
+effort to identify, do copyright research on, transcribe and proofread
+public domain works in creating the Project Gutenberg-tm
+collection.  Despite these efforts, Project Gutenberg-tm electronic
+works, and the medium on which they may be stored, may contain
+"Defects," such as, but not limited to, incomplete, inaccurate or
+corrupt data, transcription errors, a copyright or other intellectual
+property infringement, a defective or damaged disk or other medium, a
+computer virus, or computer codes that damage or cannot be read by
+your equipment.
+
+1.F.2.  LIMITED WARRANTY, DISCLAIMER OF DAMAGES - Except for the "Right
+of Replacement or Refund" described in paragraph 1.F.3, the Project
+Gutenberg Literary Archive Foundation, the owner of the Project
+Gutenberg-tm trademark, and any other party distributing a Project
+Gutenberg-tm electronic work under this agreement, disclaim all
+liability to you for damages, costs and expenses, including legal
+fees.  YOU AGREE THAT YOU HAVE NO REMEDIES FOR NEGLIGENCE, STRICT
+LIABILITY, BREACH OF WARRANTY OR BREACH OF CONTRACT EXCEPT THOSE
+PROVIDED IN PARAGRAPH F3.  YOU AGREE THAT THE FOUNDATION, THE
+TRADEMARK OWNER, AND ANY DISTRIBUTOR UNDER THIS AGREEMENT WILL NOT BE
+LIABLE TO YOU FOR ACTUAL, DIRECT, INDIRECT, CONSEQUENTIAL, PUNITIVE OR
+INCIDENTAL DAMAGES EVEN IF YOU GIVE NOTICE OF THE POSSIBILITY OF SUCH
+DAMAGE.
+
+1.F.3.  LIMITED RIGHT OF REPLACEMENT OR REFUND - If you discover a
+defect in this electronic work within 90 days of receiving it, you can
+receive a refund of the money (if any) you paid for it by sending a
+written explanation to the person you received the work from.  If you
+received the work on a physical medium, you must return the medium with
+your written explanation.  The person or entity that provided you with
+the defective work may elect to provide a replacement copy in lieu of a
+refund.  If you received the work electronically, the person or entity
+providing it to you may choose to give you a second opportunity to
+receive the work electronically in lieu of a refund.  If the second copy
+is also defective, you may demand a refund in writing without further
+opportunities to fix the problem.
+
+1.F.4.  Except for the limited right of replacement or refund set forth
+in paragraph 1.F.3, this work is provided to you 'AS-IS' WITH NO OTHER
+WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO
+WARRANTIES OF MERCHANTIBILITY OR FITNESS FOR ANY PURPOSE.
+
+1.F.5.  Some states do not allow disclaimers of certain implied
+warranties or the exclusion or limitation of certain types of damages.
+If any disclaimer or limitation set forth in this agreement violates the
+law of the state applicable to this agreement, the agreement shall be
+interpreted to make the maximum disclaimer or limitation permitted by
+the applicable state law.  The invalidity or unenforceability of any
+provision of this agreement shall not void the remaining provisions.
+
+1.F.6.  INDEMNITY - You agree to indemnify and hold the Foundation, the
+trademark owner, any agent or employee of the Foundation, anyone
+providing copies of Project Gutenberg-tm electronic works in accordance
+with this agreement, and any volunteers associated with the production,
+promotion and distribution of Project Gutenberg-tm electronic works,
+harmless from all liability, costs and expenses, including legal fees,
+that arise directly or indirectly from any of the following which you do
+or cause to occur: (a) distribution of this or any Project Gutenberg-tm
+work, (b) alteration, modification, or additions or deletions to any
+Project Gutenberg-tm work, and (c) any Defect you cause.
+
+
+Section  2.  Information about the Mission of Project Gutenberg-tm
+
+Project Gutenberg-tm is synonymous with the free distribution of
+electronic works in formats readable by the widest variety of computers
+including obsolete, old, middle-aged and new computers.  It exists
+because of the efforts of hundreds of volunteers and donations from
+people in all walks of life.
+
+Volunteers and financial support to provide volunteers with the
+assistance they need, is critical to reaching Project Gutenberg-tm's
+goals and ensuring that the Project Gutenberg-tm collection will
+remain freely available for generations to come.  In 2001, the Project
+Gutenberg Literary Archive Foundation was created to provide a secure
+and permanent future for Project Gutenberg-tm and future generations.
+To learn more about the Project Gutenberg Literary Archive Foundation
+and how your efforts and donations can help, see Sections 3 and 4
+and the Foundation web page at http://www.pglaf.org.
+
+
+Section 3.  Information about the Project Gutenberg Literary Archive
+Foundation
+
+The Project Gutenberg Literary Archive Foundation is a non profit
+501(c)(3) educational corporation organized under the laws of the
+state of Mississippi and granted tax exempt status by the Internal
+Revenue Service.  The Foundation's EIN or federal tax identification
+number is 64-6221541.  Its 501(c)(3) letter is posted at
+http://pglaf.org/fundraising.  Contributions to the Project Gutenberg
+Literary Archive Foundation are tax deductible to the full extent
+permitted by U.S. federal laws and your state's laws.
+
+The Foundation's principal office is located at 4557 Melan Dr. S.
+Fairbanks, AK, 99712., but its volunteers and employees are scattered
+throughout numerous locations.  Its business office is located at
+809 North 1500 West, Salt Lake City, UT 84116, (801) 596-1887, email
+business@pglaf.org.  Email contact links and up to date contact
+information can be found at the Foundation's web site and official
+page at http://pglaf.org
+
+For additional contact information:
+     Dr. Gregory B. Newby
+     Chief Executive and Director
+     gbnewby@pglaf.org
+
+
+Section 4.  Information about Donations to the Project Gutenberg
+Literary Archive Foundation
+
+Project Gutenberg-tm depends upon and cannot survive without wide
+spread public support and donations to carry out its mission of
+increasing the number of public domain and licensed works that can be
+freely distributed in machine readable form accessible by the widest
+array of equipment including outdated equipment.  Many small donations
+($1 to $5,000) are particularly important to maintaining tax exempt
+status with the IRS.
+
+The Foundation is committed to complying with the laws regulating
+charities and charitable donations in all 50 states of the United
+States.  Compliance requirements are not uniform and it takes a
+considerable effort, much paperwork and many fees to meet and keep up
+with these requirements.  We do not solicit donations in locations
+where we have not received written confirmation of compliance.  To
+SEND DONATIONS or determine the status of compliance for any
+particular state visit http://pglaf.org
+
+While we cannot and do not solicit contributions from states where we
+have not met the solicitation requirements, we know of no prohibition
+against accepting unsolicited donations from donors in such states who
+approach us with offers to donate.
+
+International donations are gratefully accepted, but we cannot make
+any statements concerning tax treatment of donations received from
+outside the United States.  U.S. laws alone swamp our small staff.
+
+Please check the Project Gutenberg Web pages for current donation
+methods and addresses.  Donations are accepted in a number of other
+ways including checks, online payments and credit card donations.
+To donate, please visit: http://pglaf.org/donate
+
+
+Section 5.  General Information About Project Gutenberg-tm electronic
+works.
+
+Professor Michael S. Hart is the originator of the Project Gutenberg-tm
+concept of a library of electronic works that could be freely shared
+with anyone.  For thirty years, he produced and distributed Project
+Gutenberg-tm eBooks with only a loose network of volunteer support.
+
+
+Project Gutenberg-tm eBooks are often created from several printed
+editions, all of which are confirmed as Public Domain in the U.S.
+unless a copyright notice is included.  Thus, we do not necessarily
+keep eBooks in compliance with any particular paper edition.
+
+
+Most people start at our Web site which has the main PG search facility:
+
+     http://www.gutenberg.org
+
+This Web site includes information about Project Gutenberg-tm,
+including how to make donations to the Project Gutenberg Literary
+Archive Foundation, how to help produce our new eBooks, and how to
+subscribe to our email newsletter to hear about new eBooks.
diff --git a/17695-8.zip b/17695-8.zip
new file mode 100644
index 0000000..642e180
--- /dev/null
+++ b/17695-8.zip
diff --git a/17695-h.zip b/17695-h.zip
new file mode 100644
index 0000000..9ad9a0e
--- /dev/null
+++ b/17695-h.zip
diff --git a/17695-h/17695-h.htm b/17695-h/17695-h.htm
new file mode 100644
index 0000000..105593b
--- /dev/null
+++ b/17695-h/17695-h.htm
@@ -0,0 +1,18620 @@
+<!DOCTYPE html PUBLIC "-//W3C//DTD XHTML 1.0 Strict//EN"
+    "http://www.w3.org/TR/xhtml1/DTD/xhtml1-strict.dtd">
+
+<html xmlns="http://www.w3.org/1999/xhtml">
+  <head>
+    <meta http-equiv="Content-Type" content="text/html;charset=iso-8859-1" />
+    <title>
+      The Project Gutenberg eBook of A History of China, by Wolfram Eberhard.
+    </title>
+    <style type="text/css">
+/*<![CDATA[  XML blockout */
+<!--
+	body { margin-left:10%; margin-right:10%; }
+
+	p { /* all paragraphs unless overridden */
+		margin-top: 1em;
+		margin-bottom: 0;
+		line-height: 1.4em;
+	}
+
+	body > p { /* paras at <body> level - not in <div> or <table>  */
+		text-align: justify;
+		text-indent: 1em;
+	}
+
+ 	.center { text-align: center; text-indent:0; }
+
+        .rt {text-align:right;
+             }
+
+        h1,h2,h3,h4,h5,h6 {
+             text-align: center;
+             clear: both;
+             }
+
+        h1 {    margin-top:4em;
+                margin-bottom:1em;
+             }
+
+	h2 {
+		margin-top:4em;
+		margin-bottom: 1em;
+		}
+
+	h2.auth {
+		margin-top:1em;
+		margin-bottom: 1em;
+		}
+
+        h2.ln2  {margin-top:2em;}
+
+	h3,h4,h5 {
+			margin-top: 1em;
+			font-weight: normal;
+		}
+        p.sect, p.noindent {text-indent:0; margin-top:2em; }
+	h1+p, h2+p, h3+p, h4+p, p.sect+p { text-indent: 0; }
+
+	hr {
+		width:65%;
+		margin-top: 2em;
+		margin-left: auto;
+		margin-right: auto;
+		clear: both;
+		}
+
+	.center table { margin-left: auto; margin-right: auto;  text-align: left; }
+
+	dd, li {
+		margin-top: 0.25em;
+		line-height: 1.2em;
+		margin-left: 2em;
+		text-indent: -2em;
+	}
+
+        ul     { list-style-type: none;
+               }
+
+	ul.TOC {
+		list-style-type: none;
+		position: relative;
+		width: 85%;
+		}
+
+	.TOC p {
+		font-size:90%;
+		margin-top: 0;
+		margin-right: 4%;
+	}
+
+	span.ralign {
+		position: absolute; right: 0px; top: auto; text-align: right;
+		}
+
+	table {
+		margin-top: 1em;
+		empty-cells: show;
+	}
+
+	td, td > p {
+                padding: 0px 10px;
+                vertical-align: top;
+		margin-top: 0.25em;
+		line-height: 1.1em;
+		font-size: 90%;
+	}
+
+	.pagenum {
+		display: inline;
+		font-size:smaller;
+		text-align: right;
+		position: absolute; right: 1%;
+		padding: 0 0 0 0 ;
+		margin: 0 0 0 0;
+		}
+
+        .smcap    {font-variant: small-caps; font-size:1em; font-weight:normal;}
+
+	.center img { margin-left: auto; margin-right: auto; }
+
+	img {
+		border: none; padding: 10px 0 0 0;
+		}
+
+	p.caption {
+		margin-top: 0;
+		font-size: smaller;
+
+		}
+
+
+
+	.footnote {
+        	font-size: 90%;
+	}
+
+	.footnote .label {
+        	float:left;
+        	text-align:left;
+        	width:2em;
+	}
+
+	.footnote a {
+		text-decoration:none;
+	}
+
+	.fnanchor {
+		font-size: 80%;
+        	text-decoration: none;
+		vertical-align: 0.25em;
+
+		}
+
+		.i0 {display:inline; margin-left: 1em;}
+		.i1 {display:inline; margin-left: 2em;}
+		.i2 {display:inline; margin-left: 3em;}
+		.i3 {display:inline; margin-left: 4em;}
+		.i4 {display:inline; margin-left: 6em;}
+		.i5 {display:inline; margin-left: 7em;}
+		.i6 {display:inline; margin-left: 8em;}
+		.i7 {display:inline; margin-left: 9em;}
+		.i8 {display:inline; margin-left: 10em;}
+		.i9 {display:inline; margin-left: 11em;}
+
+	ins.corr {
+		text-decoration:none;
+		border-bottom: thin dotted gray;
+		}
+
+
+              a:link {color:#0000ff;
+                              text-decoration:none}
+              link {color:#0000ff;
+                                text-decoration:none}
+              a:visited {color:#0000ff;
+                              text-decoration:none}
+              a:hover {color:#ff0000}
+
+    // -->
+    /* XML end  ]]>*/
+    </style>
+  </head>
+<body>
+
+
+<pre>
+The Project Gutenberg EBook of A history of China., [3d ed. rev. and enl.], by 
+Wolfram Eberhard
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+
+Title: A history of China., [3d ed. rev. and enl.]
+
+Author: Wolfram Eberhard
+
+Release Date: February 7, 2006 [EBook #17695]
+
+Language: English
+
+Character set encoding: ISO-8859-1
+
+*** START OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+
+
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+
+
+
+
+</pre>
+
+
+
+<h1>A<br />
+HISTORY OF CHINA</h1>
+
+<h3>by</h3>
+<h2 class="auth">WOLFRAM EBERHARD</h2>
+<p class="center"><i>of the University of California</i></p>
+
+<p class="center"><i>Illustrated</i></p>
+
+<p class="center">UNIVERSITY OF CALIFORNIA PRESS<br />
+Berkeley and Los Angeles 1969</p>
+
+<hr />
+
+<p class="center">First published in U.&nbsp;S.&nbsp;A.&nbsp;by<br />
+<i>University of California Press</i><br />
+<i>Berkeley and Los Angeles</i><br />
+<i>California</i></p>
+
+<p class="center">Second printing 1955<br />
+Third printing 1956<br />
+Second edition (revised by the author<br />
+and reset) 1960<br />
+Reprinted 1966<br />
+Third edition (revised<br />
+and enlarged) 1969<br /><br /><br /><br /><br /></p>
+
+<hr />
+
+<p class="center"><i>To My Wife</i><br />
+</p>
+
+<hr />
+
+<h2>
+CONTENTS</h2>
+
+<ul class="TOC">
+
+
+<li><a href="#INTRODUCTION">INTRODUCTION</a>                            <span class="ralign"><a href="#Page_1">1</a></span></li>
+<li>&nbsp;</li>
+<li class="center"><a href="#THE_EARLIEST_TIMES"><i>THE EARLIEST TIMES</i></a></li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_One">Chapter I:</a> PREHISTORY
+<ul>
+<li>1 Sources for the earliest history                                   <span class="ralign"><a href="#Page_7">7</a></span></li>
+<li>2 The Peking Man                                                     <span class="ralign"><a href="#Page_8">8</a></span></li>
+<li>3 The Palaeolithic Age                                               <span class="ralign"><a href="#Page_8">8</a></span></li>
+<li>4 The Neolithic Age                                                  <span class="ralign"><a href="#Page_9">9</a></span></li>
+<li>5 The eight principal prehistoric cultures                          <span class="ralign"><a href="#Page_10">10</a></span></li>
+<li>6 The Yang-shao culture                                             <span class="ralign"><a href="#Page_12">12</a></span></li>
+<li>7 The Lung-shan culture                                             <span class="ralign"><a href="#Page_15">15</a></span></li>
+<li>8 The first petty States in Shansi                                  <span class="ralign"><a href="#Page_16">16</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+<li><a href="#Chapter_Two">Chapter II:</a> THE SHANG DYNASTY (<i>c.</i> 1600-1028 <span class="smcap">B.C.</span>)
+<ul>
+<li>1 Period, origin, material culture                                  <span class="ralign"><a href="#Page_19">19</a></span></li>
+<li>2 Writing and Religion                                              <span class="ralign"><a href="#Page_22">22</a></span></li>
+<li>3 Transition to feudalism                                           <span class="ralign"><a href="#Page_24">24</a></span></li>
+</ul></li>
+
+
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+<li class="center"><a href="#ANTIQUITY"><i>ANTIQUITY</i></a></li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Three">Chapter III:</a> THE CHOU DYNASTY (<i>c.</i> 1028-257 <span class="smcap">B.C.</span>)
+
+<ul>
+<li>1 Cultural origin of the Chou and end of the Shang dynasty          <span class="ralign"><a href="#Page_29">29</a></span></li>
+<li>2 Feudalism in the new empire                                       <span class="ralign"><a href="#Page_30">30</a></span></li>
+<li>3 Fusion of Chou and Shang                                          <span class="ralign"><a href="#Page_32">32</a></span></li>
+<li>4 Limitation of the imperial power                                  <span class="ralign"><a href="#Page_36">36</a></span></li>
+<li>5 Changes in the relative strength of the feudal states             <span class="ralign"><a href="#Page_38">38</a></span></li>
+<li>6 Confucius                                                         <span class="ralign"><a href="#Page_40">40</a></span></li>
+<li>7 Lao Tz&#365;                                                           <span class="ralign"><a href="#Page_45">45</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+<li><a href="#Chapter_Four">Chapter IV:</a> THE CONTENDING STATES (481-256 <span class="smcap">B.C.</span>): DISSOLUTION OF THE FEUDAL SYSTEM
+
+
+<ul>
+<li>1 Social and military changes                                       <span class="ralign"><a href="#Page_51">51</a></span></li>
+<li>2 Economic changes                                                  <span class="ralign"><a href="#Page_53">53</a></span></li>
+<li>3 Cultural changes                                                  <span class="ralign"><a href="#Page_57">57</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Five">Chapter V:</a> THE CHIN DYNASTY (256-207 <span class="smcap">B.C.</span>)
+
+
+<ul>
+<li>1 Towards the unitary State                                         <span class="ralign"><a href="#Page_62">62</a></span></li>
+<li>2 Centralization in every field                                     <span class="ralign"><a href="#Page_64">64</a></span></li>
+<li>3 Frontier Defence. Internal collapse                               <span class="ralign"><a href="#Page_67">67</a></span></li>
+</ul></li>
+
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+<li class="center"><a href="#THE_MIDDLE_AGES"><i>THE MIDDLE AGES</i></a></li>
+
+<li>&nbsp;</li>
+
+<li><a href="#Chapter_Six">Chapter VI:</a> THE HAN DYNASTY (206 <span class="smcap">B.C.</span>-<span class="smcap">A.D.</span> 220)
+
+
+<ul>
+<li>1 Development of the gentry-state                                   <span class="ralign"><a href="#Page_71">71</a></span></li>
+<li>2 Situation of the Hsiung-nu empire; its relation to the Han empire. Incorporation of South China  <span class="ralign"><a href="#Page_75">75</a></span></li>
+<li>3 Brief feudal reaction. Consolidation of the gentry                <span class="ralign"><a href="#Page_77">77</a></span></li>
+<li>4 Turkestan policy. End of the Hsiung-nu empire                     <span class="ralign"><a href="#Page_86">86</a></span></li>
+<li>5 Impoverishment. Cliques. End of the Dynasty                       <span class="ralign"><a href="#Page_90">90</a></span></li>
+<li>6 The pseudo-socialistic dictatorship. Revolt of the "Red Eyebrows"   <span class="ralign"><a href="#Page_93">93</a></span></li>
+<li>7 Reaction and Restoration: the Later Han dynasty                   <span class="ralign"><a href="#Page_96">96</a></span></li>
+<li>8 Hsiung-nu policy                                                  <span class="ralign"><a href="#Page_97">97</a></span></li>
+<li>9 Economic situation. Rebellion of the "Yellow Turbans". Collapse of the Han dynasty  <span class="ralign"><a href="#Page_99">99</a></span></li>
+<li>10 Literature and Art                                              <span class="ralign"><a href="#Page_103">103</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Seven">Chapter VII:</a> THE EPOCH OF THE FIRST DIVISION OF CHINA (<span class="smcap">A.D.</span> 220-580)</li>
+
+<li><span class="i0">(A)</span> <i>The three kingdoms</i> (<span class="smcap">A.D.</span> 220-265)
+
+
+<ul>
+<li>1 Social, intellectual, and economic problems during the period of the first division  <span class="ralign"><a href="#Page_107">107</a></span></li>
+<li>2 Status of the two southern Kingdoms                              <span class="ralign"><a href="#Page_109">109</a></span></li>
+<li>3 The northern State of Wei                                        <span class="ralign"><a href="#Page_113">113</a></span></li>
+</ul></li>
+
+<li><span class="i0">(B)</span> <i>The Western Chin dynasty</i> (265-317)
+
+
+<ul>
+<li>1 Internal situation in the Chin empire                            <span class="ralign"><a href="#Page_115">115</a></span></li>
+<li>2 Effect on the frontier peoples                                   <span class="ralign"><a href="#Page_116">116</a></span></li>
+<li>3 Struggles for the throne                                         <span class="ralign"><a href="#Page_119">119</a></span></li>
+<li>4 Migration of Chinese                                             <span class="ralign"><a href="#Page_120">120</a></span></li>
+<li>5 Victory of the Huns. The Hun Han dynasty (later renamed the Earlier Chao dynasty)  <span class="ralign"><a href="#Page_121">121</a></span></li>
+</ul></li>
+
+<li><span class="i0">(C)</span> <i>The alien empires in North China, down to the Toba</i> (<span class="smcap">A.D.</span> 317-385)
+
+
+<ul>
+<li>1 The Later Chao dynasty in eastern North China (Hun; 329-352)     <span class="ralign"><a href="#Page_123">123</a></span></li>
+<li>2 Earlier Yen dynasty in the north-east (proto-Mongol; 352-370), and the Earlier Ch'in dynasty in all north China (Tibetan; 351-394)  <span class="ralign"><a href="#Page_126">126</a></span></li>
+<li>3 The fragmentation of north China                                 <span class="ralign"><a href="#Page_128">128</a></span></li>
+<li>4 Sociological analysis of the two great alien empires             <span class="ralign"><a href="#Page_131">131</a></span></li>
+<li>5 Sociological analysis of the petty States                        <span class="ralign"><a href="#Page_132">132</a></span></li>
+<li>6 Spread of Buddhism                                               <span class="ralign"><a href="#Page_133">133</a></span></li>
+</ul></li>
+
+<li><span class="i0">(D)</span> <i>The Toba empire in North China</i> (<span class="smcap">A.D.</span> 385-550)
+
+
+<ul>
+<li>1 The rise of the Toba State                                       <span class="ralign"><a href="#Page_136">136</a></span></li>
+<li>2 The Hun kingdom of the Hsia (407-431)                            <span class="ralign"><a href="#Page_139">139</a></span></li>
+<li>3 Rise of the Toba to a great power                                <span class="ralign"><a href="#Page_139">139</a></span></li>
+<li>4 Economic and social conditions                                   <span class="ralign"><a href="#Page_142">142</a></span></li>
+<li>5 Victory and retreat of Buddhism                                  <span class="ralign"><a href="#Page_145">145</a></span></li>
+</ul></li>
+
+<li><span class="i0">(E)</span> <i>Succession States of the Toba</i> (<span class="smcap">A.D.</span> 550-580): <i>Northern Ch'i dynasty, Northern Chou dynasty</i>
+
+
+<ul>
+<li>1 Reasons for the splitting of the Toba empire                     <span class="ralign"><a href="#Page_148">148</a></span></li>
+<li>2 Appearance of the (G&ouml;k) Turks                                    <span class="ralign"><a href="#Page_149">149</a></span></li>
+<li>3 The Northern Ch'i dynasty; the Northern Chou dynasty             <span class="ralign"><a href="#Page_150">150</a></span></li>
+</ul></li>
+
+<li><span class="i0">(F)</span> <i>The southern empires</i>
+
+
+<ul>
+<li>1 Economic and social situation in the south                       <span class="ralign"><a href="#Page_152">152</a></span></li>
+<li>2 Struggles between cliques under the Eastern Chin dynasty (<span class="smcap">A.D.</span> 317-419)  <span class="ralign"><a href="#Page_155">155</a></span></li>
+<li>3 The Liu-Sung dynasty (<span class="smcap">A.D.</span> 420-478) and the Southern Ch'i dynasty (<span class="smcap">A.D.</span> 479-501)  <span class="ralign"><a href="#Page_159">159</a></span></li>
+<li>4 The Liang dynasty (<span class="smcap">A.D.</span> 502-556)                        <span class="ralign"><a href="#Page_161">161</a></span></li>
+<li>5 The Ch'en dynasty (<span class="smcap">A.D.</span> 557-588) and its ending by the Sui  <span class="ralign"><a href="#Page_162">162</a></span></li>
+<li>6 Cultural achievements of the south                               <span class="ralign"><a href="#Page_163">163</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Eight">Chapter VIII:</a> THE EMPIRES OF THE SUI AND THE T'ANG</li>
+
+<li><span class="i0">(A)</span> <i>The Sui dynasty</i> (<span class="smcap">A.D.</span> 580-618)
+
+
+<ul>
+<li>1 Internal situation in the newly unified empire                   <span class="ralign"><a href="#Page_166">166</a></span></li>
+<li>2 Relations with Turks and with Korea                              <span class="ralign"><a href="#Page_169">169</a></span></li>
+<li>3 Reasons for collapse                                             <span class="ralign"><a href="#Page_170">170</a></span></li>
+</ul></li>
+
+<li><span class="i0">(B)</span> <i>The Tang dynasty</i> (<span class="smcap">A.D.</span> 618-906)
+
+
+<ul>
+<li>1 Reforms and decentralization                                     <span class="ralign"><a href="#Page_172">172</a></span></li>
+<li>2 Turkish policy                                                   <span class="ralign"><a href="#Page_176">176</a></span></li>
+<li>3 Conquest of Turkestan and Korea. Summit of power                 <span class="ralign"><a href="#Page_177">177</a></span></li>
+<li>4 The reign of the empress Wu: Buddhism and capitalism             <span class="ralign"><a href="#Page_179">179</a></span></li>
+<li>5 Second blossoming of T'ang culture                               <span class="ralign"><a href="#Page_182">182</a></span></li>
+<li>6 Revolt of a military governor                                    <span class="ralign"><a href="#Page_184">184</a></span></li>
+<li>7 The role of the Uighurs. Confiscation of the capital of the monasteries   <span class="ralign"><a href="#Page_186">186</a></span></li>
+<li>8 First successful peasant revolt. Collapse of the empire          <span class="ralign"><a href="#Page_189">189</a></span></li>
+</ul></li>
+
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+<li class="center"><a href="#MODERN_TIMES"><i>MODERN TIMES</i></a></li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Nine">Chapter IX:</a> THE EPOCH OF THE SECOND DIVISION OF CHINA</li>
+
+<li><span class="i0">(A)</span> <i>The period of the Five Dynasties</i> (906-960)
+
+
+<ul>
+<li>1 Beginning of a new epoch                                         <span class="ralign"><a href="#Page_195">195</a></span></li>
+<li>2 Political situation in the tenth century                         <span class="ralign"><a href="#Page_199">199</a></span></li>
+<li>3 Monopolistic trade in South China. Printing and paper money in the north  <span class="ralign"><a href="#Page_200">200</a></span></li>
+<li>4 Political history of the Five Dynasties                          <span class="ralign"><a href="#Page_202">202</a></span></li>
+</ul></li>
+
+<li><span class="i0">(B)</span> <i>Period of Moderate Absolutism</i></li>
+
+<li><span class="i1">(1)</span> <i>The Northern Sung dynasty</i>
+
+
+<ul>
+<li>1 Southward expansion                                              <span class="ralign"><a href="#Page_208">208</a></span></li>
+<li>2 Administration and army. Inflation                               <span class="ralign"><a href="#Page_210">210</a></span></li>
+<li>3 Reforms and Welfare schemes                                      <span class="ralign"><a href="#Page_215">215</a></span></li>
+<li>4 Cultural situation (philosophy, religion, literature, painting)  <span class="ralign"><a href="#Page_217">217</a></span></li>
+<li>5 Military collapse                                                <span class="ralign"><a href="#Page_221">221</a></span></li>
+</ul></li>
+
+<li><span class="i1">(2)</span> <i>The Liao (Kitan) dynasty in the north</i> (937-1125)
+
+
+<ul>
+<li>1 Sociological structure. Claim to the Chinese imperial throne     <span class="ralign"><a href="#Page_222">222</a></span></li>
+<li>2 The State of the Kara-Kitai                                      <span class="ralign"><a href="#Page_223">223</a></span></li>
+</ul></li>
+
+<li><span class="i1">(3)</span> <i>The Hsi-Hsia State in the north</i> (1038-1227)
+
+
+<ul>
+<li>1 Continuation of Turkish traditions                               <span class="ralign"><a href="#Page_224">224</a></span></li>
+</ul></li>
+
+<li><span class="i1">(4)</span> <i>The empire of the Southern Sung dynasty</i> (1127-1279)
+
+
+<ul>
+<li>1 Foundation                                                       <span class="ralign"><a href="#Page_225">225</a></span></li>
+<li>2 Internal situation                                               <span class="ralign"><a href="#Page_226">226</a></span></li>
+<li>3 Cultural situation; reasons for the collapse                     <span class="ralign"><a href="#Page_227">227</a></span></li>
+</ul></li>
+
+<li><span class="i1">(5)</span> <i>The empire of the Juch&ecirc;n in the north</i> (1115-1234)
+
+
+<ul>
+<li>1 Rapid expansion from northern Korea to the Yangtze               <span class="ralign"><a href="#Page_229">229</a></span></li>
+<li>2 United front of all Chinese                                      <span class="ralign"><a href="#Page_229">229</a></span></li>
+<li>3 Start of the Mongol empire                                       <span class="ralign"><a href="#Page_230">230</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Ten">Chapter X:</a> THE PERIOD OF ABSOLUTISM</li>
+
+<li><span class="i0">(A)</span> <i>The Mongol Epoch</i> (1280-1368)
+
+
+<ul>
+<li>1 Beginning of new foreign rules                                   <span class="ralign"><a href="#Page_232">232</a></span></li>
+<li>2 "Nationality legislation"                                        <span class="ralign"><a href="#Page_233">233</a></span></li>
+<li>3 Military position                                                <span class="ralign"><a href="#Page_234">234</a></span></li>
+<li>4 Social situation                                                 <span class="ralign"><a href="#Page_235">235</a></span></li>
+<li>5 Popular risings: National rising                                 <span class="ralign"><a href="#Page_238">238</a></span></li>
+<li>6 Cultural                                                         <span class="ralign"><a href="#Page_241">241</a></span></li>
+</ul></li>
+
+<li><span class="i0">(B)</span> <i>The Ming Epoch</i> (1368-1644)
+
+
+<ul>
+<li>1 Start. National feeling                                          <span class="ralign"><a href="#Page_243">243</a></span></li>
+<li>2 Wars against Mongols and Japanese                                <span class="ralign"><a href="#Page_244">244</a></span></li>
+<li>3 Social legislation within the existing order                     <span class="ralign"><a href="#Page_246">246</a></span></li>
+<li>4 Colonization and agricultural developments                       <span class="ralign"><a href="#Page_248">248</a></span></li>
+<li>5 Commercial and industrial developments                           <span class="ralign"><a href="#Page_250">250</a></span></li>
+<li>6 Growth of the small gentry                                       <span class="ralign"><a href="#Page_252">252</a></span></li>
+<li>7 Literature, art, crafts                                          <span class="ralign"><a href="#Page_253">253</a></span></li>
+<li>8 Politics at court                                                <span class="ralign"><a href="#Page_256">256</a></span></li>
+<li>9 Navy. Southward expansion                                        <span class="ralign"><a href="#Page_258">258</a></span></li>
+<li>10 Struggles between cliques                                       <span class="ralign"><a href="#Page_259">259</a></span></li>
+<li>11 Risings                                                         <span class="ralign"><a href="#Page_262">262</a></span></li>
+<li>12 Machiavellism                                                   <span class="ralign"><a href="#Page_263">263</a></span></li>
+<li>13 Foreign relations in the sixteenth century                      <span class="ralign"><a href="#Page_264">264</a></span></li>
+<li>14 External and internal perils                                    <span class="ralign"><a href="#Page_266">266</a></span></li>
+</ul></li>
+
+<li><span class="i0">(C)</span> <i>The Manchu Dynasty</i> (1644-1911)
+
+
+<ul>
+<li>1 Installation of the Manchus                                      <span class="ralign"><a href="#Page_270">270</a></span></li>
+<li>2 Decline in the eighteenth century                                <span class="ralign"><a href="#Page_272">272</a></span></li>
+<li>3 Expansion in Central Asia; the first State treaty                <span class="ralign"><a href="#Page_277">277</a></span></li>
+<li>4 Culture                                                          <span class="ralign"><a href="#Page_279">279</a></span></li>
+<li>5 Relations with the outer world                                   <span class="ralign"><a href="#Page_282">282</a></span></li>
+<li>6 Decline; revolts                                                 <span class="ralign"><a href="#Page_284">284</a></span></li>
+<li>7 European Imperialism in the Far East                             <span class="ralign"><a href="#Page_285">285</a></span></li>
+<li>8 Risings in Turkestan and within China: the T'ai P'ing Rebellion  <span class="ralign"><a href="#Page_288">288</a></span></li>
+<li>9 Collision with Japan; further Capitulations                      <span class="ralign"><a href="#Page_294">294</a></span></li>
+<li>10 Russia in Manchuria                                             <span class="ralign"><a href="#Page_296">296</a></span></li>
+<li>11 Reform and reaction: The Boxer Rising                           <span class="ralign"><a href="#Page_296">296</a></span></li>
+<li>12 End of the dynasty                                              <span class="ralign"><a href="#Page_299">299</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Eleven">Chapter XI:</a> THE REPUBLIC (1912-1948)
+
+
+<ul>
+<li>1 Social and intellectual position                                 <span class="ralign"><a href="#Page_303">303</a></span></li>
+<li>2 First period of the Republic: The warlords                       <span class="ralign"><a href="#Page_309">309</a></span></li>
+<li>3 Second period of the Republic: Nationalist China                 <span class="ralign"><a href="#Page_314">314</a></span></li>
+<li>4 The Sino-Japanese war (1937-1945)                                <span class="ralign"><a href="#Page_317">317</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+
+<li><a href="#Chapter_Twelve">Chapter XII:</a> PRESENT-DAY CHINA
+
+
+<ul>
+<li>1 The growth of communism                                          <span class="ralign"><a href="#Page_320">320</a></span></li>
+<li>2 Nationalist China in Taiwan                                      <span class="ralign"><a href="#Page_323">323</a></span></li>
+<li>3 Communist China                                                  <span class="ralign"><a href="#Page_327">327</a></span></li>
+</ul></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+<li><a href="#NOTES_AND_REFERENCES">Notes and References</a>           <span class="ralign"><a href="#Page_335">335</a></span></li>
+<li>&nbsp;</li>
+<li>&nbsp;</li>
+
+<li><a href="#Index">Index</a>                                          <span class="ralign"><a href="#Page_355">355</a></span></li>
+</ul>
+
+
+
+
+
+<h2>
+ILLUSTRATIONS<br /></h2>
+
+<ul class="TOC">
+<li><a href="#image03">1 Painted pottery from Kansu: Neolithic.</a> <i>Facing page</i>         <span class="ralign">48</span>
+<ul>
+<li><i>In the collection of the Museum f&uuml;r V&ouml;lkerkunde, Berlin</i>.</li>
+</ul></li>
+
+<li><a href="#image04">2 Ancient bronze tripod found at Anyang.</a>                            <span class="ralign">49</span>
+<ul>
+<li><i>From G.&nbsp;Ecke: Fr&uuml;he chinesische Bronzen aus der Sammlung Oskar Trautmann, Peking 1939 plate 3.</i></li>
+</ul></li>
+
+<li><a href="#image05">3 Bronze plaque representing two horses fighting each other. Ordos region, animal style.</a>                                  <span class="ralign">64</span>
+<ul>
+<li><i>From V.&nbsp;Griessmaier: Sammlung Baron Eduard von der Heydt, Vienna 1936, illustration No. 6.</i></li>
+</ul></li>
+
+<li><a href="#image06">4 Hunting scene: detail from the reliefs in the tombs at Wu-liang-tz'u.</a>  <span class="ralign">64</span>
+<ul>
+<li><i>From a print in the author's possession</i>.</li>
+</ul></li>
+
+<li><a href="#image07">5 Part of the "Great Wall".</a>                                         <span class="ralign">65</span>
+<ul>
+<li><i>Photo Eberhard.</i></li>
+</ul></li>
+
+<li><a href="#image10">6 Sun Ch'&uuml;an, ruler of Wu.</a>                                         <span class="ralign">144</span>
+<ul>
+<li><i>From a painting by Yen Li-pen (c. 640-680).</i></li>
+</ul></li>
+
+<li><a href="#image11">7 General view of the Buddhist cave-temples of Y&uuml;n-kang. In the foreground, the present village; in the background the rampart.</a>  <span class="ralign">145</span>
+<ul>
+<li><i>Photo H.&nbsp;Hammer-Morrisson.</i></li>
+</ul></li>
+
+<li><a href="#image12">8 Detail from the Buddhist cave-reliefs of Lungmen.</a>                <span class="ralign">160</span>
+<ul>
+<li><i>From a print in the author's possession.</i></li>
+</ul></li>
+
+<li><a href="#image13">9 Statue of Mi-lo (Maitreya, the next future Buddha), in the "Great Buddha Temple" at Chengting (Hopei).</a>   <span class="ralign">161</span>
+<ul>
+<li><i>Photo H.&nbsp;Hammer-Morrisson.</i></li>
+</ul></li>
+
+<li><a href="#image16">10 Ladies of the Court: Clay models which accompanied the dead person to the grave. T'ang period.</a>                        <span class="ralign">208</span>
+<ul>
+<li><i>In the collection of the Museum f&uuml;r V&ouml;lkerkunde, Berlin.</i></li>
+</ul></li>
+
+<li><a href="#image17">11 Distinguished founder: a temple banner found at Khotcho, Turkestan.</a>                                                <span class="ralign">209</span>
+<ul>
+<li><i>Museum f&uuml;r V&ouml;lkerkunde, Berlin. No. 1B 4524, illustration B 408.</i></li>
+</ul></li>
+
+<li><a href="#image18">12 Ancient tiled pagoda at Chengting (Hopei).</a>                      <span class="ralign">224</span>
+<ul>
+<li><i>Photo H.&nbsp;Hammer-Morrisson.</i></li>
+</ul></li>
+
+<li><a href="#image19">13 Horse-training. Painting by Li Lung-mien. Late Sung period.</a>                                                            <span class="ralign">225</span>
+<ul>
+<li><i>Manchu Royal House Collection.</i></li>
+</ul></li>
+
+<li><a href="#image21">14 Aborigines of South China, of the "Black Miao" tribe, at a festival. China-ink drawing of the eighteenth century.</a>                                                           <span class="ralign">272</span>
+<ul>
+<li><i>Collection of the Museum f&uuml;r V&ouml;lkerkunde, Berlin. No. 1D 8756, 68.</i></li>
+</ul></li>
+
+<li><a href="#image22">15 Pavilion on the "Coal Hill" at Peking, in which the last Ming emperor committed suicide.</a>                                    <span class="ralign">273</span>
+<ul>
+<li><i>Photo Eberhard.</i></li>
+</ul></li>
+
+<li><a href="#image23">16 The imperial summer palace of the Manchu rulers, at Jehol.</a>                                                             <span class="ralign">288</span>
+<ul>
+<li><i>Photo H.&nbsp;Hammer-Morrisson.</i></li>
+</ul></li>
+
+<li><a href="#image24">17 Tower on the city wall of Peking.</a>                               <span class="ralign">289</span>
+<ul>
+<li><i>Photo H.&nbsp;Hammer-Morrisson.</i></li>
+</ul></li>
+</ul>
+
+
+
+
+<h2>
+MAPS<br /></h2>
+<ul class="TOC">
+
+<li><a href="#image01">1 Regions of the principal local cultures in prehistoric times</a>                                                               <span class="ralign">13</span></li>
+
+<li><a href="#image02">2 The principal feudal States in the feudal epoch</a> (roughly 722-481 <span class="smcap">B.C.</span>)                                              <span class="ralign">39</span></li>
+
+<li><a href="#image08">3 China in the struggle with the Huns or Hsiung-nu</a> (roughly 128-100 <span class="smcap">B.C.</span>)                                     <span class="ralign">87</span></li>
+
+<li><a href="#image09">4 The Toba empire</a> (about <span class="smcap">A.D.</span> 500)                        <span class="ralign">141</span></li>
+
+<li><a href="#image14">5 The T'ang realm</a> (about <span class="smcap">A.D.</span> 750)                        <span class="ralign">171</span></li>
+
+<li><a href="#image15">6 The State of the Later T'ang dynasty (923-935)</a>                   <span class="ralign">205</span></li>
+
+</ul>
+
+
+<p><!-- Page 1 --><span class='pagenum'><a name="Page_1" id="Page_1">[Pg 1]</a></span></p>
+
+<hr />
+<h2><a name="INTRODUCTION" id="INTRODUCTION"></a>INTRODUCTION</h2>
+
+
+<p>There are indeed enough Histories of China already: why yet another one?
+Because the time has come for new departures; because we need to clear
+away the false notions with which the general public is constantly being
+fed by one author after another; because from time to time syntheses
+become necessary for the presentation of the stage reached by research.</p>
+
+<p>Histories of China fall, with few exceptions, into one or the other of
+two groups, pro-Chinese and anti-Chinese: the latter used to
+predominate, but today the former type is much more frequently found. We
+have no desire to show that China's history is the most glorious or her
+civilization the oldest in the world. A claim to the longest history
+does not establish the greatness of a civilization; the importance of a
+civilization becomes apparent in its achievements. A thousand years ago
+China's civilization towered over those of the peoples of Europe. Today
+the West is leading; tomorrow China may lead again. We need to realize
+how China became what she is, and to note the paths pursued by the
+Chinese in human thought and action. The lives of emperors, the great
+battles, this or the other famous deed, matter less to us than the
+discovery of the great forces that underlie these features and govern
+the human element. Only when we have knowledge of those forces and
+counter-forces can we realize the significance of the great
+personalities who have emerged in China; and only then will the history
+of China become intelligible even to those who have little knowledge of
+the Far East and can make nothing of a mere enumeration of dynasties and
+campaigns.</p>
+
+<p>Views on China's history have radically changed in recent years. Until
+about thirty years ago our knowledge of the earliest times in China
+depended entirely on Chinese documents of much later date; now we are
+able to rely on many excavations which enable us to check the written
+sources. Ethnological, anthropological, and sociological research has
+begun for China and her neighbours; thus we are in a position to write
+with some confidence about the making of China, and about her ethnical
+development, where formerly we could only grope in the dark. The claim
+that "the Chinese<!-- Page 2 --><span class='pagenum'><a name="Page_2" id="Page_2">[Pg 2]</a></span> race" produced the high Chinese civilization entirely
+by its own efforts, thanks to its special gifts, has become just as
+untenable as the other theory that immigrants from the West, some
+conceivably from Europe, carried civilization to the Far East. We know
+now that in early times there was no "Chinese race", there were not even
+"Chinese", just as there were no "French" and no "Swiss" two thousand
+years ago. The "Chinese" resulted from the amalgamation of many separate
+peoples of different races in an enormously complicated and
+long-drawn-out process, as with all the other high civilizations of the
+world.</p>
+
+<p>The picture of ancient and medieval China has also been entirely changed
+since it has been realized that the sources on which reliance has always
+been placed were not objective, but deliberately and emphatically
+represented a particular philosophy. The reports on the emperors and
+ministers of the earliest period are not historical at all, but served
+as examples of ideas of social policy or as glorifications of particular
+noble families. Myths such as we find to this day among China's
+neighbours were made into history; gods were made men and linked
+together by long family trees. We have been able to touch on all these
+things only briefly, and have had to dispense with any account of the
+complicated processes that have taken place here.</p>
+
+<p>The official dynastic histories apply to the course of Chinese history
+the criterion of Confucian ethics; for them history is a textbook of
+ethics, designed to show by means of examples how the man of high
+character should behave or not behave. We have to go deeper, and try to
+extract the historic truth from these records. Many specialized studies
+by Chinese, Japanese, and Western scholars on problems of Chinese
+history are now available and of assistance in this task. However, some
+Chinese writers still imagine that they are serving their country by yet
+again dishing up the old fables for the foreigner as history; and some
+Europeans, knowing no better or aiming at setting alongside the
+unedifying history of Europe the shining example of the conventional
+story of China, continue in the old groove. To this day, of course, we
+are far from having really worked through every period of Chinese
+history; there are long periods on which scarcely any work has yet been
+done. Thus the picture we are able to give today has no finality about
+it and will need many modifications. But the time has come for a new
+synthesis, so that criticism may proceed along the broadest possible
+front and push our knowledge further forward.</p>
+
+<p>The present work is intended for the general reader and not for the
+specialist, who will devote his attention to particular studies<!-- Page 3 --><span class='pagenum'><a name="Page_3" id="Page_3">[Pg 3]</a></span> and to
+the original texts. In view of the wide scope of the work, I have had to
+confine myself to placing certain lines of thought in the foreground and
+paying less attention to others. I have devoted myself mainly to showing
+the main lines of China's social and cultural development down to the
+present day. But I have also been concerned not to leave out of account
+China's relations with her neighbours. Now that we have a better
+knowledge of China's neighbours, the Turks, Mongols, Tibetans, Tunguses,
+Tai, not confined to the narratives of Chinese, who always speak only of
+"barbarians", we are better able to realize how closely China has been
+associated with her neighbours from the first day of her history to the
+present time; how greatly she is indebted to them, and how much she has
+given them. We no longer see China as a great civilization surrounded by
+barbarians, but we study the Chinese coming to terms with their
+neighbours, who had civilizations of quite different types but
+nevertheless developed ones.</p>
+
+<p>It is usual to split up Chinese history under the various dynasties that
+have ruled China or parts thereof. The beginning or end of a dynasty
+does not always indicate the beginning or the end of a definite period
+of China's social or cultural development. We have tried to break
+China's history down into the three large periods&mdash;"Antiquity", "The
+Middle Ages", and "Modern Times". This does not mean that we compare
+these periods with periods of the same name in Western history although,
+naturally, we find some similarities with the development of society and
+culture in the West. Every attempt towards periodization is to some
+degree arbitrary: the beginning and end of the Middle Ages, for
+instance, cannot be fixed to a year, because development is a continuous
+process. To some degree any periodization is a matter of convenience,
+and it should be accepted as such.</p>
+
+<p>The account of Chinese history here given is based on a study of the
+original documents and excavations, and on a study of recent research
+done by Chinese, Japanese and Western scholars, including my own
+research. In many cases, these recent studies produced new data or
+arranged new data in a new way without an attempt to draw general
+conclusions. By putting such studies together, by fitting them into the
+pattern that already existed, new insights into social and cultural
+processes have been gained. The specialist in the field will, I hope,
+easily recognize the sources, primary or secondary, on which such new
+insights represented in this book are based. Brief notes are appended
+for each chapter; they indicate the most important works in English and
+provide the general reader with an opportunity of finding further
+information on<!-- Page 4 --><span class='pagenum'><a name="Page_4" id="Page_4">[Pg 4]</a></span> the problems touched on. For the specialist brief hints
+to international research are given, mainly in cases in which different
+interpretations have been proposed.</p>
+
+<p>Chinese words are transcribed according to the Wade-Giles system with
+the exception of names for which already a popular way of transcription
+exists (such as Peking). Place names are written without hyphen, if they
+remain readable.<!-- Page 5 --><span class='pagenum'><a name="Page_5" id="Page_5">[Pg 5]</a></span></p>
+
+
+
+<hr />
+<h2><a name="THE_EARLIEST_TIMES" id="THE_EARLIEST_TIMES"></a>THE EARLIEST TIMES</h2>
+
+
+
+<hr />
+<p><a name="Page_6" id="Page_6"></a>
+<!-- Page 7 --><span class='pagenum'><a name="Page_7" id="Page_7">[Pg 7]</a></span></p>
+<h2><a name="Chapter_One" id="Chapter_One"></a>Chapter One</h2>
+
+<h2 class="ln2">PREHISTORY</h2>
+
+
+<p class="sect">1 <i>Sources for the earliest history</i></p>
+
+<p>Until recently we were dependent for the beginnings of Chinese history
+on the written Chinese tradition. According to these sources China's
+history began either about 4000 <span class="smcap">B.C.</span> or about 2700
+<span class="smcap">B.C.</span> with a succession of wise emperors who "invented" the
+elements of a civilization, such as clothing, the preparation of food,
+marriage, and a state system; they instructed their people in these
+things, and so brought China, as early as in the third millennium
+<span class="smcap">B.C.</span>, to an astonishingly high cultural level. However, all we
+know of the origin of civilizations makes this of itself entirely
+improbable; no other civilization in the world originated in any such
+way. As time went on, Chinese historians found more and more to say
+about primeval times. All these narratives were collected in the great
+imperial history that appeared at the beginning of the Manchu epoch.
+That book was translated into French, and all the works written in
+Western languages until recent years on Chinese history and civilization
+have been based in the last resort on that translation.</p>
+
+<p>Modern research has not only demonstrated that all these accounts are
+inventions of a much later period, but has also shown <i>why</i> such
+narratives were composed. The older historical sources make no mention
+of any rulers before 2200 <span class="smcap">B.C.</span>, no mention even of their names.
+The names of earlier rulers first appear in documents of about 400
+<span class="smcap">B.C.</span>; the deeds attributed to them and the dates assigned to
+them often do not appear until much later. Secondly, it was shown that
+the traditional chronology is wrong and another must be adopted,
+reducing all the dates for the more ancient history, before 900
+<span class="smcap">B.C.</span> Finally, all narratives and reports from China's earliest
+period have been dealt a mortal blow by modern archaeology, with the
+excavations of recent years. There was no trace of any high civilization
+in the third millennium <span class="smcap">B.C.</span>, and,<!-- Page 8 --><span class='pagenum'><a name="Page_8" id="Page_8">[Pg 8]</a></span> indeed, we can only speak
+of a real "Chinese civilization" from 1300 <span class="smcap">B.C.</span> onward. The
+peoples of the China of that time had come from the most varied sources;
+from 1300 <span class="smcap">B.C.</span> they underwent a common process of development
+that welded them into a new unity. In this sense and emphasizing the
+cultural aspects, we are justified in using from then on a new name,
+"Chinese", for the peoples of China. Those sections, however, of their
+ancestral populations who played no part in the subsequent cultural and
+racial fusion, we may fairly call "non-Chinese". This distinction
+answers the question that continually crops up, whether the Chinese are
+"autochthonons". They are autochthonons in the sense that they formed a
+unit in the Far East, in the geographical region of the present China,
+and were not immigrants from the Middle East.</p>
+
+
+<p class="sect">2 <i>The Peking Man</i></p>
+
+<p>Man makes his appearance in the Far East at a time when remains in other
+parts of the world are very rare and are disputed. He appears as the
+so-called "Peking Man", whose bones were found in caves of
+Chou-k'ou-tien south of Peking. The Peking Man is vastly different from
+the men of today, and forms a special branch of the human race, closely
+allied to the Pithecanthropus of Java. The formation of later races of
+mankind from these types has not yet been traced, if it occurred at all.
+Some anthropologists consider, however, that the Peking Man possessed
+already certain characteristics peculiar to the yellow race.</p>
+
+<p>The Peking Man lived in caves; no doubt he was a hunter, already in
+possession of very simple stone implements and also of the art of making
+fire. As none of the skeletons so far found are complete, it is assumed
+that he buried certain bones of the dead in different places from the
+rest. This burial custom, which is found among primitive peoples in
+other parts of the world, suggests the conclusion that the Peking Man
+already had religious notions. We have no knowledge yet of the length of
+time the Peking Man may have inhabited the Far East. His first traces
+are attributed to a million years ago, and he may have flourished in
+500,000 <span class="smcap">B.C.</span></p>
+
+
+<p class="sect">3 <i>The Palaeolithic Age</i></p>
+
+<p>After the period of the Peking Man there comes a great gap in our
+knowledge. All that we know indicates that at the time of the Peking Man
+there must have been a warmer and especially a damper climate in North
+China and Inner Mongolia than today.<!-- Page 9 --><span class='pagenum'><a name="Page_9" id="Page_9">[Pg 9]</a></span> Great areas of the Ordos region,
+now dry steppe, were traversed in that epoch by small rivers and lakes
+beside which men could live. There were elephants, rhinoceroses, extinct
+species of stag and bull, even tapirs and other wild animals. About
+50,000 <span class="smcap">B.C.</span> there lived by these lakes a hunting people whose
+stone implements (and a few of bone) have been found in many places. The
+implements are comparable in type with the palaeolithic implements of
+Europe (Mousterian type, and more rarely Aurignacian or even
+Magdalenian). They are not, however, exactly like the European
+implements, but have a character of their own. We do not yet know what
+the men of these communities looked like, because as yet no indisputable
+human remains have been found. All the stone implements have been found
+on the surface, where they have been brought to light by the wind as it
+swept away the loess. These stone-age communities seem to have lasted a
+considerable time and to have been spread not only over North China but
+over Mongolia and Manchuria. It must not be assumed that the stone age
+came to an end at the same time everywhere. Historical accounts have
+recorded, for instance, that stone implements were still in use in
+Manchuria and eastern Mongolia at a time when metal was known and used
+in western Mongolia and northern China. Our knowledge about the
+palaeolithic period of Central and South China is still extremely
+limited; we have to wait for more excavations before anything can be
+said. Certainly, many implements in this area were made of wood or more
+probably bamboo, such as we still find among the non-Chinese tribes of
+the south-west and of South-East Asia. Such implements, naturally, could
+not last until today.</p>
+
+<p>About 25,000 <span class="smcap">B.C.</span> there appears in North China a new human
+type, found in upper layers in the same caves that sheltered Peking Man.
+This type is beyond doubt not Mongoloid, and may have been allied to the
+Ainu, a non-Mongol race still living in northern Japan. These, too, were
+a palaeolithic people, though some of their implements show technical
+advance. Later they disappear, probably because they were absorbed into
+various populations of central and northern Asia. Remains of them have
+been found in badly explored graves in northern Korea.</p>
+
+
+<p class="sect">4 <i>The Neolithic age</i></p>
+
+<p>In the period that now followed, northern China must have gradually
+become arid, and the formation of loess seems to have steadily advanced.
+There is once more a great gap in our knowledge until, about 4000
+<span class="smcap">B.C.</span>, we can trace in North China a purely<!-- Page 10 --><span class='pagenum'><a name="Page_10" id="Page_10">[Pg 10]</a></span> Mongoloid people
+with a neolithic culture. In place of hunters we find cattle breeders,
+who are even to some extent agriculturists as well. This may seem an
+astonishing statement for so early an age. It is a fact, however, that
+pure pastoral nomadism is exceptional, that normal pastoral nomads have
+always added a little farming to their cattle-breeding, in order to
+secure the needed additional food and above all fodder, for the winter.</p>
+
+<p>At this time, about 4000 <span class="smcap">B.C.</span>, the other parts of China come
+into view. The neolithic implements of the various regions of the Far
+East are far from being uniform; there are various separate cultures. In
+the north-west of China there is a system of cattle-breeding combined
+with agriculture, a distinguishing feature being the possession of
+finely polished axes of rectangular section, with a cutting edge.
+Farther east, in the north and reaching far to the south, is found a
+culture with axes of round or oval section. In the south and in the
+coastal region from Nanking to Tonking, Y&uuml;nnan to Fukien, and reaching
+as far as the coasts of Korea and Japan, is a culture with so-called
+shoulder-axes. Szechwan and Y&uuml;nnan represented a further independent
+culture.</p>
+
+<p>All these cultures were at first independent. Later the shoulder-axe
+culture penetrated as far as eastern India. Its people are known to
+philological research as Austroasiatics, who formed the original stock
+of the Australian aborigines; they survived in India as the Munda
+tribes, in Indo-China as the Mon-Khmer, and also remained in pockets on
+the islands of Indonesia and especially Melanesia. All these peoples had
+migrated from southern China. The peoples with the oval-axe culture are
+the so-called Papuan peoples in Melanesia; they, too, migrated from
+southern China, probably before the others. Both groups influenced the
+ancient Japanese culture. The rectangular-axe culture of north-west
+China spread widely, and moved southward, where the Austronesian peoples
+(from whom the Malays are descended) were its principal constituents,
+spreading that culture also to Japan.</p>
+
+<p>Thus we see here, in this period around 4000 <span class="smcap">B.C.</span>, an extensive
+mutual penetration of the various cultures all over the Far East,
+including Japan, which in the palaeolithic age was apparently without or
+almost without settlers.</p>
+
+
+<p class="sect">5 <i>The eight principal prehistoric cultures</i></p>
+
+<p>In the period roughly around 2500 <span class="smcap">B.C.</span> the general historical
+view becomes much clearer. Thanks to a special method of working, making
+use of the ethnological sources available from later times together with
+the archaeological sources, much new knowledge has<!-- Page 11 --><span class='pagenum'><a name="Page_11" id="Page_11">[Pg 11]</a></span> been gained in
+recent years. At this time there is still no trace of a Chinese realm;
+we find instead on Chinese soil a considerable number of separate local
+cultures, each developing on its own lines. The chief of these cultures,
+acquaintance with which is essential to a knowledge of the whole later
+development of the Far East, are as follows:</p>
+
+<p>(a) <i>The north-east culture</i>, centred in the present provinces of Hopei
+(in which Peking lies), Shantung, and southern Manchuria. The people of
+this culture were ancestors of the Tunguses, probably mixed with an
+element that is contained in the present-day Paleo-Siberian tribes.
+These men were mainly hunters, but probably soon developed a little
+primitive agriculture and made coarse, thick pottery with certain basic
+forms which were long preserved in subsequent Chinese pottery (for
+instance, a type of the so-called tripods). Later, pig-breeding became
+typical of this culture.</p>
+
+<p>(b) <i>The northern culture</i> existed to the west of that culture, in the
+region of the present Chinese province of Shansi and in the province of
+Jehol in Inner Mongolia. These people had been hunters, but then became
+pastoral nomads, depending mainly on cattle. The people of this culture
+were the tribes later known as Mongols, the so-called proto-Mongols.
+Anthropologically they belonged, like the Tunguses, to the Mongol race.</p>
+
+<p>(c) The people of the culture farther west, the <i>north-west culture</i>,
+were not Mongols. They, too, were originally hunters, and later became a
+pastoral people, with a not inconsiderable agriculture (especially
+growing wheat and millet). The typical animal of this group soon became
+the horse. The horse seems to be the last of the great animals to be
+domesticated, and the date of its first occurrence in domesticated form
+in the Far East is not yet determined, but we can assume that by 2500
+<span class="smcap">B.C.</span> this group was already in the possession of horses. The
+horse has always been a "luxury", a valuable animal which needed special
+care. For their economic needs, these tribes depended on other animals,
+probably sheep, goats, and cattle. The centre of this culture, so far as
+can be ascertained from Chinese sources, were the present provinces of
+Shensi and Kansu, but mainly only the plains. The people of this culture
+were most probably ancestors of the later Turkish peoples. It is not
+suggested, of course, that the original home of the Turks lay in the
+region of the Chinese provinces of Shensi and Kansu; one gains the
+impression, however, that this was a border region of the Turkish
+expansion; the Chinese documents concerning that period do not suffice
+to establish the centre of the Turkish territory.</p>
+
+<p>(d) In the <i>west</i>, in the present provinces of Szechwan and in all<!-- Page 12 --><span class='pagenum'><a name="Page_12" id="Page_12">[Pg 12]</a></span> the
+mountain regions of the provinces of Kansu and Shensi, lived the
+ancestors of the Tibetan peoples as another separate culture. They were
+shepherds, generally wandering with their flocks of sheep and goats on
+the mountain heights.</p>
+
+<p>(e) In the <i>south</i> we meet with four further cultures. One is very
+primitive, the Liao culture, the peoples of which are the Austroasiatics
+already mentioned. These are peoples who never developed beyond the
+stage of primitive hunters, some of whom were not even acquainted with
+the bow and arrow. Farther east is the Yao culture, an early
+Austronesian culture, the people of which also lived in the mountains,
+some as collectors and hunters, some going over to a simple type of
+agriculture (denshiring). They mingled later with the last great culture
+of the south, the Tai culture, distinguished by agriculture. The people
+lived in the valleys and mainly cultivated rice.</p>
+
+<p>The origin of rice is not yet known; according to some scholars, rice
+was first cultivated in the area of present Burma and was perhaps at
+first a perennial plant. Apart from the typical rice which needs much
+water, there were also some strains of dry rice which, however, did not
+gain much importance. The centre of this Tai culture may have been in
+the present provinces of Kuangtung and Kuanghsi. Today, their
+descendants form the principal components of the Tai in Thailand, the
+Shan in Burma and the Lao in Laos. Their immigration into the areas of
+the Shan States of Burma and into Thailand took place only in quite
+recent historical periods, probably not much earlier than <span class="smcap">A.D.</span>
+1000.</p>
+
+<p>Finally there arose from the mixture of the Yao with the Tai culture, at
+a rather later time, the Y&uuml;eh culture, another early Austronesian
+culture, which then spread over wide regions of Indonesia, and of which
+the axe of rectangular section, mentioned above, became typical.</p>
+
+<p>Thus, to sum up, we may say that, quite roughly, in the middle of the
+third millennium we meet in the <i>north</i> and west of present-day China
+with a number of herdsmen cultures. In the <i>south</i> there were a number
+of agrarian cultures, of which the Tai was the most powerful, becoming
+of most importance to the later China. We must assume that these
+cultures were as yet undifferentiated in their social composition, that
+is to say that as yet there was no distinct social stratification, but
+at most beginnings of class-formation, especially among the nomad
+herdsmen.</p>
+
+
+<p class="sect">6 <i>The Yang-shao culture</i></p>
+
+<p>The various cultures here described gradually penetrated one<!-- Page 13 --><span class='pagenum'><a name="Page_13" id="Page_13">[Pg 13]</a></span><a name="Page_14" id="Page_14"></a> another,
+especially at points where they met. Such a process does not yield a
+simple total of the cultural elements involved; any new combination
+produces entirely different conditions with corresponding new results
+which, in turn, represent the characteristics of the culture that
+supervenes. We can no longer follow this process of penetration in
+detail; it need not by any means have been always warlike. Conquest of
+one group by another was only one way of mutual cultural penetration. In
+other cases, a group which occupied the higher altitudes and practised
+hunting or slash-and-burn agriculture came into closer contacts with
+another group in the valleys which practised some form of higher
+agriculture; frequently, such contacts resulted in particular forms of
+division of labour in a unified and often stratified new form of
+society. Recent and present developments in South-East Asia present a
+number of examples for such changes. Increase of population is certainly
+one of the most important elements which lead to these developments. The
+result, as a rule, was a stratified society being made up of at least
+one privileged and one ruled stratum. Thus there came into existence
+around 2000 <span class="smcap">B.C.</span> some new cultures, which are well known
+archaeologically. The most important of these are the Yang-shao culture
+in the west and the Lung-shan culture in the east. Our knowledge of both
+these cultures is of quite recent date and there are many enigmas still
+to be cleared up.</p>
+
+<div class="center">
+<a name="image01" id="image01"></a>
+<img src="images/image01.png" alt="Map 1" title="Map 1" />
+<p class="caption">Map 1. Regions of the principal local cultures in prehistoric times.<br />
+
+<i>Local cultures of minor importance have not been shown.</i></p>
+</div>
+
+<p>The <i>Yang-shao culture</i> takes its name from a prehistoric settlement in
+the west of the present province of Honan, where Swedish investigators
+discovered it. Typical of this culture is its wonderfully fine pottery,
+apparently used as gifts to the dead. It is painted in three colours,
+white, red, and black. The patterns are all stylized, designs copied
+from nature being rare. We are now able to divide this painted pottery
+into several sub-types of specific distribution, and we know that this
+style existed from <i>c</i>. 2200 <span class="smcap">B.C.</span> on. In general, it tends to
+disappear as does painted pottery in other parts of the world with the
+beginning of urban civilization and the invention of writing. The
+typical Yang-shao culture seems to have come to an end around 1600 or
+1500 <span class="smcap">B.C.</span> It continued in some more remote areas, especially of
+Kansu, perhaps to about 700 <span class="smcap">B.C.</span> Remnants of this painted
+pottery have been found over a wide area from Southern Manchuria, Hopei,
+Shansi, Honan, Shensi to Kansu; some pieces have also been discovered in
+Sinkiang. Thus far, it seems that it occurred mainly in the mountainous
+parts of North and North-West China. The people of this culture lived in
+villages near to the rivers and creeks. They had various forms of
+houses, including underground dwellings and animal enclosures. They
+practised some agriculture; some authors believe that rice<!-- Page 15 --><span class='pagenum'><a name="Page_15" id="Page_15">[Pg 15]</a></span> was already
+known to them. They also had domesticated animals. Their implements were
+of stone with rare specimens of bone. The axes were of the rectangular
+type. Metal was as yet unknown, but seems to have been introduced
+towards the end of the period. They buried their dead on the higher
+elevations, and here the painted pottery was found. For their daily
+life, they used predominantly a coarse grey pottery.</p>
+
+<p>After the discovery of this culture, its pottery was compared with the
+painted pottery of the West, and a number of resemblances were found,
+especially with the pottery of the Lower Danube basin and that of Anau,
+in Turkestan. Some authors claim that such resemblances are fortuitous
+and believe that the older layers of this culture are to be found in the
+eastern part of its distribution and only the later layers in the west.
+It is, they say, these later stages which show the strongest
+resemblances with the West. Other authors believe that the painted
+pottery came from the West where it occurs definitely earlier than in
+the Far East; some investigators went so far as to regard the
+Indo-Europeans as the parents of that civilization. As we find people
+who spoke an Indo-European language in the Far East in a later period,
+they tend to connect the spread of painted pottery with the spread of
+Indo-European-speaking groups. As most findings of painted pottery in
+the Far East do not stem from scientific excavations it is difficult to
+make any decision at this moment. We will have to wait for more and
+modern excavations.</p>
+
+<p>From our knowledge of primeval settlement in West and North-West China
+we know, however, that Tibetan groups, probably mixed with Turkish
+elements, must have been the main inhabitants of the whole region in
+which this painted pottery existed. Whatever the origin of the painted
+pottery may be, it seems that people of these two groups were the main
+users of it. Most of the shapes of their pottery are not found in later
+Chinese pottery.</p>
+
+
+<p class="sect">7 <i>The Lung-shan culture</i></p>
+
+<p>While the Yang-shao culture flourished in the mountain regions of
+northern and western China around 2000 <span class="smcap">B.C.</span>, there came into
+existence in the plains of eastern China another culture, which is
+called the Lung-shan culture, from the scene of the principal
+discoveries. Lung-shan is in the province of Shantung, near Chinan-fu.
+This culture, discovered only about twenty-five years ago, is
+distinguished by a black pottery of exceptionally fine quality and by a
+similar absence of metal. The pottery has a polished appearance on the
+exterior; it is never painted, and mostly without<!-- Page 16 --><span class='pagenum'><a name="Page_16" id="Page_16">[Pg 16]</a></span> decoration; at most
+it may have incised geometrical patterns. The forms of the vessels are
+the same as have remained typical of Chinese pottery, and of Far Eastern
+pottery in general. To that extent the Lung-shan culture may be
+described as one of the direct predecessors of the later Chinese
+civilization.</p>
+
+<p>As in the West, we find in Lung-shan much grey pottery out of which
+vessels for everyday use were produced. This simple corded or matted
+ware seems to be in connection with Tunguse people who lived in the
+north-east. The people of the Lung-shan culture lived on mounds produced
+by repeated building on the ruins of earlier settlements, as did the
+inhabitants of the "Tells" in the Near East. They were therefore a
+long-settled population of agriculturists. Their houses were of mud, and
+their villages were surrounded with mud walls. There are signs that
+their society was stratified. So far as is known at present, this
+culture was spread over the present provinces of Shantung, Kiangsu,
+Chekiang, and Anhui, and some specimens of its pottery went as far as
+Honan and Shansi, into the region of the painted pottery. This culture
+lasted in the east until about 1600 <span class="smcap">B.C.</span>, with clear evidence
+of rather longer duration only in the south. As black pottery of a
+similar character occurs also in the Near East, some authors believe
+that it has been introduced into the Far East by another migration
+(Pontic migration) following that migration which supposedly brought the
+painted pottery. This theory has not been generally accepted because of
+the fact that typical black pottery is limited to the plains of East
+China; if it had been brought in from the West, we should expect to find
+it in considerable amounts also in West China. Ordinary black pottery
+can be simply the result of a special temperature in the pottery kiln;
+such pottery can be found almost everywhere. The typical thin, fine
+black pottery of Lung-shan, however, is in the Far East an eastern
+element, and migrants would have had to pass through the area of the
+painted pottery people without leaving many traces and without pushing
+their predecessors to the East. On the basis of our present knowledge we
+assume that the peoples of the Lung-shan culture were probably of Tai
+and Yao stocks together with some Tunguses.</p>
+
+<p>Recently, a culture of mound-dwellers in Eastern China has been
+discovered, and a southern Chinese culture of people with impressed or
+stamped pottery. This latter seems to be connected with the Y&uuml;eh tribes.
+As yet, no further details are known.</p>
+
+
+<p class="sect">8 <i>The first petty States in Shansi</i></p>
+
+<p>At the time in which, according to archaeological research, the<!-- Page 17 --><span class='pagenum'><a name="Page_17" id="Page_17">[Pg 17]</a></span> painted
+pottery flourished in West China, Chinese historical tradition has it
+that the semi-historical rulers, Yao and Shun, and the first official
+dynasty, the Hsia dynasty ruled over parts of China with a centre in
+southern Shansi. While we dismiss as political myths the Confucianist
+stories representing Yao and Shun as models of virtuous rulers, it may
+be that a small state existed in south-western Shansi under a chieftain
+Yao, and farther to the east another small state under a chieftain Shun,
+and that these states warred against each other until Yao's state was
+destroyed. These first small states may have existed around 2000
+<span class="smcap">B.C.</span></p>
+
+<p>On the cultural scene we first find an important element of progress:
+bronze, in traces in the middle layers of the Yang-shao culture, about
+1800 <span class="smcap">B.C.</span>; that element had become very widespread by 1400
+<span class="smcap">B.C.</span> The forms of the oldest weapons and their ornamentation
+show similarities with weapons from Siberia; and both mythology and
+other indications suggest that the bronze came into China from the north
+and was not produced in China proper. Thus, from the present state of
+our knowledge, it seems most correct to say that the bronze was brought
+to the Far East through the agency of peoples living north of China,
+such as the Turkish tribes who in historical times were China's northern
+neighbours (or perhaps only individual families or clans, the so-called
+smith families with whom we meet later in Turkish tradition), reaching
+the Chinese either through these people themselves or through the
+further agency of Mongols. At first the forms of the weapons were left
+unaltered. The bronze vessels, however, which made their appearance
+about 1450 <span class="smcap">B.C.</span> are entirely different from anything produced
+in other parts of Asia; their ornamentation shows, on the one hand,
+elements of the so-called "animal style" which is typical of the steppe
+people of the Ordos area and of Central Asia. But most of the other
+elements, especially the "filling" between stylized designs, is
+recognizably southern (probably of the Tai culture), no doubt first
+applied to wooden vessels and vessels made from gourds, and then
+transferred to bronze. This implies that the art of casting bronze very
+soon spread from North China, where it was first practised by Turkish
+peoples, to the east and south, which quickly developed bronze
+industries of their own. There are few deposits of copper and tin in
+North China, while in South China both metals are plentiful and easily
+extracted, so that a trade in bronze from south to north soon set in.</p>
+
+<p>The origin of the Hsia state may have been a consequence of the progress
+due to bronze. The Chinese tradition speaks of the Hsia <i>dynasty</i>, but
+can say scarcely anything about it. The excavations,<!-- Page 18 --><span class='pagenum'><a name="Page_18" id="Page_18">[Pg 18]</a></span> too, yield no
+clear conclusions, so that we can only say that it flourished at the
+time and in the area in which the painted pottery occurred, with a
+centre in south-west Shansi. We date this dynasty now somewhere between
+2000 and 1600 <span class="smcap">B.C.</span> and believe that it was an agrarian culture
+with bronze weapons and pottery vessels but without the knowledge of the
+art of writing.
+
+
+
+<!-- Page 19 --><span class='pagenum'><a name="Page_19" id="Page_19">[Pg 19]</a></span></p>
+<hr />
+<h2><a name="Chapter_Two" id="Chapter_Two"></a>Chapter Two</h2>
+
+<h2 class="ln2">THE SHANG DYNASTY (<i>c.</i> 1600-1028 <span class="smcap">B.C.</span>)</h2>
+
+
+<p class="sect">1 <i>Period, origin, material culture</i></p>
+
+<p>About 1600 <span class="smcap">B.C.</span> we come at last into the realm of history. Of
+the Shang dynasty, which now followed, we have knowledge both from later
+texts and from excavations and the documents they have brought to light.
+The Shang civilization, an evident off-shoot of the Lung-shan culture
+(Tai, Yao, and Tunguses), but also with elements of the Hsia culture
+(with Tibetan and Mongol and/or Turkish elements), was beyond doubt a
+high civilization. Of the origin of the Shang <i>State</i> we have no
+details, nor do we know how the Hsia culture passed into the Shang
+culture.</p>
+
+<p>The central territory of the Shang realm lay in north-western Honan,
+alongside the Shansi mountains and extending into the plains. It was a
+peasant civilization with towns. One of these towns has been excavated.
+It adjoined the site of the present town of Anyang, in the province of
+Honan. The town, the Shang capital from <i>c.</i> 1300 to 1028 <span class="smcap">B.C.</span>,
+was probably surrounded by a mud wall, as were the settlements of the
+Lung-shan people. In the centre was what evidently was the ruler's
+palace. Round this were houses probably inhabited by artisans; for the
+artisans formed a sort of intermediate class, as dependents of the
+ruling class. From inscriptions we know that the Shang had, in addition
+to their capital, at least two other large cities and many smaller
+town-like settlements and villages. The rectangular houses were built in
+a style still found in Chinese houses, except that their front did not
+always face south as is now the general rule. The Shang buried their
+kings in large, subterranean, cross-shaped tombs outside the city, and
+many implements, animals and human sacrifices were buried together with
+them. The custom of large burial mounds, which later became typical of
+the Chou dynasty, did not yet exist.</p>
+
+<p>The Shang had sculptures in stone, an art which later more or<!-- Page 20 --><span class='pagenum'><a name="Page_20" id="Page_20">[Pg 20]</a></span> less
+completely disappeared and which was resuscitated only in post-Christian
+times under the influence of Indian Buddhism. Yet, Shang culture cannot
+well be called a "megalithic" culture. Bronze implements and especially
+bronze vessels were cast in the town. We even know the trade marks of
+some famous bronze founders. The bronze weapons are still similar to
+those from Siberia, and are often ornamented in the so-called "animal
+style", which was used among all the nomad peoples between the Ordos
+region and Siberia until the beginning of the Christian era. On the
+other hand, the famous bronze vessels are more of southern type, and
+reveal an advanced technique that has scarcely been excelled since.
+There can be no doubt that the bronze vessels were used for religious
+service and not for everyday life. For everyday use there were
+earthenware vessels. Even in the middle of the first millennium
+<span class="smcap">B.C.</span>, bronze was exceedingly dear, as we know from the records
+of prices. China has always suffered from scarcity of metal. For that
+reason metal was accumulated as capital, entailing a further rise in
+prices; when prices had reached a sufficient height, the stocks were
+thrown on the market and prices fell again. Later, when there was a
+metal coinage, this cycle of inflation and deflation became still
+clearer. The metal coinage was of its full nominal value, so that it was
+possible to coin money by melting down bronze implements. As the money
+in circulation was increased in this way, the value of the currency
+fell. Then it paid to turn coin into metal implements. This once more
+reduced the money in circulation and increased the value of the
+remaining coinage. Thus through the whole course of Chinese history the
+scarcity of metal and insufficiency of production of metal continually
+produced extensive fluctuations of the stocks and the value of metal,
+amounting virtually to an economic law in China. Consequently metal
+implements were never universally in use, and vessels were always of
+earthenware, with the further result of the early invention of
+porcelain. Porcelain vessels have many of the qualities of metal ones,
+but are cheaper.</p>
+
+<p>The earthenware vessels used in this period are in many cases already
+very near to porcelain: there was a pottery of a brilliant white,
+lacking only the glaze which would have made it into porcelain. Patterns
+were stamped on the surface, often resembling the patterns on bronze
+articles. This ware was used only for formal, ceremonial purposes. For
+daily use there was also a perfectly simple grey pottery.</p>
+
+<p>Silk was already in use at this time. The invention of sericulture must
+therefore have dated from very ancient times in China. It undoubtedly
+originated in the south of China, and at first not only<!-- Page 21 --><span class='pagenum'><a name="Page_21" id="Page_21">[Pg 21]</a></span> the threads
+spun by the silkworm but those made by other caterpillars were also
+used. The remains of silk fabrics that have been found show already an
+advanced weaving technique. In addition to silk, various plant fibres,
+such as hemp, were in use. Woollen fabrics do not seem to have been yet
+used.</p>
+
+<p>The Shang were agriculturists, but their implements were still rather
+primitive. There was no real plough yet; hoes and hoe-like implements
+were used, and the grain, mainly different kinds of millet and some
+wheat, was harvested with sickles. The materials, from which these
+implements were made, were mainly wood and stone; bronze was still too
+expensive to be utilized by the ordinary farmer. As a great number of
+vessels for wine in many different forms have been excavated, we can
+assume that wine, made from special kinds of millet, was a popular
+drink.</p>
+
+<p>The Shang state had its centre in northern Honan, north of the Yellow
+river. At various times, different towns were made into the capital
+city; Yin-ch'&uuml;, their last capital and the only one which has been
+excavated, was their sixth capital. We do not know why the capitals were
+removed to new locations; it is possible that floods were one of the
+main reasons. The area under more or less organized Shang control
+comprised towards the end of the dynasty the present provinces of Honan,
+western Shantung, southern Hopei, central and south Shansi, east Shensi,
+parts of Kiangsu and Anhui. We can only roughly estimate the size of the
+population of the Shang state. Late texts say that at the time of the
+annihilation of the dynasty, some 3.1 million free men and 1.1 million
+serfs were captured by the conquerors; this would indicate a population
+of at least some 4-5 millions. This seems a possible number, if we
+consider that an inscription of the tenth century <span class="smcap">B.C.</span> which
+reports about an ordinary war against a small and unimportant western
+neighbour, speaks of 13,081 free men and 4,812 serfs taken as prisoners.</p>
+
+<p>Inscriptions mention many neighbours of the Shang with whom they were in
+more or less continuous state of war. Many of these neighbours can now
+be identified. We know that Shansi at that time was inhabited by Ch'iang
+tribes, belonging to the Tibetan culture, as well as by Ti tribes,
+belonging to the northern culture, and by Hsien-y&uuml;n and other tribes,
+belonging to the north-western culture; the centre of the Ch'iang tribes
+was more in the south-west of Shansi and in Shensi. Some of these tribes
+definitely once formed a part of the earlier Hsia state. The
+identification of the eastern neighbours of the Shang presents more
+difficulties. We might regard them as representatives of the Tai and Yao
+cultures.<!-- Page 22 --><span class='pagenum'><a name="Page_22" id="Page_22">[Pg 22]</a></span></p>
+
+
+<p class="sect">2 <i>Writing and Religion</i></p>
+
+<p>Not only the material but also the intellectual level attained in the
+Shang period was very high. We meet for the first time with
+writing&mdash;much later than in the Middle East and in India. Chinese
+scholars have succeeded in deciphering some of the documents discovered,
+so that we are able to learn a great deal from them. The writing is a
+rudimentary form of the present-day Chinese script, and like it a
+pictorial writing, but also makes use, as today, of many phonetic signs.
+There were, however, a good many characters that no longer exist, and
+many now used are absent. There were already more than 3,000 characters
+in use of which some 1,000 can now be read. (Today newspapers use some
+3,000 characters; scholars have command of up to 8,000; the whole of
+Chinese literature, ancient and modern, comprises some 50,000
+characters.) With these 3,000 characters the Chinese of the Shang period
+were able to express themselves well.</p>
+
+<p>The still existing fragments of writing of this period are found almost
+exclusively on tortoiseshells or on other bony surfaces, and they
+represent oracles. As early as in the Lung-shan culture there was
+divination by means of "oracle bones", at first without written
+characters. In the earliest period any bones of animals (especially
+shoulder-bones) were used; later only tortoiseshell. For the purpose of
+the oracle a depression was burnt in the shell so that cracks were
+formed on the other side, and the future was foretold from their
+direction. Subsequently particular questions were scratched on the
+shells, and the answers to them; these are the documents that have come
+down to us. In Anyang tens of thousands of these oracle bones with
+inscriptions have been found. The custom of asking the oracle and of
+writing the answers on the bones spread over the borders of the Shang
+state and continued in some areas after the end of the dynasty.</p>
+
+<p>The bronze vessels of later times often bear long inscriptions, but
+those of the Shang period have only very brief texts. On the other hand,
+they are ornamented with pictures, as yet largely unintelligible, of
+countless deities, especially in the shape of animals or birds&mdash;pictures
+that demand interpretation. The principal form on these bronzes is that
+of the so-called T'ao-t'ieh, a hybrid with the head of a water-buffalo
+and tiger's teeth.</p>
+
+<p>The Shang period had a religion with many nature deities, especially
+deities of fertility. There was no systematized pantheon, different
+deities being revered in each locality, often under the most varied
+names. These various deities were, however, similar in character, and
+later it occurred often that many of them were combined<!-- Page 23 --><span class='pagenum'><a name="Page_23" id="Page_23">[Pg 23]</a></span> by the priests
+into a single god. The composite deities thus formed were officially
+worshipped. Their primeval forms lived on, however, especially in the
+villages, many centuries longer than the Shang dynasty. The sacrifices
+associated with them became popular festivals, and so these gods or
+their successors were saved from oblivion; some of them have lived on in
+popular religion to the present day. The supreme god of the official
+worship was called Shang Ti; he was a god of vegetation who guided all
+growth and birth and was later conceived as a forefather of the races of
+mankind. The earth was represented as a mother goddess, who bore the
+plants and animals procreated by Shang Ti. In some parts of the Shang
+realm the two were conceived as a married couple who later were parted
+by one of their children. The husband went to heaven, and the rain is
+the male seed that creates life on earth. In other regions it was
+supposed that in the beginning of the world there was a world-egg, out
+of which a primeval god came, whose body was represented by the earth:
+his hair formed the plants, and his limbs the mountains and valleys.
+Every considerable mountain was also itself a god and, similarly, the
+river god, the thunder god, cloud, lightning, and wind gods, and many
+others were worshipped.</p>
+
+<p>In order to promote the fertility of the earth, it was believed that
+sacrifices must be offered to the gods. Consequently, in the Shang realm
+and the regions surrounding it there were many sorts of human
+sacrifices; often the victims were prisoners of war. One gains the
+impression that many wars were conducted not as wars of conquest but
+only for the purpose of capturing prisoners, although the area under
+Shang control gradually increased towards the west and the south-east, a
+fact demonstrating the interest in conquest. In some regions men lurked
+in the spring for people from other villages; they slew them, sacrificed
+them to the earth, and distributed portions of the flesh of the
+sacrifice to the various owners of fields, who buried them. At a later
+time all human sacrifices were prohibited, but we have reports down to
+the eleventh century <span class="smcap">A.D.</span>, and even later, that such sacrifices
+were offered secretly in certain regions of central China. In other
+regions a great boat festival was held in the spring, to which many
+crews came crowded in long narrow boats. At least one of the boats had
+to capsize; the people who were thus drowned were a sacrifice to the
+deities of fertility. This festival has maintained its fundamental
+character to this day, in spite of various changes. The same is true of
+other festivals, customs, and conceptions, vestiges of which are
+contained at least in folklore.</p>
+
+<p>In addition to the nature deities which were implored to give fertility,
+to send rain, or to prevent floods and storms, the Shang<!-- Page 24 --><span class='pagenum'><a name="Page_24" id="Page_24">[Pg 24]</a></span> also
+worshipped deceased rulers and even dead ministers as a kind of
+intermediaries between man and the highest deity, Shang Ti. This
+practice may be regarded as the forerunner of "ancestral worship" which
+became so typical of later China.</p>
+
+
+<p class="sect">3 <i>Transition to feudalism</i></p>
+
+<p>At the head of the Shang state was a king, posthumously called a "Ti",
+the same word as in the name of the supreme god. We have found on bones
+the names of all the rulers of this dynasty and even some of their
+pre-dynastic ancestors. These names can be brought into agreement with
+lists of rulers found in the ancient Chinese literature. The ruler seems
+to have been a high priest, too; and around him were many other priests.
+We know some of them now so well from the inscriptions that their
+biographies could be written. The king seems to have had some kind of
+bureaucracy. There were "ch'en", officials who served the ruler
+personally, as well as scribes and military officials. The basic army
+organization was in units of one hundred men which were combined as
+"right", "left" and "central" units into an army of 300 men. But it
+seems that the central power did not extend very far. In the more
+distant parts of the realm were more or less independent lords, who
+recognized the ruler only as their supreme lord and religious leader. We
+may describe this as an early, loose form of the feudal system, although
+the main element of real feudalism was still absent. The main
+obligations of these lords were to send tributes of grain, to
+participate with their soldiers in the wars, to send tortoise shells to
+the capital to be used there for oracles, and to send occasionally
+cattle and horses. There were some thirty such dependent states.
+Although we do not know much about the general population, we know that
+the rulers had a patrilinear system of inheritance. After the death of
+the ruler his brothers followed him on the throne, the older brothers
+first. After the death of all brothers, the sons of older or younger
+brothers became rulers. No preference was shown to the son of the oldest
+brother, and no preference between sons of main or of secondary wives is
+recognizable. Thus, the Shang patrilinear system was much less extreme
+than the later system. Moreover, the deceased wives of the rulers played
+a great role in the cult, another element which later disappeared. From
+these facts and from the general structure of Shang religion it has been
+concluded that there was a strong matrilinear strain in Shang culture.
+Although this cannot be proved, it seems quite plausible because we know
+of matrilinear societies in the South of China at later times.<!-- Page 25 --><span class='pagenum'><a name="Page_25" id="Page_25">[Pg 25]</a></span></p>
+
+<p>About the middle of the Shang period there occurred interesting changes,
+probably under the influence of nomad peoples from the north-west.</p>
+
+<p>In religion there appears some evidence of star-worship. The deities
+seem to have been conceived as a kind of <ins class="corr" title="typo for celestial">celestrial</ins> court of Shang Ti,
+as his "officials". In the field of material culture, horse-breeding
+becomes more and more evident. Some authors believe that the art of
+riding was already known in late Shang times, although it was certainly
+not yet so highly developed that cavalry units could be used in war.
+With horse-breeding the two-wheeled light war chariot makes its
+appearance. The wheel was already known in earlier times in the form of
+the potter's wheel. Recent excavations have brought to light burials in
+which up to eighteen chariots with two or four horses were found
+together with the owners of the chariots. The cart is not a Chinese
+invention but came from the north, possibly from Turkish peoples. It has
+been contended that it was connected with the war chariot of the Near
+East: shortly before the Shang period there had been vast upheavals in
+western Asia, mainly in connection with the expansion of peoples who
+spoke Indo-European languages (Hittites, etc.) and who became successful
+through the use of quick, light, two-wheeled war-chariots. It is
+possible, but cannot be proved, that the war-chariot spread through
+Central Asia in connection with the spread of such
+Indo-European-speaking groups or by the intermediary of Turkish tribes.
+We have some reasons to believe that the first Indo-European-speaking
+groups arrived in the Far East in the middle of the second <ins class="corr" title="typo for millennium">millenium</ins>
+<span class="smcap">B.C.</span> Some authors even connect the Hsia with these groups. In
+any case, the maximal distribution of these people seems to have been to
+the western borders of the Shang state. As in Western Asia, a Shang-time
+chariot was manned by three men: the warrior who was a nobleman, his
+driver, and his servant who handed him arrows or other weapons when
+needed. There developed a quite close relationship between the nobleman
+and his chariot-driver. The chariot was a valuable object, manufactured
+by specialists; horses were always expensive and rare in China, and in
+many periods of Chinese history horses were directly imported from
+nomadic tribes in the North or West. Thus, the possessors of vehicles
+formed a privileged class in the Shang realm; they became a sort of
+nobility, and the social organization began to move in the direction of
+feudalism. One of the main sports of the noblemen in this period, in
+addition to warfare, was hunting. The Shang had their special hunting
+grounds south of the mountains which surround Shansi province, along the
+slopes of the T'ai-hang mountain range, and south to the shores of<!-- Page 26 --><span class='pagenum'><a name="Page_26" id="Page_26">[Pg 26]</a></span> the
+Yellow river. Here, there were still forests and swamps in Shang time,
+and boars, deer, buffaloes and other animals, as well as occasional
+rhinoceros and elephants, were hunted. None of these wild animals was
+used as a sacrifice; all sacrificial animals, such as cattle, pigs,
+etc., were domesticated animals.</p>
+
+<p>Below the nobility we find large numbers of dependent people; modern
+Chinese scholars call them frequently "slaves" and speak of a "slave
+society". There is no doubt that at least some farmers were "free
+farmers"; others were what we might call "serfs": families in hereditary
+group dependence upon some noble families and working on land which the
+noble families regarded as theirs. Families of artisans and craftsmen
+also were hereditary servants of noble families&mdash;a type of social
+organization which has its parallels in ancient Japan and in later India
+and other parts of the world. There were also real slaves: persons who
+were the personal property of noblemen. The independent states around
+the Shang state also had serfs. When the Shang captured neighbouring
+states, they <ins class="corr" title="normally printed resettled">re-settled</ins> the captured foreign aristocracy by attaching
+them as a group to their own noblemen. The captured serfs remained under
+their masters and shared their fate. The same system was later practised
+by the Chou after their conquest of the Shang state.</p>
+
+<p>The conquests of late Shang added more territory to the realm than could
+be coped with by the primitive communications of the time. When the last
+ruler of Shang made his big war which lasted 260 days against the tribes
+in the south-east, rebellions broke out which lead to the end of the
+dynasty, about 1028 <span class="smcap">B.C.</span> according to the new chronology (1122
+<span class="smcap">B.C.</span> old chronology).<a name="Page_27" id="Page_27"></a>
+
+
+<a name="Page_28" id="Page_28"></a>
+
+<!-- Page 29 --><span class='pagenum'><a name="Page_29" id="Page_29">[Pg 29]</a></span></p>
+<hr />
+<h2><a name="ANTIQUITY" id="ANTIQUITY"></a>ANTIQUITY</h2>
+
+
+
+<hr />
+<h2><a name="Chapter_Three" id="Chapter_Three"></a>Chapter Three</h2>
+
+<h2 class="ln2">THE CHOU DYNASTY (<i>c.</i> 1028-257 <span class="smcap">B.C.</span>)</h2>
+
+
+<p class="sect">1 <i>Cultural origin of the Chou and end of the Shang dynasty</i></p>
+
+<p>The Shang culture still lacked certain things that were to become
+typical of "Chinese" civilization. The family system was not yet the
+strong patriarchal system of the later Chinese. The religion, too, in
+spite of certain other influences, was still a religion of agrarian
+fertility. And although Shang society was strongly stratified and showed
+some tendencies to develop a feudal system, feudalism was still very
+primitive. Although the Shang script was the precursor of later Chinese
+script, it seemed to have contained many words which later disappeared,
+and we are not sure whether Shang language was the same as the language
+of Chou time. With the Chou period, however, we enter a period in which
+everything which was later regarded as typically "Chinese" began to
+emerge.</p>
+
+<p>During the time of the Shang dynasty the Chou formed a small realm in
+the west, at first in central Shensi, an area which even in much later
+times was the home of many "non-Chinese" tribes. Before the beginning of
+the eleventh century <span class="smcap">B.C.</span> they must have pushed into eastern
+Shensi, due to pressures of other tribes which may have belonged to the
+Turkish ethnic group. However, it is also possible that their movement
+was connected with pressures from Indo-European groups. An analysis of
+their tribal composition at the time of the conquest seems to indicate
+that the ruling house of the Chou was related to the Turkish group, and
+that the population consisted mainly of Turks and Tibetans. Their
+culture was closely related to that of Yang-shao, the previously
+described painted-pottery culture, with, of course, the progress brought
+by time. They had bronze weapons and, especially, the war-chariot. Their
+eastward migration, however, brought them within the zone of the Shang
+culture, by which they were strongly influenced, so that the Chou
+culture lost more and more of its original character and increasingly
+resembled the Shang culture. The Chou were also<!-- Page 30 --><span class='pagenum'><a name="Page_30" id="Page_30">[Pg 30]</a></span> brought into the
+political sphere of the Shang, as shown by the fact that marriages took
+place between the ruling houses of Shang and Chou, until the Chou state
+became nominally dependent on the Shang state in the form of a
+dependency with special prerogatives. Meanwhile the power of the Chou
+state steadily grew, while that of the Shang state diminished more and
+more through the disloyalty of its feudatories and through wars in the
+East. Finally, about 1028 <span class="smcap">B.C.</span>, the Chou ruler, named Wu Wang
+("the martial king"), crossed his eastern frontier and pushed into
+central Honan. His army was formed by an alliance between various
+tribes, in the same way as happened again and again in the building up
+of the armies of the rulers of the steppes. Wu Wang forced a passage
+across the Yellow River and annihilated the Shang army. He pursued its
+vestiges as far as the capital, captured the last emperor of the Shang,
+and killed him. Thus was the Chou dynasty founded, and with it we begin
+the actual history of China. The Chou brought to the Shang culture
+strong elements of Turkish and also Tibetan culture, which were needed
+for the release of such forces as could create a new empire and maintain
+it through thousands of years as a cultural and, generally, also a
+political unit.</p>
+
+
+<p class="sect">2 <i>Feudalism in the new empire</i></p>
+
+<p>A natural result of the situation thus produced was the turning of the
+country into a feudal state. The conquerors were an alien minority, so
+that they had to march out and spread over the whole country. Moreover,
+the allied tribal chieftains expected to be rewarded. The territory to
+be governed was enormous, but the communications in northern China at
+that time were similar to those still existing not long ago in southern
+China&mdash;narrow footpaths from one settlement to another. It is very
+difficult to build roads in the loess of northern China; and the
+war-chariots that required roads had only just been introduced. Under
+such conditions, the simplest way of administering the empire was to
+establish garrisons of the invading tribes in the various parts of the
+country under the command of their chieftains. Thus separate regions of
+the country were distributed as fiefs. If a former subject of the Shang
+surrendered betimes with the territory under his rule, or if there was
+one who could not be overcome by force, the Chou recognized him as a
+feudal lord.</p>
+
+<p>We find in the early Chou time the typical signs of true feudalism:
+fiefs were given in a ceremony in which symbolically a piece of earth
+was handed over to the new fiefholder, and his instalment, his rights
+and obligations were inscribed in a "charter". Most of<!-- Page 31 --><span class='pagenum'><a name="Page_31" id="Page_31">[Pg 31]</a></span> the fiefholders
+were members of the Chou ruling family or members of the clan to which
+this family belonged; other fiefs were given to heads of the allied
+tribes. The fiefholder (feudal lord) regarded the land of his fief, as
+far as he and his clan actually used it, as "clan" land; parts of this
+land he gave to members of his own branch-clan for their use without
+transferring rights of property, thus creating new sub-fiefs and
+sub-lords. In much later times the concept of landed property of a
+<i>family</i> developed, and the whole concept of "clan" disappeared. By 500
+<span class="smcap">B.C.</span>, most feudal lords had retained only a dim memory that
+they originally belonged to the Chi clan of the Chou or to one of the
+few other original clans, and their so-called sub-lords felt themselves
+as members of independent noble families. Slowly, then, the family names
+of later China began to develop, but it took many centuries until, at
+the time of the Han Dynasty, all citizens (slaves excluded) had accepted
+family names. Then, reversely, families grew again into new clans.</p>
+
+<p>Thus we have this picture of the early Chou state: the imperial central
+power established in Shensi, near the present Sian; over a thousand
+feudal states, great and small, often consisting only of a small
+garrison, or sometimes a more considerable one, with the former
+chieftain as feudal lord over it. Around these garrisons the old
+population lived on, in the north the Shang population, farther east and
+south various other peoples and cultures. The conquerors' garrisons were
+like islands in a sea. Most of them formed new towns, walled, with a
+rectangular plan and central crossroads, similar to the European towns
+subsequently formed out of Roman encampments. This town plan has been
+preserved to the present day.</p>
+
+<p>This upper class in the garrisons formed the nobility; it was sharply
+divided from the indigenous population around the towns. The conquerors
+called the population "the black-haired people", and themselves "the
+hundred families". The rest of the town populations consisted often of
+urban Shang people: Shang noble families together with their bondsmen
+and serfs had been given to Chou fiefholders. Such forced resettlements
+of whole populations have remained typical even for much later periods.
+By this method new cities were provided with urban, refined people and,
+most important, with skilled craftsmen and businessmen who assisted in
+building the cities and in keeping them alive. Some scholars believe
+that many resettled Shang urbanites either were or became businessmen;
+incidentally, the same word "Shang" means "merchant", up to the present
+time. The people of the Shang capital lived on and even attempted a
+revolt in collaboration with some Chou people. The Chou rulers
+suppressed this revolt, and then<!-- Page 32 --><span class='pagenum'><a name="Page_32" id="Page_32">[Pg 32]</a></span> transferred a large part of this
+population to Loyang. They were settled there in a separate community,
+and vestiges of the Shang population were still to be found there in the
+fifth century <span class="smcap">A.D.</span>: they were entirely impoverished potters,
+still making vessels in the old style.</p>
+
+
+<p class="sect">3 <i>Fusion of Chou and Shang</i></p>
+
+<p>The conquerors brought with them, for their own purposes to begin with,
+their rigid patriarchate in the family system and their cult of Heaven
+(t'ien), in which the worship of sun and stars took the principal place;
+a religion most closely related to that of the Turkish peoples and
+derived from them. Some of the Shang popular deities, however, were
+admitted into the official Heaven-worship. Popular deities became
+"feudal lords" under the Heaven-god. The Shang conceptions of the soul
+were also admitted into the Chou religion: the human body housed two
+souls, the personality-soul and the life-soul. Death meant the
+separation of the souls from the body, the life-soul also slowly dying.
+The personality-soul, however, could move about freely and lived as long
+as there were people who remembered it and kept it from hunger by means
+of sacrifices. The Chou systematized this idea and made it into the
+ancestor-worship that has endured down to the present time.</p>
+
+<p>The Chou officially abolished human sacrifices, especially since, as
+former pastoralists, they knew of better means of employing prisoners of
+war than did the more agrarian Shang. The Chou used Shang and other
+slaves as domestic servants for their numerous nobility, and Shang serfs
+as farm labourers on their estates. They seem to have regarded the land
+under their control as "state land" and all farmers as "serfs". A slave,
+here, must be defined as an individual, a piece of property, who was
+excluded from membership in human society but, in later legal texts, was
+included under domestic animals and immobile property, while serfs as a
+class depended upon another class and had certain rights, at least the
+right to work on the land. They could change their masters if the land
+changed its master, but they could not legally be sold individually.
+Thus, the following, still rather hypothetical, picture of the land
+system of the early Chou time emerges: around the walled towns of the
+feudal lords and sub-lords, always in the plains, was "state land" which
+produced millet and more and more wheat. Cultivation was still largely
+"shifting", so that the serfs in groups cultivated more or less
+standardized plots for a year or more and then shifted to other plots.
+During the growing season they lived in huts on the fields; during the
+winter in the towns in adobe<!-- Page 33 --><span class='pagenum'><a name="Page_33" id="Page_33">[Pg 33]</a></span> houses. In this manner the yearly life
+cycle was divided into two different periods. The produce of the serfs
+supplied the lords, their dependants and the farmers themselves.
+Whenever the lord found it necessary, the serfs had to perform also
+other services for the lord. Farther away from the towns were the
+villages of the "natives", nominally also subjects of the lord. In most
+parts of eastern China, these, too, were agriculturists. They
+acknowledged their dependence by sending "gifts" to the lord in the
+town. Later these gifts became institutionalized and turned into a form
+of tax. The lord's serfs, on the other hand, tended to settle near the
+fields in villages of their own because, with growing urban population,
+the distances from the town to many of the fields became too great. It
+was also at this time of new settlements that a more intensive
+cultivation with a fallow system began. At latest from the sixth century
+<span class="smcap">B.C.</span> on, the distinctions between both land systems became
+unclear; and the pure serf-cultivation, called by the old texts the
+"well-field system" because eight cultivating families used one common
+well, disappeared in practice.</p>
+
+<p>The actual structure of early Chou administration is difficult to
+ascertain. The "Duke of Chou", brother of the first ruler, Wu Wang,
+later regent during the minority of Wu Wang's son, and certainly one of
+the most influential persons of this time, was the alleged creator of
+the book <i>Chou-li</i> which contains a detailed table of the bureaucracy of
+the country. However, we know now from inscriptions that the bureaucracy
+at the beginning of the Chou period was not much more developed than in
+late Shang time. The <i>Chou-li</i> gave an ideal picture of a bureaucratic
+state, probably abstracted from actual conditions in feudal states
+several centuries later.</p>
+
+<p>The Chou capital, at Sian, was a twin city. In one part lived the
+master-race of the Chou with the imperial court, in the other the
+subjugated population. At the same time, as previously mentioned, the
+Chou built a second capital, Loyang, in the present province of Honan.
+Loyang was just in the middle of the new state, and for the purposes of
+Heaven-worship it was regarded as the centre of the universe, where it
+was essential that the emperor should reside. Loyang was another twin
+city: in one part were the rulers' administrative buildings, in the
+other the transferred population of the Shang capital, probably artisans
+for the most part. The valuable artisans seem all to have been taken
+over from the Shang, for the bronze vessels of the early Chou age are
+virtually identical with those of the Shang age. The shapes of the
+houses also remained unaltered, and probably also the clothing, though
+the Chou brought with them the novelties of felt and woollen fabrics,<!-- Page 34 --><span class='pagenum'><a name="Page_34" id="Page_34">[Pg 34]</a></span>
+old possessions of their earlier period. The only fundamental material
+change was in the form of the graves: in the Shang age house-like tombs
+were built underground; now great tumuli were constructed in the fashion
+preferred by all steppe peoples.</p>
+
+<p>One professional class was severely hit by the changed
+circumstances&mdash;the Shang priesthood. The Chou had no priests. As with
+all the races of the steppes, the head of the family himself performed
+the religious rites. Beyond this there were only shamans for certain
+purposes of magic. And very soon Heaven-worship was combined with the
+family system, the ruler being declared to be the Son of Heaven; the
+mutual relations within the family were thus extended to the religious
+relations with the deity. If, however, the god of Heaven is the father
+of the ruler, the ruler as his son himself offers sacrifice, and so the
+priest becomes superfluous. Thus the priests became "unemployed". Some
+of them changed their profession. They were the only people who could
+read and write, and as an administrative system was necessary they
+obtained employment as scribes. Others withdrew to their villages and
+became village priests. They organized the religious festivals in the
+village, carried out the ceremonies connected with family events, and
+even conducted the exorcism of evil spirits with shamanistic dances;
+they took charge, in short, of everything connected with customary
+observances and morality. The Chou lords were great respecters of
+propriety. The Shang culture had, indeed, been a high one with an
+ancient and highly developed moral system, and the Chou as rough
+conquerors must have been impressed by the ancient forms and tried to
+imitate them. In addition, they had in their religion of Heaven a
+conception of the existence of mutual relations between Heaven and
+Earth: all that went on in the skies had an influence on earth, and vice
+versa. Thus, if any ceremony was "wrongly" performed, it had an evil
+effect on Heaven&mdash;there would be no rain, or the cold weather would
+arrive too soon, or some such misfortune would come. It was therefore of
+great importance that everything should be done "correctly". Hence the
+Chou rulers were glad to call in the old priests as performers of
+ceremonies and teachers of morality similar to the ancient Indian rulers
+who needed the Brahmans for the correct performance of all rites. There
+thus came into existence in the early Chou empire a new social group,
+later called "scholars", men who were not regarded as belonging to the
+lower class represented by the subjugated population but were not
+included in the nobility; men who were not productively employed but
+belonged to a sort of independent profession. They became of very great
+importance in later centuries.<!-- Page 35 --><span class='pagenum'><a name="Page_35" id="Page_35">[Pg 35]</a></span></p>
+
+<p>In the first centuries of the Chou dynasty the ruling house steadily
+lost power. Some of the emperors proved weak, or were killed at war;
+above all, the empire was too big and its administration too
+slow-moving. The feudal lords and nobles were occupied with their own
+problems in securing the submission of the surrounding villages to their
+garrisons and in governing them; they soon paid little attention to the
+distant central authority. In addition to this, the situation at the
+centre of the empire was more difficult than that of its feudal states
+farther east. The settlements around the garrisons in the east were
+inhabited by agrarian tribes, but the subjugated population around the
+centre at Sian was made up of nomadic tribes of Turks and Mongols
+together with semi-nomadic Tibetans. Sian lies in the valley of the
+river Wei; the riverside country certainly belonged, though perhaps only
+insecurely, to the Shang empire and was specially well adapted to
+agriculture; but its periphery&mdash;mountains in the south, steppes in the
+north&mdash;was inhabited (until a late period, to some extent to the present
+day) by nomads, who had also been subjugated by the Chou. The Chou
+themselves were by no means strong, as they had been only a small tribe
+and their strength had depended on auxiliary tribes, which had now
+spread over the country as the new nobility and lived far from the Chou.
+The Chou emperors had thus to hold in check the subjugated but warlike
+tribes of Turks and Mongols who lived quite close to their capital. In
+the first centuries of the dynasty they were more or less successful,
+for the feudal lords still sent auxiliary forces. In time, however,
+these became fewer and fewer, because the feudal lords pursued their own
+policy; and the Chou were compelled to fight their own battles against
+tribes that continually rose against them, raiding and pillaging their
+towns. Campaigns abroad also fell mainly on the shoulders of the Chou,
+as their capital lay near the frontier.</p>
+
+<p>It must not be simply assumed, as is often done by the Chinese and some
+of the European historians, that the Turkish and Mongolian tribes were
+so savage or so pugnacious that they continually waged war just for the
+love of it. The problem is much deeper, and to fail to recognize this is
+to fail to understand Chinese history down to the Middle Ages. The
+conquering Chou established their garrisons everywhere, and these
+garrisons were surrounded by the quarters of artisans and by the
+villages of peasants, a process that ate into the pasturage of the
+Turkish and Mongolian nomads. These nomads, as already mentioned,
+pursued agriculture themselves on a small scale, but it occurred to them
+that they could get farm produce much more easily by barter or by
+raiding. Accordingly they gradually gave up cultivation and became pure
+nomads,<!-- Page 36 --><span class='pagenum'><a name="Page_36" id="Page_36">[Pg 36]</a></span> procuring the needed farm produce from their neighbours. This
+abandonment of agriculture brought them into a precarious situation: if
+for any reason the Chinese stopped supplying or demanded excessive
+barter payment, the nomads had to go hungry. They were then virtually
+driven to get what they needed by raiding. Thus there developed a mutual
+reaction that lasted for centuries. Some of the nomadic tribes living
+between garrisons withdrew, to escape from the growing pressure, mainly
+into the province of Shansi, where the influence of the Chou was weak
+and they were not numerous; some of the nomad chiefs lost their lives in
+battle, and some learned from the Chou lords and turned themselves into
+petty rulers. A number of "marginal" states began to develop; some of
+them even built their own cities. This process of transformation of
+agro-nomadic tribes into "warrior-nomadic" tribes continued over many
+centuries and came to an end in the third or second century
+<span class="smcap">B.C.</span></p>
+
+<p>The result of the three centuries that had passed was a symbiosis
+between the urban aristocrats and the country-people. The rulers of the
+towns took over from the general population almost the whole vocabulary
+of the language which from now on we may call "Chinese". They naturally
+took over elements of the material civilization. The subjugated
+population had, meanwhile, to adjust itself to its lords. In the
+organism that thus developed, with its unified economic system, the
+conquerors became an aristocratic ruling class, and the subjugated
+population became a lower class, with varied elements but mainly a
+peasantry. From now on we may call this society "Chinese"; it has
+endured to the middle of the twentieth century. Most later essential
+societal changes are the result of internal development and not of
+aggression from without.</p>
+
+
+<p class="sect">4 <i>Limitation of the imperial power</i></p>
+
+<p>In 771 <span class="smcap">B.C.</span> an alliance of northern feudal states had attacked
+the ruler in his western capital; in a battle close to the city they had
+overcome and killed him. This campaign appears to have set in motion
+considerable groups from various tribes, so that almost the whole
+province of Shensi was lost. With the aid of some feudal lords who had
+remained loyal, a Chou prince was rescued and conducted eastward to the
+second capital, Loyang, which until then had never been the ruler's
+actual place of residence. In this rescue a lesser feudal prince, ruler
+of the feudal state of Ch'in, specially distinguished himself. Soon
+afterwards this prince, whose domain had lain close to that of the
+ruler, reconquered a great part of the lost territory, and thereafter
+regarded it as his own fief. The Ch'in<!-- Page 37 --><span class='pagenum'><a name="Page_37" id="Page_37">[Pg 37]</a></span> family resided in the same
+capital in which the Chou had lived in the past, and five hundred years
+later we shall meet with them again as the dynasty that succeeded the
+Chou.</p>
+
+<p>The new ruler, resident now in Loyang, was foredoomed to impotence. He
+was now in the centre of the country, and less exposed to large-scale
+enemy attacks; but his actual rule extended little beyond the town
+itself and its immediate environment. Moreover, attacks did not entirely
+cease; several times parts of the indigenous population living between
+the Chou towns rose against the towns, even in the centre of the
+country.</p>
+
+<p>Now that the emperor had no territory that could be the basis of a
+strong rule and, moreover, because he owed his position to the feudal
+lords and was thus under an obligation to them, he ruled no longer as
+the chief of the feudal lords but as a sort of sanctified overlord; and
+this was the position of all his successors. A situation was formed at
+first that may be compared with that of Japan down to the middle of the
+nineteenth century. The ruler was a symbol rather than an exerciser of
+power. There had to be a supreme ruler because, in the worship of Heaven
+which was recognized by all the feudal lords, the supreme sacrifices
+could only be offered by the Son of Heaven in person. There could not be
+a number of sons of heaven because there were not a number of heavens.
+The imperial sacrifices secured that all should be in order in the
+country, and that the necessary equilibrium between Heaven and Earth
+should be maintained. For in the religion of Heaven there was a close
+parallelism between Heaven and Earth, and every omission of a sacrifice,
+or failure to offer it in due form, brought down a reaction from Heaven.
+For these religious reasons a central ruler was a necessity for the
+feudal lords. They needed him also for practical reasons. In the course
+of centuries the personal relationship between the various feudal lords
+had ceased. Their original kinship and united struggles had long been
+forgotten. When the various feudal lords proceeded to subjugate the
+territories at a distance from their towns, in order to turn their city
+states into genuine territorial states, they came into conflict with
+each other. In the course of these struggles for power many of the small
+fiefs were simply destroyed. It may fairly be said that not until the
+eighth and seventh centuries <span class="smcap">B.C.</span> did the old garrison towns
+became real states. In these circumstances the struggles between the
+feudal states called urgently for an arbiter, to settle simple cases,
+and in more difficult cases either to try to induce other feudal lords
+to intervene or to give sanction to the new situation. These were the
+only governing functions of the ruler from the time of the transfer to
+the second capital.<!-- Page 38 --><span class='pagenum'><a name="Page_38" id="Page_38">[Pg 38]</a></span></p>
+
+
+<p class="sect">5 <i>Changes in the relative strength of the feudal states</i></p>
+
+<p>In these disturbed times China also made changes in her outer frontiers.
+When we speak of frontiers in this connection, we must take little
+account of the European conception of a frontier. No frontier in that
+sense existed in China until her conflict with the European powers. In
+the dogma of the Chinese religion of Heaven, all the countries of the
+world were subject to the Chinese emperor, the Son of Heaven. Thus there
+could be no such thing as other independent states. In practice the
+dependence of various regions on the ruler naturally varied: near the
+centre, that is to say near the ruler's place of residence, it was most
+pronounced; then it gradually diminished in the direction of the
+periphery. The feudal lords of the inner territories were already rather
+less subordinated than at the centre, and those at a greater distance
+scarcely at all; at a still greater distance were territories whose
+chieftains regarded themselves as independent, subject only in certain
+respects to Chinese overlordship. In such a system it is difficult to
+speak of frontiers. In practice there was, of course, a sort of
+frontier, where the influence of the outer feudal lords ceased to exist.
+The development of the original feudal towns into feudal states with
+actual dominion over their territories proceeded, of course, not only in
+the interior of China but also on its borders, where the feudal
+territories had the advantage of more unrestricted opportunities of
+expansion; thus they became more and more powerful. In the south (that
+is to say, in the south of the Chou empire, in the present central
+China) the garrisons that founded feudal states were relatively small
+and widely separated; consequently their cultural system was largely
+absorbed into that of the aboriginal population, so that they developed
+into feudal states with a character of their own. Three of these
+attained special importance&mdash;(1) Ch'u, in the neighbourhood of the
+present Chungking and Hankow; (2) Wu, near the present Nanking; and (3)
+Y&uuml;eh, near the present Hangchow. In 704 <span class="smcap">B.C.</span> the feudal prince
+of Wu proclaimed himself "Wang". "Wang", however was the title of the
+ruler of the Chou dynasty. This meant that Wu broke away from the old
+Chou religion of Heaven, according to which there could be only one
+ruler (<i>wang</i>) in the world.</p>
+
+<p>At the beginning of the seventh century it became customary for the
+ruler to unite with the feudal lord who was most powerful at the time.
+This feudal lord became a dictator, and had the military power in his
+hands, like the shoguns in nineteenth-century Japan. If there was a
+disturbance of the peace, he settled the matter by military means. The
+first of these dictators was the feudal lord of<a name="Page_39" id="Page_39"></a><!-- Page 40 --><span class='pagenum'><a name="Page_40" id="Page_40">[Pg 40]</a></span> the state of Ch'i, in
+the present province of Shantung. This feudal state had grown
+considerably through the conquest of the outer end of the peninsula of
+Shantung, which until then had been independent. Moreover, and this was
+of the utmost importance, the state of Ch'i was a trade centre. Much of
+the bronze, and later all the iron, for use in northern China came from
+the south by road and in ships that went up the rivers to Ch'i, where it
+was distributed among the various regions of the north, north-east, and
+north-west. In addition to this, through its command of portions of the
+coast, Ch'i had the means of producing salt, with which it met the needs
+of great areas of eastern China. It was also in Ch'i that money was
+first used. Thus Ch'i soon became a place of great luxury, far
+surpassing the court of the Chou, and Ch'i also became the centre of the
+most developed civilization.</p>
+
+<div class="center">
+<a name="image02" id="image02"></a>
+<img src="images/image02.png" alt="Map 2" title="Map 2" />
+<p class="caption">Map 2: The principal feudal states in the feudal epoch.<br />
+<i>(roughly 722-481<span class="smcap">B.C.</span>)</i></p>
+</div>
+
+<p>After the feudal lord of Ch'i, supported by the wealth and power of his
+feudal state, became dictator, he had to struggle not only against other
+feudal lords, but also many times against risings among the most various
+parts of the population, and especially against the nomad tribes in the
+southern part of the present province of Shansi. In the seventh century
+not only Ch'i but the other feudal states had expanded. The regions in
+which the nomad tribes were able to move had grown steadily smaller, and
+the feudal lords now set to work to bring the nomads of their country
+under their direct rule. The greatest conflict of this period was the
+attack in 660 <span class="smcap">B.C.</span> against the feudal state of Wei, in northern
+Honan. The nomad tribes seem this time to have been Proto-Mongols; they
+made a direct attack on the garrison town and actually conquered it. The
+remnant of the urban population, no more than 730 in number, had to flee
+southward. It is clear from this incident that nomads were still living
+in the middle of China, within the territory of the feudal states, and
+that they were still decidedly strong, though no longer in a position to
+get rid entirely of the feudal lords of the Chou.</p>
+
+<p>The period of the dictators came to an end after about a century,
+because it was found that none of the feudal states was any longer
+strong enough to exercise control over all the others. These others
+formed alliances against which the dictator was powerless. Thus this
+period passed into the next, which the Chinese call the period of the
+Contending States.</p>
+
+
+<p class="sect">6 <i>Confucius</i></p>
+
+<p>After this survey of the political history we must consider the
+intellectual history of this period, for between 550 and 280
+<span class="smcap">B.C.</span> the<!-- Page 41 --><span class='pagenum'><a name="Page_41" id="Page_41">[Pg 41]</a></span> enduring fundamental influences in the Chinese social
+order and in the whole intellectual life of China had their original. We
+saw how the priests of the earlier dynasty of the Shang developed into
+the group of so-called "scholars". When the Chou ruler, after the move
+to the second capital, had lost virtually all but his religious
+authority, these "scholars" gained increased influence. They were the
+specialists in traditional morals, in sacrifices, and in the
+organization of festivals. The continually increasing ritualism at the
+court of the Chou called for more and more of these men. The various
+feudal lords also attracted these scholars to their side, employed them
+as tutors for their children, and entrusted them with the conduct of
+sacrifices and festivals.</p>
+
+<p>China's best-known philosopher, Confucius (Chinese: K'ung Tz&#365;), was one
+of these scholars. He was born in 551 <span class="smcap">B.C.</span> in the feudal state
+Lu in the present province of Shantung. In Lu and its neighbouring state
+Sung, institutions of the Shang had remained strong; both states
+regarded themselves as legitimate heirs of Shang culture, and many
+traces of Shang culture can be seen in Confucius's political and ethical
+ideas. He acquired the knowledge which a scholar had to possess, and
+then taught in the families of nobles, also helping in the
+administration of their properties. He made several attempts to obtain
+advancement, either in vain or with only a short term of employment
+ending in dismissal. Thus his career was a continuing pilgrimage from
+one noble to another, from one feudal lord to another, accompanied by a
+few young men, sons of scholars, who were partly his pupils and partly
+his servants. Many of these disciples seem to have been "illegitimate"
+sons of noblemen, i.e. sons of concubines, and Confucius's own family
+seems to have been of the same origin. In the strongly patriarchal and
+patrilinear system of the Chou and the developing primogeniture,
+children of secondary wives had a lower social status. Ultimately
+Confucius gave up his wanderings, settled in his home town of Lu, and
+there taught his disciples until his death in 479 <span class="smcap">B.C.</span></p>
+
+<p>Such was briefly the life of Confucius. His enemies claim that he was a
+political intriguer, inciting the feudal lords against each other in the
+course of his wanderings from one state to another, with the intention
+of somewhere coming into power himself. There may, indeed, be some truth
+in that.</p>
+
+<p>Confucius's importance lies in the fact that he systematized a body of
+ideas, not of his own creation, and communicated it to a circle of
+disciples. His teachings were later set down in writing and formed,
+right down to the twentieth century, the moral code of the upper classes
+of China. Confucius was fully conscious of his membership of a social
+class whose existence was tied to that of the<!-- Page 42 --><span class='pagenum'><a name="Page_42" id="Page_42">[Pg 42]</a></span> feudal lords. With their
+disappearance, his type of scholar would become superfluous. The common
+people, the lower class, was in his view in an entirely subordinate
+position. Thus his moral teaching is a code for the ruling class.
+Accordingly it retains almost unaltered the elements of the old cult of
+Heaven, following the old tradition inherited from the northern peoples.
+For him Heaven is not an arbitrarily governing divine tyrant, but the
+embodiment of a system of legality. Heaven does not act independently,
+but follows a universal law, the so-called "Tao". Just as sun, moon, and
+stars move in the heavens in accordance with law, so man should conduct
+himself on earth in accord with the universal law, not against it. The
+ruler should not actively intervene in day-to-day policy, but should
+only act by setting an example, like Heaven; he should observe the
+established ceremonies, and offer all sacrifices in accordance with the
+rites, and then all else will go well in the world. The individual, too,
+should be guided exactly in his life by the prescriptions of the rites,
+so that harmony with the law of the universe may be established.</p>
+
+<p>A second idea of the Confucian system came also from the old conceptions
+of the Chou conquerors, and thus originally from the northern peoples.
+This is the patriarchal idea, according to which the family is the cell
+of society, and at the head of the family stands the eldest male adult
+as a sort of patriarch. The state is simply an extension of the family,
+"state", of course, meaning simply the class of the feudal lords (the
+"ch&uuml;n-tz&#365;"). And the organization of the family is also that of the
+world of the gods. Within the family there are a number of ties, all of
+them, however, one-sided: that of father to son (the son having to obey
+the father unconditionally and having no rights of his own;) that of
+husband to wife (the wife had no rights); that of elder to younger
+brother. An extension of these is the association of friend with friend,
+which is conceived as an association between an elder and a younger
+brother. The final link, and the only one extending beyond the family
+and uniting it with the state, is the association of the ruler with the
+subject, a replica of that between father and son. The ruler in turn is
+in the position of son to Heaven. Thus in Confucianism the cult of
+Heaven, the family system, and the state are welded into unity. The
+frictionless functioning of this whole system is effected by everyone
+adhering to the rites, which prescribe every important action. It is
+necessary, of course, that in a large family, in which there may be up
+to a hundred persons living together, there shall be a precisely
+established ordering of relationships between individuals if there is
+not to be continual friction. Since the scholars of Confucius's type
+specialized in the knowledge and conduct of ceremonies, Confucius<!-- Page 43 --><span class='pagenum'><a name="Page_43" id="Page_43">[Pg 43]</a></span> gave
+ritualism a correspondingly important place both in spiritual and in
+practical life.</p>
+
+<p>So far as we have described it above, the teaching of Confucius was a
+further development of the old cult of Heaven. Through bitter
+experience, however, Confucius had come to realize that nothing could be
+done with the ruling house as it existed in his day. So shadowy a figure
+as the Chou ruler of that time could not fulfil what Confucius required
+of the "Son of Heaven". But the opinions of students of Confucius's
+actual ideas differ. Some say that in the only book in which he
+personally had a hand, the so-called <i>Annals of Spring and Autumn</i>, he
+intended to set out his conception of the character of a true emperor;
+others say that in that book he showed how he would himself have acted
+as emperor, and that he was only awaiting an opportunity to make himself
+emperor. He was called indeed, at a later time, the "uncrowned ruler".
+In any case, the <i>Annals of Spring and Autumn</i> seem to be simply a dry
+work of annals, giving the history of his native state of Lu on the
+basis of the older documents available to him. In his text, however,
+Confucius made small changes by means of which he expressed criticism or
+recognition; in this way he indirectly made known how in his view a
+ruler should act or should not act. He did not shrink from falsifying
+history, as can today be demonstrated. Thus on one occasion a ruler had
+to flee from a feudal prince, which in Confucius's view was impossible
+behaviour for the ruler; accordingly he wrote instead that the ruler
+went on a hunting expedition. Elsewhere he tells of an eclipse of the
+sun on a certain day, on which in fact there was no eclipse. By writing
+of an eclipse he meant to criticize the way a ruler had acted, for the
+sun symbolized the ruler, and the eclipse meant that the ruler had not
+been guided by divine illumination. The demonstration that the <i>Annals
+of Spring and Autumn</i> can only be explained in this way was the
+achievement some thirty-five years ago of Otto Franke, and through this
+discovery Confucius's work, which the old sinologists used to describe
+as a dry and inadequate book, has become of special value to us. The
+book ends with the year 481 <span class="smcap">B.C.</span>, and in spite of its
+distortions it is the principal source for the two-and-a-half centuries
+with which it deals.</p>
+
+<p>Rendered alert by this experience, we are able to see and to show that
+most of the other later official works of history follow the example of
+the <i>Annals of Spring and Autumn</i> in containing things that have been
+deliberately falsified. This is especially so in the work called
+<i>T'ung-chien kang-mu</i>, which was the source of the history of the
+Chinese empire translated into French by de Mailla.</p>
+
+<p>Apart from Confucius's criticism of the inadequate capacity of<!-- Page 44 --><span class='pagenum'><a name="Page_44" id="Page_44">[Pg 44]</a></span> the
+emperor of his day, there is discernible, though only in the form of
+cryptic hints, a fundamentally important progressive idea. It is that a
+nobleman (ch&uuml;n-tz&#365;) should not be a member of the ruling <i>&eacute;lite</i> by
+right of birth alone, but should be a man of superior moral qualities.
+From Confucius on, "ch&uuml;n-tz&#365;" became to mean "a gentleman".
+Consequently, a country should not be ruled by a dynasty based on
+inheritance through birth, but by members of the nobility who show
+outstanding moral qualification for rulership. That is to say, the rule
+should pass from the worthiest to the worthiest, the successor first
+passing through a period of probation as a minister of state. In an
+unscrupulous falsification of the tradition, Confucius declared that
+this principle was followed in early times. It is probably safe to
+assume that Confucius had in view here an eventual justification of
+claims to rulership of his own.</p>
+
+<p>Thus Confucius undoubtedly had ideas of reform, but he did not interfere
+with the foundations of feudalism. For the rest, his system consists
+only of a social order and a moral teaching. Metaphysics, logic,
+epistemology, i.e. branches of philosophy which played so great a part
+in the West, are of no interest to him. Nor can he be described as the
+founder of a religion; for the cult of Heaven of which he speaks and
+which he takes over existed in exactly the same form before his day. He
+is merely the man who first systematized those notions. He had no
+successes in his lifetime and gained no recognition; nor did his
+disciples or their disciples gain any general recognition; his work did
+not become of importance until some three hundred years after his death,
+when in the second century <span class="smcap">B.C.</span> his teaching was adjusted to
+the new social conditions: out of a moral system for the decaying feudal
+society of the past centuries developed the ethic of the rising social
+order of the gentry. The gentry (in much the same way as the European
+bourgeoisie) continually claimed that there should be access for every
+civilized citizen to the highest places in the social pyramid, and the
+rules of Confucianism became binding on every member of society if he
+was to be considered a gentleman. Only then did Confucianism begin to
+develop into the imposing system that dominated China almost down to the
+present day. Confucianism did not become a religion. It was comparable
+to the later Japanese Shintoism, or to a group of customs among us which
+we all observe, if we do not want to find ourselves excluded from our
+community, but which we should never describe as religion. We stand up
+when the national anthem is played, we give precedency to older people,
+we erect war memorials and decorate them with flowers, and by these and
+many other things show our sense of belonging. A similar but much more
+conscious and much more powerful part<!-- Page 45 --><span class='pagenum'><a name="Page_45" id="Page_45">[Pg 45]</a></span> was played by Confucianism in the
+life of the average Chinese, though he was not necessarily interested in
+philosophical ideas.</p>
+
+<p>While the West has set up the ideal of individualism and is suffering
+now because it no longer has any ethical system to which individuals
+voluntarily submit; while for the Indians the social problem consisted
+in the solving of the question how every man could be enabled to live
+his life with as little disturbance as possible from his fellow-men,
+Confucianism solved the problem of how families with groups of hundreds
+of members could live together in peace and co-operation in a densely
+populated country. Everyone knew his position in the family and so, in a
+broader sense, in the state; and this prescribed his rights and duties.
+We may feel that the rules to which he was subjected were pedantic; but
+there was no limit to their effectiveness: they reduced to a minimum the
+friction that always occurs when great masses of people live close
+together; they gave Chinese society the strength through which it has
+endured; they gave security to its individuals. China's first real
+social crisis after the collapse of feudalism, that is to say, after the
+fourth or third century <span class="smcap">B.C.</span>, began only in the present century
+with the collapse of the social order of the gentry and the breakdown of
+the family system.</p>
+
+
+<p class="sect">7 <i>Lao Tz&#365;</i></p>
+
+<p>In eighteenth-century Europe Confucius was the only Chinese philosopher
+held in regard; in the last hundred years, the years of Europe's
+internal crisis, the philosopher Lao Tz&#365; steadily advanced in repute, so
+that his book was translated almost a hundred times into various
+European languages. According to the general view among the Chinese, Lao
+Tz&#365; was an older contemporary of Confucius; recent Chinese and Western
+research (A.&nbsp;Waley; H.&nbsp;H.&nbsp;Dubs) has contested this view and places Lao
+Tz&#365; in the latter part of the fourth century <span class="smcap">B.C.</span>, or even
+later. Virtually nothing at all is known about his life; the oldest
+biography of Lao Tz&#365;, written about 100 <span class="smcap">B.C.</span>, says that he
+lived as an official at the ruler's court and, one day, became tired of
+the life of an official and withdrew from the capital to his estate,
+where he died in old age. This, too, may be legendary, but it fits well
+into the picture given to us by Lao Tz&#365;'s teaching and by the life of
+his later followers. From the second century <span class="smcap">A.D.</span>, that is to
+say at least four hundred years after his death, there are legends of
+his migrating to the far west. Still later narratives tell of his going
+to Turkestan (where a temple was actually built in his honour in the
+Medieval period); according to other sources he travelled as far as
+India or Sogdiana (Samarkand<!-- Page 46 --><span class='pagenum'><a name="Page_46" id="Page_46">[Pg 46]</a></span> and Bokhara), where according to some
+accounts he was the teacher or forerunner of Buddha, and according to
+others of Mani, the founder of Manichaeism. For all this there is not a
+vestige of documentary evidence.</p>
+
+<p>Lao Tz&#365;'s teaching is contained in a small book, the <i>Tao T&ecirc; Ching</i>, the
+"Book of the World Law and its Power". The book is written in quite
+simple language, at times in rhyme, but the sense is so vague that
+countless versions, differing radically from each other, can be based on
+it, and just as many translations are possible, all philologically
+defensible. This vagueness is deliberate.</p>
+
+<p>Lao Tz&#365;'s teaching is essentially an effort to bring man's life on earth
+into harmony with the life and law of the universe (Tao). This was also
+Confucius's purpose. But while Confucius set out to attain that purpose
+in a sort of primitive scientific way, by laying down a number of rules
+of human conduct, Lao Tz&#365; tries to attain his ideal by an intuitive,
+emotional method. Lao Tz&#365; is always described as a mystic, but perhaps
+this is not entirely appropriate; it must be borne in mind that in his
+time the Chinese language, spoken and written, still had great
+difficulties in the expression of ideas. In reading Lao Tz&#365;'s book we
+feel that he is trying to express something for which the language of
+his day was inadequate; and what he wanted to express belonged to the
+emotional, not the intellectual, side of the human character, so that
+any perfectly clear expression of it in words was entirely impossible.
+It must be borne in mind that the Chinese language lacks definite word
+categories like substantive, adjective, adverb, or verb; any word can be
+used now in one category and now in another, with a few exceptions; thus
+the understanding of a combination like "white horse" formed a difficult
+logical problem for the thinker of the fourth century <span class="smcap">B.C.</span>: did
+it mean "white" plus "horse"? Or was "white horse" no longer a horse at
+all but something quite different?</p>
+
+<p>Confucius's way of bringing human life into harmony with the life of the
+universe was to be a process of assimilating Man as a social being, Man
+in his social environment, to Nature, and of so maintaining his activity
+within the bounds of the community. Lao Tz&#365; pursues another path, the
+path for those who feel disappointed with life in the community. A
+Taoist, as a follower of Lao Tz&#365; is called, withdraws from all social
+life, and carries out none of the rites and ceremonies which a man of
+the upper class should observe throughout the day. He lives in
+self-imposed seclusion, in an elaborate primitivity which is often
+described in moving terms that are almost convincing of actual
+"primitivity". Far from the city, surrounded by Nature, the Taoist lives
+his own life, together with a few friends and his servants, entirely
+according to his nature. His<!-- Page 47 --><span class='pagenum'><a name="Page_47" id="Page_47">[Pg 47]</a></span> own nature, like everything else,
+represents for him a part of the Tao, and the task of the individual
+consists in the most complete adherence to the Tao that is conceivable,
+as far as possible performing no act that runs counter to the Tao. This
+is the main element of Lao Tz&#365;'s doctrine, the doctrine of <i>wu-wei</i>,
+"passive achievement".</p>
+
+<p>Lao Tz&#365; seems to have thought that this doctrine could be applied to the
+life of the state. He assumed that an ideal life in society was possible
+if everyone followed his own nature entirely and no artificial
+restrictions were imposed. Thus he writes: "The more the people are
+forbidden to do this and that, the poorer will they be. The more sharp
+weapons the people possess, the more will darkness and bewilderment
+spread through the land. The more craft and cunning men have, the more
+useless and pernicious contraptions will they invent. The more laws and
+edicts are imposed, the more thieves and bandits there will be. 'If I
+work through Non-action,' says the Sage, 'the people will transform
+themselves.'"<a name="FNanchor_1_1" id="FNanchor_1_1"></a><a href="#Footnote_1_1" class="fnanchor">[1]</a> Thus according to Lao Tz&#365;, who takes the existence of a
+monarchy for granted, the ruler must treat his subjects as follows: "By
+emptying their hearts of desire and their minds of envy, and by filling
+their stomachs with what they need; by reducing their ambitions and by
+strengthening their bones and sinews; by striving to keep them without
+the knowledge of what is evil and without cravings. Thus are the crafty
+ones given no scope for tempting interference. For it is by Non-action
+that the Sage governs, and nothing is really left uncontrolled."<a name="FNanchor_2_2" id="FNanchor_2_2"></a><a href="#Footnote_2_2" class="fnanchor">[2]</a></p>
+
+<div class="footnote"><p><a name="Footnote_1_1" id="Footnote_1_1"></a><a href="#FNanchor_1_1"><span class="label">[1]</span></a> <i>The Way of Acceptance</i>: a new version of Lao Tz&#365;'s <i>Tao T&ecirc;
+Ching</i>, by Hermon Ould (Dakers, 1946), Ch. 57.</p></div>
+
+<div class="footnote"><p><a name="Footnote_2_2" id="Footnote_2_2"></a><a href="#FNanchor_2_2"><span class="label">[2]</span></a> <i>The Way of Acceptance</i>, Ch. 3.</p></div>
+
+<p>Lao Tz&#365; did not live to learn that such rule of good government would be
+followed by only one sort of rulers&mdash;dictators; and as a matter of fact
+the "Legalist theory" which provided the philosophic basis for
+dictatorship in the third century <span class="smcap">B.C.</span> was attributable to Lao
+Tz&#365;. He was not thinking, however, of dictatorship; he was an
+individualistic anarchist, believing that if there were no active
+government all men would be happy. Then everyone could attain unity with
+Nature for himself. Thus we find in Lao Tz&#365;, and later in all other
+Taoists, a scornful repudiation of all social and official obligations.
+An answer that became famous was given by the Taoist Chuang Tz&#365; (see
+below) when it was proposed to confer high office in the state on him
+(the story may or may not be true, but it is typical of Taoist thought):
+"I have heard," he replied, "that in Ch'u there is a tortoise sacred to
+the gods. It has now been dead for 3,000 years, and the king keeps it in
+a shrine with silken<!-- Page 48 --><span class='pagenum'><a name="Page_48" id="Page_48">[Pg 48]</a></span> cloths, and gives it shelter in the halls of a
+temple. Which do you think that tortoise would prefer&mdash;to be dead and
+have its vestigial bones so honoured, or to be still alive and dragging
+its tail after it in the mud?" the officials replied: "No doubt it would
+prefer to be alive and dragging its tail after it in the mud." Then
+spoke Chuang Tz&#365;: "Begone! I, too, would rather drag my tail after me in
+the mud!" (Chuang Tz&#365; 17, 10.)</p>
+
+<p>The true Taoist withdraws also from his family. Typical of this is
+another story, surely apocryphal, from Chuang Tz&#365; (Ch. 3, 3). At the
+death of Lao Tz&#365; a disciple went to the family and expressed his
+sympathy quite briefly and formally. The other disciples were
+astonished, and asked his reason. He said: "Yes, at first I thought that
+he was our man, but he is not. When I went to grieve, the old men were
+bewailing him as though they were bewailing a son, and the young wept as
+though they were mourning a mother. To bind them so closely to himself,
+he must have spoken words which he should not have spoken, and wept
+tears which he should not have wept. That, however, is a falling away
+from the heavenly nature."</p>
+
+<p>Lao Tz&#365;'s teaching, like that of Confucius, cannot be described as
+religion; like Confucius's, it is a sort of social philosophy, but of
+irrationalistic character. Thus it was quite possible, and later it
+became the rule, for one and the same person to be both Confucian and
+Taoist. As an official and as the head of his family, a man would think
+and act as a Confucian; as a private individual, when he had retired far
+from the city to live in his country mansion (often modestly described
+as a cave or a thatched hut), or when he had been dismissed from his
+post or suffered some other trouble, he would feel and think as a
+Taoist. In order to live as a Taoist it was necessary, of course, to
+possess such an estate, to which a man could retire with his servants,
+and where he could live without himself doing manual work. This
+difference between the Confucian and the Taoist found a place in the
+works of many Chinese poets. I take the following quotation from an
+essay by the statesman and poet Ts'ao Chih, of the end of the second
+century <span class="smcap">A.D.</span>:</p>
+
+<p>"Master Mysticus lived in deep seclusion on a mountain in the
+wilderness; he had withdrawn as in flight from the world, desiring to
+purify his spirit and give rest to his heart. He despised official
+activity, and no longer maintained any relations with the world; he
+sought quiet and freedom from care, in order in this way to attain
+everlasting life. He did nothing but send his thoughts wandering between
+sky and clouds, and consequently there was nothing worldly that could
+attract and tempt him.</p>
+
+<div class="center">
+<a name="image03" id="image03"></a>
+<img src="images/image03.png"
+alt="1 Painted pottery from Kansu: Neolithic."
+title="1 Painted pottery from Kansu: Neolithic." />
+<p class="caption">1 Painted pottery from Kansu: Neolithic.<br /><i>In the
+collection of the Museum f&uuml;r V&ouml;lkerkunde, Berlin</i>.</p>
+</div>
+
+<div class="center">
+<a name="image04" id="image04"></a>
+<img src="images/image04.png"
+alt="2 Ancient bronze tripod found at Anyang."
+title="2 Ancient bronze tripod found at Anyang." />
+<p class="caption">2 Ancient bronze tripod found at Anyang.<br /><i>From G.&nbsp;Ecke:
+Fr&uuml;he chinesische Bronzen aus der Sammlung Oskar Trautmann, Peking 1939,
+plate 3.</i></p>
+</div>
+
+<p>"When Mr. Rationalist heard of this man, he desired to visit him, in
+order to persuade him to alter his views. He harnessed four horses, who
+could quickly traverse the plain, and entered his light fast carriage.
+He drove through the plain, leaving behind him the ruins of abandoned
+settlements; he entered the boundless wilderness, and finally reached
+the dwelling of Master Mysticus. Here there was a waterfall on one side,
+and on the other were high crags; at the back a stream flowed deep down
+in its bed, and in front was an odorous wood. The master wore a white
+doeskin cap and a striped fox-pelt. He came forward from a cave buried
+in the mountain, leaned against the tall crag, and enjoyed the prospect
+of wild nature. His ideas floated on the breezes, and he looked as if
+the wide spaces of the heavens and the countries of the earth were too
+narrow for him; as if he was going to fly but had not yet left the
+ground; as if he had already spread his wings but wanted to wait a
+moment. Mr. Rationalist climbed up with the aid of vine shoots, reached
+the top of the crag, and stepped up to him, saying very respectfully:<!-- Page 49 --><span class='pagenum'><a name="Page_49" id="Page_49">[Pg 49]</a></span></p>
+
+<p>"'I have heard that a man of nobility does not flee from society, but
+seeks to gain fame; a man of wisdom does not swim against the current,
+but seeks to earn repute. You, however, despise the achievements of
+civilization and culture; you have no regard for the splendour of
+philanthropy and justice; you squander your powers here in the
+wilderness and neglect ordered relations between man....'"</p>
+
+<p>Frequently Master Mysticus and Mr. Rationalist were united in a single
+person. Thus, Shih Ch'ung wrote in an essay on himself:</p>
+
+<p>"In my youth I had great ambition and wanted to stand out above the
+multitude. Thus it happened that at a little over twenty years of age I
+was already a court official; I remained in the service for twenty-five
+years. When I was fifty I had to give up my post because of an
+unfortunate occurrence.... The older I became, the more I appreciated
+the freedom I had acquired; and as I loved forest and plain, I retired
+to my villa. When I built this villa, a long embankment formed the
+boundary behind it; in front the prospect extended over a clear canal;
+all around grew countless cypresses, and flowing water meandered round
+the house. There were pools there, and outlook towers; I bred birds and
+fishes. In my harem there were always good musicians who played dance
+tunes. When I went out I enjoyed nature or hunted birds and fished. When
+I came home, I enjoyed playing the lute or reading; I also liked to
+concoct an elixir of life and to take breathing exercises,<a name="FNanchor_3_3" id="FNanchor_3_3"></a><a href="#Footnote_3_3" class="fnanchor">[3]</a> because I
+did not want to die, but wanted one day to lift myself to the skies,
+like an immortal genius. Suddenly I was drawn back into the<!-- Page 50 --><span class='pagenum'><a name="Page_50" id="Page_50">[Pg 50]</a></span> official
+career, and became once more one of the dignitaries of the Emperor."</p>
+
+<div class="footnote"><p><a name="Footnote_3_3" id="Footnote_3_3"></a><a href="#FNanchor_3_3"><span class="label">[3]</span></a> Both Taoist practices.</p></div>
+
+<p>Thus Lao Tz&#365;'s individualist and anarchist doctrine was not suited to
+form the basis of a general Chinese social order, and its employment in
+support of dictatorship was certainly not in the spirit of Lao Tz&#365;.
+Throughout history, however, Taoism remained the philosophic attitude of
+individuals of the highest circle of society; its real doctrine never
+became popularly accepted; for the strong feeling for nature that
+distinguishes the Chinese, and their reluctance to interfere in the
+sanctified order of nature by technical and other deliberate acts, was
+not actually a result of Lao Tz&#365;'s teaching, but one of the fundamentals
+from which his ideas started.</p>
+
+<p>If the date assigned to Lao Tz&#365; by present-day research (the fourth
+instead of the sixth century <span class="smcap">B.C.</span>) is correct, he was more or
+less contemporary with Chuang Tz&#365;, who was probably the most gifted poet
+among the Chinese philosophers and Taoists. A thin thread extends from
+them as far as the fourth century <span class="smcap">A.D.</span>: Huai-nan Tz&#365;,
+Chung-ch'ang T'ung, Y&uuml;an Chi (210-263), Liu Ling (221-300), and T'ao
+Ch'ien (365-427), are some of the most eminent names of Taoist
+philosophers. After that the stream of original thought dried up, and we
+rarely find a new idea among the late Taoists. These gentlemen living on
+their estates had acquired a new means of expressing their inmost
+feelings: they wrote poetry and, above all, painted. Their poems and
+paintings contain in a different outward form what Lao Tz&#365; had tried to
+express with the inadequate means of the language of his day. Thus Lao
+Tz&#365;'s teaching has had the strongest influence to this day in this
+field, and has inspired creative work which is among the finest
+achievements of mankind.<!-- Page 51 --><span class='pagenum'><a name="Page_51" id="Page_51">[Pg 51]</a></span></p>
+
+
+
+<hr />
+<h2><a name="Chapter_Four" id="Chapter_Four"></a>Chapter Four</h2>
+
+<h2 class="ln2">THE CONTENDING STATES (481-256 <span class="smcap">B.C.</span>): DISSOLUTION OF THE FEUDAL
+SYSTEM</h2>
+
+
+<p class="sect">1 <i>Social and military changes</i></p>
+
+<p>The period following that of the Chou dictatorships is known as that of
+the Contending States. Out of over a thousand states, fourteen remained,
+of which, in the period that now followed, one after another
+disappeared, until only one remained. This period is the fullest, or one
+of the fullest, of strife in all Chinese history. The various feudal
+states had lost all sense of allegiance to the ruler, and acted in
+entire independence. It is a pure fiction to speak of a Chinese State in
+this period; the emperor had no more power than the ruler of the Holy
+Roman Empire in the late medieval period of Europe, and the so-called
+"feudal states" of China can be directly compared with the developing
+national states of Europe. A comparison of this period with late
+medieval Europe is, indeed, of highest interest. If we adopt a political
+system of periodization, we might say that around 500 <span class="smcap">B.C.</span> the
+unified feudal state of the first period of Antiquity came to an end and
+the second, a period of the national states began, although formally,
+the feudal system continued and the national states still retained many
+feudal traits.</p>
+
+<p>As none of these states was strong enough to control and subjugate the
+rest, alliances were formed. The most favoured union was the north-south
+axis; it struggled against an east-west league. The alliances were not
+stable but broke up again and again through bribery or intrigue, which
+produced new combinations. We must confine ourselves to mentioning the
+most important of the events that took place behind this military
+fa&ccedil;ade.</p>
+
+<p>Through the continual struggles more and more feudal lords lost their
+lands; and not only they, but the families of the nobles dependent on
+them, who had received so-called sub-fiefs. Some of<!-- Page 52 --><span class='pagenum'><a name="Page_52" id="Page_52">[Pg 52]</a></span> the landless nobles
+perished; some offered their services to the remaining feudal lords as
+soldiers or advisers. Thus in this period we meet with a large number of
+migratory politicians who became competitors of the wandering scholars.
+Both these groups recommended to their lord ways and means of gaining
+victory over the other feudal lords, so as to become sole ruler. In
+order to carry out their plans the advisers claimed the rank of a
+Minister or Chancellor.</p>
+
+<p>Realistic though these advisers and their lords were in their thinking,
+they did not dare to trample openly on the old tradition. The emperor
+might in practice be a completely powerless figurehead, but he belonged
+nevertheless, according to tradition, to a family of divine origin,
+which had obtained its office not merely by the exercise of force but
+through a "divine mandate". Accordingly, if one of the feudal lords
+thought of putting forward a claim to the imperial throne, he felt
+compelled to demonstrate that his family was just as much of divine
+origin as the emperor's, and perhaps of remoter origin. In this matter
+the travelling "scholars" rendered valuable service as manufacturers of
+genealogical trees. Each of the old noble families already had its
+family tree, as an indispensable requisite for the sacrifices to
+ancestors. But in some cases this tree began as a branch of that of the
+imperial family: this was the case of the feudal lords who were of
+imperial descent and whose ancestors had been granted fiefs after the
+conquest of the country. Others, however, had for their first ancestor a
+local deity long worshipped in the family's home country, such as the
+ancient agrarian god Huang Ti, or the bovine god Shen Nung. Here the
+"scholars" stepped in, turning the local deities into human beings and
+"emperors". This suddenly gave the noble family concerned an imperial
+origin. Finally, order was brought into this collection of ancient
+emperors. They were arranged and connected with each other in
+"dynasties" or in some other "historical" form. Thus at a stroke Huang
+Ti, who about 450 <span class="smcap">B.C.</span> had been a local god in the region of
+southern Shansi, became the forefather of almost all the noble families,
+including that of the imperial house of the Chou. Needless to say, there
+would be discrepancies between the family trees constructed by the
+various scholars for their lords, and later, when this problem had lost
+its political importance, the commentators laboured for centuries on the
+elaboration of an impeccable system of "ancient emperors"&mdash;and to this
+day there are sinologists who continue to present these humanized gods
+as historical personalities.</p>
+
+<p>In the earlier wars fought between the nobles they were themselves the
+actual combatants, accompanied only by their retinue. As the struggles
+for power grew in severity, each noble hired such<!-- Page 53 --><span class='pagenum'><a name="Page_53" id="Page_53">[Pg 53]</a></span> mercenaries as he
+could, for instance the landless nobles just mentioned. Very soon it
+became the custom to arm peasants and send them to the wars. This
+substantially increased the armies. The numbers of soldiers who were
+killed in particular battles may have been greatly exaggerated (in a
+single battle in 260 <span class="smcap">B.C.</span>, for instance, the number who lost
+their lives was put at 450,000, a quite impossible figure); but there
+must have been armies of several thousand men, perhaps as many as
+10,000. The population had grown considerably by that time.</p>
+
+<p>The armies of the earlier period consisted mainly of the nobles in their
+war chariots; each chariot surrounded by the retinue of the nobleman.
+Now came large troops of commoners as infantry as well, drawn from the
+peasant population. To these, cavalry were first added in the fifth
+century <span class="smcap">B.C.</span>, by the northern state of Chao (in the present
+Shansi), following the example of its Turkish and Mongol neighbours. The
+general theory among ethnologists is that the horse was first harnessed
+to a chariot, and that riding came much later; but it is my opinion that
+riders were known earlier, but could not be efficiently employed in war
+because the practice had not begun of fighting in disciplined troops of
+horsemen, and the art had not been learnt of shooting accurately with
+the bow from the back of a galloping horse, especially shooting to the
+rear. In any case, its cavalry gave the feudal state of Chao a military
+advantage for a short time. Soon the other northern states copied it one
+after another&mdash;especially Ch'in, in north-west China. The introduction
+of cavalry brought a change in clothing all over China, for the former
+long skirt-like garb could not be worn on horseback. Trousers and the
+riding-cap were introduced from the north.</p>
+
+<p>The new technique of war made it important for every state to possess as
+many soldiers as possible, and where it could to reduce the enemy's
+numbers. One result of this was that wars became much more sanguinary;
+another was that men in other countries were induced to immigrate and
+settle as peasants, so that the taxes they paid should provide the means
+for further recruitment of soldiers. In the state of Ch'in, especially,
+the practice soon started of using the whole of the peasantry
+simultaneously as a rough soldiery. Hence that state was particularly
+anxious to attract peasants in large numbers.</p>
+
+
+<p class="sect">2 <i>Economic changes</i></p>
+
+<p>In the course of the wars much land of former noblemen had become free.
+Often the former serfs had then silently become<!-- Page 54 --><span class='pagenum'><a name="Page_54" id="Page_54">[Pg 54]</a></span> landowners. Others had
+started to cultivate empty land in the area inhabited by the indigenous
+population and regarded this land, which they themselves had made
+fertile, as their private family property. There was, in spite of the
+growth of the population, still much cultivable land available.
+Victorious feudal lords induced farmers to come to their territory and
+to cultivate the wasteland. This is a period of great migrations,
+internal and external. It seems that from this period on not only
+merchants but also farmers began to migrate southwards into the area of
+the present provinces of Kwangtung and Kwangsi and as far as Tonking.</p>
+
+<p>As long as the idea that all land belonged to the great clans of the
+Chou prevailed, sale of land was inconceivable; but when individual
+family heads acquired land or cultivated new land, they regarded it as
+their natural right to dispose of the land as they wished. From now on
+until the end of the medieval period, the family head as representative
+of the family could sell or buy land. However, the land belonged to the
+family and not to him as a person. This development was favoured by the
+spread of money. In time land in general became an asset with a market
+value and could be bought and sold.</p>
+
+<p>Another important change can be seen from this time on. Under the feudal
+system of the Chou strict primogeniture among the nobility existed: the
+fief went to the oldest son by the main wife. The younger sons were
+given independent pieces of land with its inhabitants as new, secondary
+fiefs. With the increase in population there was no more such land that
+could be set up as a new fief. From now on, primogeniture was retained
+in the field of ritual and religion down to the present time: only the
+oldest son of the main wife represents the family in the ancestor
+worship ceremonies; only the oldest son of the emperor could become his
+successor. But the landed property from now on was equally divided among
+all sons. Occasionally the oldest son was given some extra land to
+enable him to pay the expenses for the family ancestral worship. Mobile
+property, on the other side, was not so strictly regulated and often the
+oldest son was given preferential treatment in the inheritance.</p>
+
+<p>The technique of cultivation underwent some significant changes. The
+animal-drawn plough seems to have been invented during this period, and
+from now on, some metal agricultural implements like iron sickles and
+iron plough-shares became more common. A fallow system was introduced so
+that cultivation became more intensive. Manuring of fields was already
+known in Shang time. It seems that the consumption of meat decreased
+from this period on: less mutton and beef were eaten. Pig and dog<!-- Page 55 --><span class='pagenum'><a name="Page_55" id="Page_55">[Pg 55]</a></span>
+became the main sources of meat, and higher consumption of beans made up
+for the loss of proteins. All this indicates a strong population
+increase. We have no statistics for this period, but by 400
+<span class="smcap">B.C.</span> it is conceivable that the population under the control of
+the various individual states comprised something around twenty-five
+millions. The eastern plains emerge more and more as centres of
+production.</p>
+
+<p>The increased use of metal and the invention of coins greatly stimulated
+trade. Iron which now became quite common, was produced mainly in
+Shansi, other metals in South China. But what were the traders to do
+with their profits? Even later in China, and almost down to recent
+times, it was never possible to hoard large quantities of money.
+Normally the money was of copper, and a considerable capital in the form
+of copper coin took up a good deal of room and was not easy to conceal.
+If anyone had much money, everyone in his village knew it. No one dared
+to hoard to any extent for fear of attracting bandits and creating
+lasting insecurity. On the other hand the merchants wanted to attain the
+standard of living which the nobles, the landowners, used to have. Thus
+they began to invest their money in land. This was all the easier for
+them since it often happened that one of the lesser nobles or a peasant
+fell deeply into debt to a merchant and found himself compelled to give
+up his land in payment of the debt.</p>
+
+<p>Soon the merchants took over another function. So long as there had been
+many small feudal states, and the feudal lords had created lesser lords
+with small fiefs, it had been a simple matter for the taxes to be
+collected, in the form of grain, from the peasants through the agents of
+the lesser lords. Now that there were only a few great states in
+existence, the old system was no longer effectual. This gave the
+merchants their opportunity. The rulers of the various states entrusted
+the merchants with the collection of taxes, and this had great
+advantages for the ruler: he could obtain part of the taxes at once, as
+the merchant usually had grain in stock, or was himself a landowner and
+could make advances at any time. Through having to pay the taxes to the
+merchant, the village population became dependent on him. Thus the
+merchants developed into the first administrative officials in the
+provinces.</p>
+
+<p>In connection with the growth of business, the cities kept on growing.
+It is estimated that at the beginning of the third century, the city of
+Lin-chin, near the present Chi-nan in Shantung, had a population of
+210,000 persons. Each of its walls had a length of 4,000 metres; thus,
+it was even somewhat larger than the famous city of Lo-yang, capital of
+China during the Later Han dynasty, in the second century <span class="smcap">A.D.</span>
+Several other cities of this period have been<!-- Page 56 --><span class='pagenum'><a name="Page_56" id="Page_56">[Pg 56]</a></span> recently excavated and
+must have had populations far above 10,000 persons. There were two types
+of cities: the rectangular, planned city of the Chou conquerors, a seat
+of administration; and the irregularly shaped city which grew out of a
+market place and became only later an administrative centre. We do not
+know much about the organization and administration of these cities, but
+they seem to have had considerable independence because some of them
+issued their own city coins.</p>
+
+<p>When these cities grew, the food produced in the neighbourhood of the
+towns no longer sufficed for their inhabitants. This led to the building
+of roads, which also facilitated the transport of supplies for great
+armies. These roads mainly radiated from the centre of consumption into
+the surrounding country, and they were less in use for communication
+between one administrative centre and another. For long journeys the
+rivers were of more importance, since transport by wagon was always
+expensive owing to the shortage of draught animals. Thus we see in this
+period the first important construction of canals and a development of
+communications. With the canal construction was connected the
+construction of irrigation and drainage systems, which further promoted
+agricultural production. The cities were places in which often great
+luxury developed; music, dance, and other refinements were cultivated;
+but the cities also seem to have harboured considerable industries.
+Expensive and technically superior silks were woven; painters decorated
+the walls of temples and palaces; blacksmiths and bronze-smiths produced
+beautiful vessels and implements. It seems certain that the art of
+casting iron and the beginnings of the production of steel were already
+known at this time. The life of the commoners in these cities was
+regulated by laws; the first codes are mentioned in 536 <span class="smcap">B.C.</span> By
+the end of the fourth century <span class="smcap">B.C.</span> a large body of criminal law
+existed, supposedly collected by Li K'uei, which became the foundation
+of all later Chinese law. It seems that in this period the states of
+China moved quickly towards a money economy, and an observer to whom the
+later Chinese history was not known could have predicted the eventual
+development of a capitalistic society out of the apparent tendencies.</p>
+
+<p>So far nothing has been said in these chapters about China's foreign
+policy. Since the central ruling house was completely powerless, and the
+feudal lords were virtually independent rulers, little can be said, of
+course, about any "Chinese" foreign policy. There is less than ever to
+be said about it for this period of the "Contending States". Chinese
+merchants penetrated southwards, and soon settlers moved in increasing
+numbers into the plains of<!-- Page 57 --><span class='pagenum'><a name="Page_57" id="Page_57">[Pg 57]</a></span> the south-east. In the north, there were
+continual struggles with Turkish and Mongol tribes, and about 300
+<span class="smcap">B.C.</span> the name of the Hsiung-nu (who are often described as "The
+Huns of the Far East") makes its first appearance. It is known that
+these northern peoples had mastered the technique of horseback warfare
+and were far ahead of the Chinese, although the Chinese imitated their
+methods. The peasants of China, as they penetrated farther and farther
+north, had to be protected by their rulers against the northern peoples,
+and since the rulers needed their armed forces for their struggles
+within China, a beginning was made with the building of frontier walls,
+to prevent sudden raids of the northern peoples against the peasant
+settlements. Thus came into existence the early forms of the "Great Wall
+of China". This provided for the first time a visible frontier between
+Chinese and non-Chinese. Along this frontier, just as by the walls of
+towns, great markets were held at which Chinese peasants bartered their
+produce to non-Chinese nomads. Both partners in this trade became
+accustomed to it and drew very substantial profits from it. We even know
+the names of several great horse-dealers who bought horses from the
+nomads and sold them within China.</p>
+
+
+<p class="sect">3 <i>Cultural changes</i></p>
+
+<p>Together with the economic and social changes in this period, there came
+cultural changes. New ideas sprang up in exuberance, as would seem
+entirely natural, because in times of change and crisis men always come
+forward to offer solutions for pressing problems. We shall refer here
+only briefly to the principal philosophers of the period.</p>
+
+<p>Mencius (<i>c.</i> 372-289 <span class="smcap">B.C.</span>) and Hs&uuml;n Tz&#365; (<i>c.</i> 298-238
+<span class="smcap">B.C.</span>) were both followers of Confucianism. Both belonged to the
+so-called "scholars", and both lived in the present Shantung, that is to
+say, in eastern China. Both elaborated the ideas of Confucius, but
+neither of them achieved personal success. Mencius (Meng Tz&#365;) recognized
+that the removal of the ruling house of the Chou no longer presented any
+difficulty. The difficult question for him was when a change of ruler
+would be justified. And how could it be ascertained whom Heaven had
+destined as successor if the existing dynasty was brought down? Mencius
+replied that the voice of the "people", that is to say of the upper
+class and its following, would declare the right man, and that this man
+would then be Heaven's nominee. This theory persisted throughout the
+history of China. Hs&uuml;n Tz&#365;'s chief importance lies in the fact that he
+recognized that the "laws" of nature are unchanging but that man's fate
+is<!-- Page 58 --><span class='pagenum'><a name="Page_58" id="Page_58">[Pg 58]</a></span> determined not by nature alone but, in addition, by his own
+activities. Man's nature is basically bad, but by working on himself
+within the framework of society, he can change his nature and can
+develop. Thus, Hs&uuml;n Tz&#365;'s philosophy contains a dynamic element, fit for
+a dynamic period of history.</p>
+
+<p>In the strongest contrast to these thinkers was the school of Mo Ti (at
+some time between 479 and 381 <span class="smcap">B.C.</span>). The Confucian school held
+fast to the old feudal order of society, and was only ready to agree to
+a few superficial changes. The school of Mo Ti proposed to alter the
+fundamental principles of society. Family ethics must no longer be
+retained; the principles of family love must be extended to the whole
+upper class, which Mo Ti called the "people". One must love another
+member of the upper class just as much as one's own father. Then the
+friction between individuals and between states would cease. Instead of
+families, large groups of people friendly to one another must be
+created. Further one should live frugally and not expend endless money
+on effete rites, as the Confucianists demanded. The expenditure on
+weddings and funerals under the Confucianist ritual consumed so much
+money that many families fell into debt and, if they were unable to pay
+off the debt, sank from the upper into the lower class. In order to
+maintain the upper class, therefore, there must be more frugality. Mo
+Ti's teaching won great influence. He and his successors surrounded
+themselves with a private army of supporters which was rigidly organized
+and which could be brought into action at any time as its leader wished.
+Thus the Mohists came forward everywhere with an approach entirely
+different from that of the isolated Confucians. When the Mohists offered
+their assistance to a ruler, they brought with them a group of technical
+and military experts who had been trained on the same principles. In
+consequence of its great influence this teaching was naturally hotly
+opposed by the Confucianists.</p>
+
+<p>We see clearly in Mo Ti's and his followers' ideas the influence of the
+changed times. His principle of "universal love" reflects the breakdown
+of the clans and the general weakening of family bonds which had taken
+place. His ideal of social organization resembles organizations of
+merchants and craftsmen which we know only of later periods. His stress
+upon frugality, too, reflects a line of thought which is typical of
+businessmen. The rationality which can also be seen in his metaphysical
+ideas and which has induced modern Chinese scholars to call him an early
+materialist is fitting to an age in which a developing money economy and
+expanding trade required a cool, logical approach to the affairs of this
+world.</p>
+
+<p>A similar mentality can be seen in another school which appeared<!-- Page 59 --><span class='pagenum'><a name="Page_59" id="Page_59">[Pg 59]</a></span> from
+the fifth century <span class="smcap">B.C.</span> on, the "dialecticians". Here are a
+number of names to mention: the most important are Kung-sun Lung and Hui
+Tz&#365;, who are comparable with the ancient Greek dialecticians and
+Sophists. They saw their main task in the development of logic. Since,
+as we have mentioned, many "scholars" journeyed from one princely court
+to another, and other people came forward, each recommending his own
+method to the prince for the increase of his power, it was of great
+importance to be able to talk convincingly, so as to defeat a rival in a
+duel of words on logical grounds.</p>
+
+<p>Unquestionably, however, the most important school of this period was
+that of the so-called Legalists, whose most famous representative was
+Shang Yang (or Shang Tz&#365;, died 338 <span class="smcap">B.C.</span>). The supporters of
+this school came principally from old princely families that had lost
+their feudal possessions, and not from among the so-called scholars.
+They were people belonging to the upper class who possessed political
+experience and now offered their knowledge to other princes who still
+reigned. These men had entirely given up the old conservative traditions
+of Confucianism; they were the first to make their peace with the new
+social order. They recognized that little or nothing remained of the old
+upper class of feudal lords and their following. The last of the feudal
+lords collected around the heads of the last remaining princely courts,
+or lived quietly on the estates that still remained to them. Such a
+class, with its moral and economic strength broken, could no longer
+lead. The Legalists recognized, therefore, only the ruler and next to
+him, as the really active and responsible man, the chancellor; under
+these there were to be only the common people, consisting of the richer
+and poorer peasants; the people's duty was to live and work for the
+ruler, and to carry out without question whatever orders they received.
+They were not to discuss or think, but to obey. The chancellor was to
+draft laws which came automatically into operation. The ruler himself
+was to have nothing to do with the government or with the application of
+the laws. He was only a symbol, a representative of the equally inactive
+Heaven. Clearly these theories were much the best suited to the
+conditions of the break-up of feudalism about 300 <span class="smcap">B.C.</span> Thus
+they were first adopted by the state in which the old idea of the feudal
+state had been least developed, the state of Ch'in, in which alien
+peoples were most strongly represented. Shang Yang became the actual
+organizer of the state of Ch'in. His ideas were further developed by Han
+Fei Tz&#365; (died 233 <span class="smcap">B.C.</span>). The mentality which speaks out of his
+writings has closest similarity to the famous Indian Arthashastra which
+originated slightly earlier; both books exhibit a<!-- Page 60 --><span class='pagenum'><a name="Page_60" id="Page_60">[Pg 60]</a></span> <ins class="corr" title="Transcriber's note: Not normally spelled with 2 'c's.">"Macchiavellian"</ins>
+spirit. It must be observed that these theories had little or nothing to
+do with the ideas of the old cult of Heaven or with family allegiance;
+on the other hand, the soldierly element, with the notion of obedience,
+was well suited to the militarized peoples of the west. The population
+of Ch'in, organized throughout on these principles, was then in a
+position to remove one opponent after another. In the middle of the
+third century <span class="smcap">B.C.</span> the greater part of the China of that time
+was already in the hands of Ch'in, and in 256 <span class="smcap">B.C.</span> the last
+emperor of the Chou dynasty was compelled, in his complete impotence, to
+abdicate in favour of the ruler of Ch'in.</p>
+
+<p>Apart from these more or less political speculations, there came into
+existence in this period, by no mere chance, a school of thought which
+never succeeded in fully developing in China, concerned with natural
+science and comparable with the Greek natural philosophy. We have
+already several times pointed to parallels between Chinese and Indian
+thoughts. Such similarities may be the result of mere coincidence. But
+recent findings in Central Asia indicate that direct connections between
+India, Persia, and China may have started at a time much earlier than we
+had formerly thought. Sogdian merchants who later played a great role in
+commercial contacts might have been active already from 350 or 400
+<span class="smcap">B.C.</span> on and might have been the transmitters of new ideas. The
+most important philosopher of this school was Tsou Yen (flourished
+between 320 and 295 <span class="smcap">B.C.</span>); he, as so many other Chinese
+philosophers of this time, was a native of Shantung, and the ports of
+the Shantung coast may well have been ports of entrance of new ideas
+from Western Asia as were the roads through the Turkestan basin into
+Western China. Tsou Yen's basic ideas had their root in earlier Chinese
+speculations: the doctrine that all that exists is to be explained by
+the positive, creative, or the negative, passive action (Yang and Yin)
+of the five elements, wood, fire, earth, metal, and water (Wu hsing).
+But Tsou Yen also considered the form of the world, and was the first to
+put forward the theory that the world consists not of a single continent
+with China in the middle of it, but of nine continents. The names of
+these continents sound like Indian names, and his idea of a central
+world-mountain may well have come from India. The "scholars" of his time
+were quite unable to appreciate this beginning of science, which
+actually led to the contention of this school, in the first century
+<span class="smcap">B.C.</span>, that the earth was of spherical shape. Tsou Yen himself
+was ridiculed as a dreamer; but very soon, when the idea of the
+reciprocal destruction of the elements was applied, perhaps by Tsou Yen
+himself, to politics, namely when, in connection with the astronomical<!-- Page 61 --><span class='pagenum'><a name="Page_61" id="Page_61">[Pg 61]</a></span>
+calculations much cultivated by this school and through the
+identification of dynasties with the five elements, the attempt was made
+to explain and to calculate the duration and the supersession of
+dynasties, strong pressure began to be brought to bear against this
+school. For hundreds of years its books were distributed and read only
+in secret, and many of its members were executed as revolutionaries.
+Thus, this school, instead of becoming the nucleus of a school of
+natural science, was driven underground. The secret societies which
+started to arise clearly from the first century <span class="smcap">B.C.</span> on, but
+which may have been in existence earlier, adopted the
+politico-scientific ideas of Tsou Yen's school. Such secret societies
+have existed in China down to the present time. They all contained a
+strong religious, but heterodox element which can often be traced back
+to influences from a foreign religion. In times of peace they were
+centres of a true, emotional religiosity. In times of stress, a
+"messianic" element tended to become prominent: the world is bad and
+degenerating; morality and a just social order have decayed, but the
+coming of a savior is close; the saviour will bring a new, fair order
+and destroy those who are wicked. Tsou Yen's philosophy seemed to allow
+them to calculate when this new order would start; later secret
+societies contained ideas from Iranian Mazdaism, Manichaeism and
+Buddhism, mixed with traits from the popular religions and often couched
+in terms taken from the Taoists. The members of such societies were,
+typically, ordinary farmers who here found an emotional outlet for their
+frustrations in daily life. In times of stress, members of the leading
+<i>&eacute;lite</i> often but not always established contacts with these societies,
+took over their leadership and led them to open rebellion.</p>
+
+<p>The fate of Tsou Yen's school did not mean that the Chinese did not
+develop in the field of sciences. At about Tsou Yen's lifetime, the
+first mathematical handbook was written. From these books it is obvious
+that the interest of the government in calculating the exact size of
+fields, the content of measures for grain, and other fiscal problems
+stimulated work in this field, just as astronomy developed from the
+interest of the government in the fixation of the calendar. Science kept
+on developing in other fields, too, but mainly as a hobby of scholars
+and in the shops of craftsmen, if it did not have importance for the
+administration and especially taxation and budget calculations.<!-- Page 62 --><span class='pagenum'><a name="Page_62" id="Page_62">[Pg 62]</a></span></p>
+
+
+
+<hr />
+<h2><a name="Chapter_Five" id="Chapter_Five"></a>Chapter Five</h2>
+
+<h2 class="ln2">THE CH'IN DYNASTY (256-207 <span class="smcap">B.C.</span>)</h2>
+
+
+<p class="sect">1 <i>Towards the unitary State</i></p>
+
+<p>In 256 <span class="smcap">B.C.</span> the last ruler of the Chou dynasty abdicated in
+favour of the feudal lord of the state of Ch'in. Some people place the
+beginning of the Ch'in dynasty in that year, 256 <span class="smcap">B.C.</span>; others
+prefer the date 221 <span class="smcap">B.C.</span>, because it was only in that year that
+the remaining feudal states came to their end and Ch'in really ruled all
+China.</p>
+
+<p>The territories of the state of Ch'in, the present Shensi and eastern
+Kansu, were from a geographical point of view transit regions, closed
+off in the north by steppes and deserts and in the south by almost
+impassable mountains. Only between these barriers, along the rivers Wei
+(in Shensi) and T'ao (in Kansu), is there a rich cultivable zone which
+is also the only means of transit from east to west. All traffic from
+and to Turkestan had to take this route. It is believed that strong
+relations with eastern Turkestan began in this period, and the state of
+Ch'in must have drawn big profits from its "foreign trade". The merchant
+class quickly gained more and more importance. The population was
+growing through immigration from the east which the government
+encouraged. This growing population with its increasing means of
+production, especially the great new irrigation systems, provided a
+welcome field for trade which was also furthered by the roads, though
+these were actually built for military purposes.</p>
+
+<p>The state of Ch'in had never been so closely associated with the feudal
+communities of the rest of China as the other feudal states. A great
+part of its population, including the ruling class, was not purely
+Chinese but contained an admixture of Turks and Tibetans. The other
+Chinese even called Ch'in a "barbarian state", and the foreign influence
+was, indeed, unceasing. This was a favourable soil for the overcoming of
+feudalism, and the process was furthered by the factors mentioned in the
+preceding chapter, which were leading to a change in the social
+structure<!-- Page 63 --><span class='pagenum'><a name="Page_63" id="Page_63">[Pg 63]</a></span> of China. Especially the recruitment of the whole population,
+including the peasantry, for war was entirely in the interest of the
+influential nomad fighting peoples within the state. About 250
+<span class="smcap">B.C.</span>, Ch'in was not only one of the economically strongest
+among the feudal states, but had already made an end of its own feudal
+system.</p>
+
+<p>Every feudal system harbours some seeds of a bureaucratic system of
+administration: feudal lords have their personal servants who are not
+recruited from the nobility, but who by their easy access to the lord
+can easily gain importance. They may, for instance, be put in charge of
+estates, workshops, and other properties of the lord and thus acquire
+experience in administration and an efficiency which are obviously of
+advantage to the lord. When Chinese lords of the preceding period, with
+the help of their sub-lords of the nobility, made wars, they tended to
+put the newly-conquered areas not into the hands of newly-enfeoffed
+noblemen, but to keep them as their property and to put their
+administration into the hands of efficient servants; these were the
+first bureaucratic officials. Thus, in the course of the later Chou
+period, a bureaucratic system of administration had begun to develop,
+and terms like "district" or "prefecture" began to appear, indicating
+that areas under a bureaucratic administration existed beside and inside
+areas under feudal rule. This process had gone furthest in Ch'in and was
+sponsored by the representatives of the Legalist School, which was best
+adapted to the new economic and social situation.</p>
+
+<p>A son of one of the concubines of the penultimate feudal ruler of Ch'in
+was living as a hostage in the neighbouring state of Chao, in what is
+now northern Shansi. There he made the acquaintance of an unusual man,
+the merchant L&uuml; Pu-wei, a man of education and of great political
+influence. L&uuml; Pu-wei persuaded the feudal ruler of Ch'in to declare this
+son his successor. He also sold a girl to the prince to be his wife, and
+the son of this marriage was to be the famous and notorious Shih
+Huang-ti. L&uuml; Pu-wei came with his prot&eacute;g&eacute; to Ch'in, where he became his
+Prime Minister, and after the prince's death in 247 <span class="smcap">B.C.</span> L&uuml;
+Pu-wei became the regent for his young son Shih Huang-ti (then called
+Cheng). For the first time in Chinese history a merchant, a commoner,
+had reached one of the highest positions in the state. It is not known
+what sort of trade L&uuml; Pu-wei had carried on, but probably he dealt in
+horses, the principal export of the state of Chao. As horses were an
+absolute necessity for the armies of that time, it is easy to imagine
+that a horse-dealer might gain great political influence.<!-- Page 64 --><span class='pagenum'><a name="Page_64" id="Page_64">[Pg 64]</a></span></p>
+
+<p>Soon after Shih Huang-ti's accession L&uuml; Pu-wei was dismissed, and a new
+group of advisers, strong supporters of the Legalist school, came into
+power. These new men began an active policy of conquest instead of the
+peaceful course which L&uuml; Pu-wei had pursued. One campaign followed
+another in the years from 230 to 222, until all the feudal states had
+been conquered, annexed, and brought under Shih Huang-ti's rule.</p>
+
+
+<p class="sect">2 <i>Centralization in every field</i></p>
+
+<p>The main task of the now gigantic realm was the organization of
+administration. One of the first acts after the conquest of the other
+feudal states was to deport all the ruling families and other important
+nobles to the capital of Ch'in; they were thus deprived of the basis of
+their power, and their land could be sold. These upper-class families
+supplied to the capital a class of consumers of luxury goods which
+attracted craftsmen and businessmen and changed the character of the
+capital from that of a provincial town to a centre of arts and crafts.
+It was decided to set up the uniform system of administration throughout
+the realm, which had already been successfully introduced in Ch'in: the
+realm was split up into provinces and the provinces into prefectures;
+and an official was placed in charge of each province or prefecture.
+Originally the prefectures in Ch'in had been placed directly under the
+central administration, with an official, often a merchant, being
+responsible for the collection of taxes; the provinces, on the other
+hand, formed a sort of military command area, especially in the
+newly-conquered frontier territories. With the growing militarization of
+Ch'in, greater importance was assigned to the provinces, and the
+prefectures were made subordinate to them. Thus the officials of the
+provinces were originally army officers but now, in the reorganization
+of the whole realm, the distinction between civil and military
+administration was abolished. At the head of the province were a civil
+and also a military governor, and both were supervised by a controller
+directly responsible to the emperor. Since there was naturally a
+continual struggle for power between these three officials, none of them
+was supreme and none could develop into a sort of feudal lord. In this
+system we can see the essence of the later Chinese administration.</p>
+
+<div class="center">
+<a name="image05" id="image05"></a>
+<img src="images/image05.jpg"
+alt="3 Bronze plaque representing two horses fighting each other."
+title="3 Bronze plaque representing two horses fighting each other." />
+<p class="caption">3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style.<br />
+
+<i>From V.&nbsp;Griessmaier: Sammlung Baron Eduard von der Heydt, Vienna 1936,
+illustration No. 6.</i></p>
+</div>
+
+<div class="center">
+<a name="image06" id="image06"></a>
+<img src="images/image06.png" alt="4 Hunting scene." title="4 Hunting scene." />
+<p class="caption">4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz&#39;u.<br />
+
+<i>From a print in the author&#39;s possession.</i></p>
+</div>
+
+<div class="center">
+<a name="image07" id="image07"></a>
+<img src="images/image07.png" alt="5 Part of the &#39;Great Wall&#39;.
+" title="5 Part of the &#39;Great Wall&#39;." />
+<p class="caption">5 Part of the &#39;Great Wall&#39;.<br />
+
+<i>Photo Eberhard.</i></p>
+</div>
+
+<p>Owing to the centuries of division into independent feudal states, the
+various parts of the country had developed differently. Each province
+spoke a different dialect which also contained many words borrowed from
+the language of the indigenous population; and as these earlier
+populations sometimes belonged to different<!-- Page 65 --><span class='pagenum'><a name="Page_65" id="Page_65">[Pg 65]</a></span> races with different
+languages, in each state different words had found their way into the
+Chinese dialects. This caused divergences not only in the spoken but in
+the written language, and even in the characters in use for writing.
+There exist to this day dictionaries in which the borrowed words of that
+time are indicated, and keys to the various old forms of writing also
+exist. Thus difficulties arose if, for instance, a man from the old
+territory of Ch'in was to be transferred as an official to the east: he
+could not properly understand the language and could not read the
+borrowed words, if he could read at all! For a large number of the
+officials of that time, especially the officers who became military
+governors, were certainly unable to read. The government therefore
+ordered that the language of the whole country should be unified, and
+that a definite style of writing should be generally adopted. The words
+to be used were set out in lists, so that the first lexicography came
+into existence simply through the needs of practical administration, as
+had happened much earlier in Babylon. Thus, the few recently found
+manuscripts from pre-Ch'in times still contain a high percentage of
+Chinese characters which we cannot read because they were local
+characters; but all words in texts after the Ch'in time can be read
+because they belong to the standardized script. We know now that all
+classical texts of pre-Ch'in time as we have them today, have been
+re-written in this standardized script in the second century
+<span class="smcap">B.C.</span>: we do not know which words they actually contained at the
+time when they were composed, nor how these words were actually
+pronounced, a fact which makes the reconstruction of Chinese language
+before Ch'in very difficult.</p>
+
+<p>The next requirement for the carrying on of the administration was the
+unification of weights and measures and, a surprising thing to us, of
+the gauge of the tracks for wagons. In the various feudal states there
+had been different weights and measures in use, and this had led to
+great difficulties in the centralization of the collection of taxes. The
+centre of administration, that is to say the new capital of Ch'in, had
+grown through the transfer of nobles and through the enormous size of
+the administrative staff into a thickly populated city with very large
+requirements of food. The fields of the former state of Ch'in alone
+could not feed the city; and the grain supplied in payment of taxation
+had to be brought in from far around, partly by cart. The only roads
+then existing consisted of deep cart-tracks. If the axles were not of
+the same length for all carts, the roads were simply unusable for many
+of them. Accordingly a fixed length was laid down for axles. The
+advocates of all these reforms were also their beneficiaries, the
+merchants.</p>
+
+<p>The first principle of the Legalist school, a principle which had<!-- Page 66 --><span class='pagenum'><a name="Page_66" id="Page_66">[Pg 66]</a></span> been
+applied in Ch'in and which was to be extended to the whole realm, was
+that of the training of the population in discipline and obedience, so
+that it should become a convenient tool in the hands of the officials.
+This requirement was best met by a people composed as far as possible
+only of industrious, uneducated, and tax-paying peasants. Scholars and
+philosophers were not wanted, in so far as they were not directly
+engaged in work commissioned by the state. The Confucianist writings
+came under special attack because they kept alive the memory of the old
+feudal conditions, preaching the ethic of the old feudal class which had
+just been destroyed and must not be allowed to rise again if the state
+was not to suffer fresh dissolution or if the central administration was
+not to be weakened. In 213 <span class="smcap">B.C.</span> there took place the great
+holocaust of books which destroyed the Confucianist writings with the
+exception of one copy of each work for the State Library. Books on
+practical subjects were not affected. In the fighting at the end of the
+Ch'in dynasty the State Library was burnt down, so that many of the old
+works have only come down to us in an imperfect state and with doubtful
+accuracy. The real loss arose, however, from the fact that the new
+generation was little interested in the Confucianist literature, so that
+when, fifty years later, the effort was made to restore some texts from
+the oral tradition, there no longer existed any scholars who really knew
+them by heart, as had been customary in the past.</p>
+
+<p>In 221 <span class="smcap">B.C.</span> Shih Huang-ti had become emperor of all China. The
+judgments passed on him vary greatly: the official Chinese
+historiography rejects him entirely&mdash;naturally, for he tried to
+exterminate Confucianism, while every later historian was himself a
+Confucian. Western scholars often treat him as one of the greatest men
+in world history. Closer research has shown that Shih Huang-ti was
+evidently an average man without any great gifts, that he was
+superstitious, and shared the tendency of his time to mystical and
+shamanistic notions. His own opinion was that he was the first of a
+series of ten thousand emperors of his dynasty (Shih Huang-ti means
+"First Emperor"), and this merely suggests megalomania. The basic
+principles of his administration had been laid down long before his time
+by the philosophers of the Legalist school, and were given effect by his
+Chancellor Li Ss&#365;. Li Ss&#365; was the really great personality of that
+period. The Legalists taught that the ruler must do as little as
+possible himself. His Ministers were there to act for him. He himself
+was to be regarded as a symbol of Heaven. In that capacity Shih Huang-ti
+undertook periodical journeys into the various parts of the empire, less
+for any practical purpose of inspection than for purposes of public
+worship. They<!-- Page 67 --><span class='pagenum'><a name="Page_67" id="Page_67">[Pg 67]</a></span> corresponded to the course of the sun, and this indicates
+that Shih Huang-ti had adopted a notion derived from the older northern
+culture of the nomad peoples.</p>
+
+<p>He planned the capital in an ambitious style but, although there was
+real need for extension of the city, his plans can scarcely be regarded
+as of great service. His enormous palace, and also his mausoleum which
+was built for him before his death, were constructed in accordance with
+astral notions. Within the palace the emperor continually changed his
+residential quarters, probably not only from fear of assassination but
+also for astral reasons. His mausoleum formed a hemispherical dome, and
+all the stars of the sky were painted on its interior.</p>
+
+
+<p class="sect">3 <i>Frontier defence. Internal collapse</i></p>
+
+<p>When the empire had been unified by the destruction of the feudal
+states, the central government became responsible for the protection of
+the frontiers from attack from without. In the south there were only
+peoples in a very low state of civilization, who could offer no serious
+menace to the Chinese. The trading colonies that gradually extended to
+Canton and still farther south served as Chinese administrative centres
+for provinces and prefectures, with small but adequate armies of their
+own, so that in case of need they could defend themselves. In the north
+the position was much more difficult. In addition to their conquest
+within China, the rulers of Ch'in had pushed their frontier far to the
+north. The nomad tribes had been pressed back and deprived of their best
+pasturage, namely the Ordos region. When the livelihood of nomad peoples
+is affected, when they are threatened with starvation, their tribes
+often collect round a tribal leader who promises new pasturage and
+better conditions of life for all who take part in the common campaigns.
+In this way the first great union of tribes in the north of China came
+into existence in this period, forming the realm of the Hsiung-nu under
+their first leader, T'ou-man. This first realm of the Hsiung-nu was not
+yet extensive, but its ambitious and warlike attitude made it a danger
+to Ch'in. It was therefore decided to maintain a large permanent army in
+the north. In addition to this, the frontier walls already existing in
+the mountains were rebuilt and made into a single great system. Thus
+came into existence in 214 <span class="smcap">B.C.</span>, out of the blood and sweat of
+countless pressed labourers, the famous Great Wall.</p>
+
+<p>On one of his periodical journeys the emperor fell ill and died. His
+death was the signal for the rising of many rebellious elements. Nobles
+rose in order to regain power and influence; generals rose<!-- Page 68 --><span class='pagenum'><a name="Page_68" id="Page_68">[Pg 68]</a></span> because they
+objected to the permanent pressure from the central administration and
+their supervision by controllers; men of the people rose as popular
+leaders because the people were more tormented than ever by forced
+labour, generally at a distance from their homes. Within a few months
+there were six different rebellions and six different "rulers".
+Assassinations became the order of the day; the young heir to the throne
+was removed in this way and replaced by another young prince. But as
+early as 206 <span class="smcap">B.C.</span> one of the rebels, Liu Chi (also called Liu
+Pang), entered the capital and dethroned the nominal emperor. Liu Chi at
+first had to retreat and was involved in hard fighting with a rival, but
+gradually he succeeded in gaining the upper hand and defeated not only
+his rival but also the other eighteen states that had been set up anew
+in China in those years.<a name="Page_69" id="Page_69"></a></p>
+
+
+
+<hr />
+<h2><a name="THE_MIDDLE_AGES" id="THE_MIDDLE_AGES"></a>THE MIDDLE AGES
+
+<a name="Page_70" id="Page_70"></a></h2>
+
+<p><!-- Page 71 --><span class='pagenum'><a name="Page_71" id="Page_71">[Pg 71]</a></span></p>
+
+<hr />
+<h2><a name="Chapter_Six" id="Chapter_Six"></a>Chapter Six</h2>
+
+<h2 class="ln2">THE HAN DYNASTY (206 <span class="smcap">B.C.</span>-<span class="smcap">A.D.</span> 220)</h2>
+
+
+<p class="sect">1 <i>Development of the gentry-state</i></p>
+
+<p>In 206 <span class="smcap">B.C.</span> Liu Chi assumed the title of Emperor and gave his
+dynasty the name of the Han Dynasty. After his death he was given as
+emperor the name of Kao Tsu.<a name="FNanchor_4_4" id="FNanchor_4_4"></a><a href="#Footnote_4_4" class="fnanchor">[4]</a> The period of the Han dynasty may be
+described as the beginning of the Chinese Middle Ages, while that of the
+Ch'in dynasty represents the transition from antiquity to the Middle
+Ages; for under the Han dynasty we meet in China with a new form of
+state, the "gentry state". The feudalism of ancient times has come
+definitely to its end.</p>
+
+<div class="footnote"><p><a name="Footnote_4_4" id="Footnote_4_4"></a><a href="#FNanchor_4_4"><span class="label">[4]</span></a> From then on, every emperor was given after his death an
+official name as emperor, under which he appears in the Chinese sources.
+We have adopted the original or the official name according to which of
+the two has come into the more general use in Western books.</p></div>
+
+<p>Emperor Kao Tsu came from eastern China, and his family seems to have
+been a peasant family; in any case it did not belong to the old
+nobility. After his destruction of his strongest rival, the removal of
+the kings who had made themselves independent in the last years of the
+Ch'in dynasty was a relatively easy task for the new autocrat, although
+these struggles occupied the greater part of his reign. A much more
+difficult question, however, faced him: How was the empire to be
+governed? Kao Tsu's old friends and fellow-countrymen, who had helped
+him into power, had been rewarded by appointment as generals or high
+officials. Gradually he got rid of those who had been his best comrades,
+as so many upstart rulers have done before and after him in every
+country in the world. An emperor does not like to be reminded of a very
+humble past, and he is liable also to fear the rivalry of men who
+formerly were his equals. It is evident that little attention was paid
+to theories of administration; policy was determined mainly by practical
+considerations. Kao Tsu allowed many laws and regulations to remain in
+force, including the prohibition of Confucianist writings. On the<!-- Page 72 --><span class='pagenum'><a name="Page_72" id="Page_72">[Pg 72]</a></span> other
+hand, he reverted to the allocation of fiefs, though not to old noble
+families but to his relatives and some of his closest adherents,
+generally men of inferior social standing. Thus a mixed administration
+came into being: part of the empire was governed by new feudal princes,
+and another part split up into provinces and prefectures and placed
+directly under the central power through its officials.</p>
+
+<p>But whence came the officials? Kao Tsu and his supporters, as farmers
+from eastern China, looked down upon the trading population to which
+farmers always regard themselves as superior. The merchants were ignored
+as potential officials although they had often enough held official
+appointments under the former dynasty. The second group from which
+officials had been drawn under the Ch'in was that of the army officers,
+but their military functions had now, of course, fallen to Kao Tsu's
+soldiers. The emperor had little faith, however, in the loyalty of
+officers, even of his own, and apart from that he would have had first
+to create a new administrative organization for them. Accordingly he
+turned to another class which had come into existence, the class later
+called the <i>gentry</i>, which in practice had the power already in its
+hands.</p>
+
+<p>The term "gentry" has no direct parallel in Chinese texts; the later
+terms "shen-shih" and "chin-shen" do not quite cover this concept. The
+basic unit of the gentry class are families, not individuals. Such
+families often derive their origin from branches of the Chou nobility.
+But other gentry families were of different and more recent origin in
+respect to land ownership. Some late Chou and Ch'in officials of
+non-noble origin had become wealthy and had acquired land; the same was
+true for wealthy merchants and finally, some non-noble farmers who were
+successful in one or another way, bought additional land reaching the
+size of large holdings. All "gentry" families owned substantial estates
+in the provinces which they leased to tenants on a kind of contract
+basis. The tenants, therefore, cannot be called "serfs" although their
+factual position often was not different from the position of serfs. The
+rents of these tenants, usually about half the gross produce, are the
+basis of the livelihood of the gentry. One part of a gentry family
+normally lives in the country on a small home farm in order to be able
+to collect the rents. If the family can acquire more land and if this
+new land is too far away from the home farm to make collection of rents
+easy, a new home farm is set up under the control of another branch of
+the family. But the original home remains to be regarded as the real
+family centre.</p>
+
+<p>In a typical gentry family, another branch of the family is in the
+capital or in a provincial administrative centre in official positions.<!-- Page 73 --><span class='pagenum'><a name="Page_73" id="Page_73">[Pg 73]</a></span>
+These officials at the same time are the most highly educated members of
+the family and are often called the "literati". There are also always
+individual family members who are not interested in official careers or
+who failed in their careers and live as free "literati" either in the
+big cities or on the home farms. It seems, to judge from much later
+sources, that the families assisted their most able members to enter the
+official careers, while those individuals who were less able were used
+in the administration of the farms. This system in combination with the
+strong familism of the Chinese, gave a double security to the gentry
+families. If difficulties arose in the estates either by attacks of
+bandits or by war or other catastrophes, the family members in official
+positions could use their influence and power to restore the property in
+the provinces. If, on the other hand, the family members in official
+positions lost their positions or even their lives by displeasing the
+court, the home branch could always find ways to remain untouched and
+could, in a generation or two, recruit new members and regain power and
+influence in the government. Thus, as families, the gentry was secure,
+although failures could occur to individuals. There are many gentry
+families who remained in the ruling <i>&eacute;lite</i> for many centuries, some
+over more than a thousand years, weathering all vicissitudes of life.
+Some authors believe that Chinese leading families generally pass
+through a three- or four-generation cycle: a family member by his
+official position is able to acquire much land, and his family moves
+upward. He is able to give the best education and other facilities to
+his sons who lead a good life. But either these sons or the grandsons
+are spoiled and lazy; they begin to lose their property and status. The
+family moves downward, until in the fourth or fifth generation a new
+rise begins. Actual study of families seems to indicate that this is not
+true. The main branch of the family retains its position over centuries.
+But some of the branch families, created often by the less able family
+members, show a tendency towards downward social mobility.</p>
+
+<p>It is clear from the above that a gentry family should be interested in
+having a fair number of children. The more sons they have, the more
+positions of power the family can occupy and thus, the more secure it
+will be; the more daughters they have, the more "political" marriages
+they can conclude, i.e. marriages with sons of other gentry families in
+positions of influence. Therefore, gentry families in China tend to be,
+on the average, larger than ordinary families, while in our Western
+countries the leading families usually were smaller than the lower class
+families. This means that gentry families produced more children than
+was necessary to replenish the available leading positions; thus, some
+family<!-- Page 74 --><span class='pagenum'><a name="Page_74" id="Page_74">[Pg 74]</a></span> members had to get into lower positions and had to lose status.
+In view of this situation it was very difficult for lower class families
+to achieve access into this gentry group. In European countries the
+leading <i>&eacute;lite</i> did not quite replenish their ranks in the next
+generation, so that there was always some chance for the lower classes
+to move up into leading ranks. The gentry society was, therefore, a
+comparably stable society with little upward social mobility but with
+some downward mobility. As a whole and for reasons of gentry
+self-interest, the gentry stood for stability and against change.</p>
+
+<p>The gentry members in the bureaucracy collaborated closely with one
+another because they were tied together by bonds of blood or marriage.
+It was easy for them to find good tutors for their children, because a
+pupil owed a debt of gratitude to his teacher and a child from a gentry
+family could later on nicely repay this debt; often, these teachers
+themselves were members of other gentry families. It was easy for sons
+of the gentry to get into official positions, because the people who had
+to recommend them for office were often related to them or knew the
+position of their family. In Han time, local officials had the duty to
+recommend young able men; if these men turned out to be good, the
+officials were rewarded, if not they were blamed or even punished. An
+official took less of a chance, if he recommended a son of an
+influential family, and he obliged such a candidate so that he could
+later count on his help if he himself should come into difficulties.
+When, towards the end of the second century <span class="smcap">B.C.</span>, a kind of
+examination system was introduced, this attitude was not basically
+changed.</p>
+
+<p>The country branch of the family by the fact that it controlled large
+tracts of land, supplied also the logical tax collectors: they had the
+standing and power required for this job. Even if they were appointed in
+areas other than their home country (a rule which later was usually
+applied), they knew the gentry families of the other district or were
+related to them and got their support by appointing their members as
+their assistants.</p>
+
+<p>Gentry society continued from Kao Tsu's time to 1948, but it went
+through a number of phases of development and changed considerably in
+time. We will later outline some of the most important changes. In
+general the number of politically leading gentry families was around one
+hundred (texts often speak of "the hundred families" in this time) and
+they were concentrated in the capital; the most important home seats of
+these families in Han time were close to the capital and east of it or
+in the plains of eastern China, at that time the main centre of grain
+production.<!-- Page 75 --><span class='pagenum'><a name="Page_75" id="Page_75">[Pg 75]</a></span></p>
+
+<p>We regard roughly the first one thousand years of "Gentry Society" as
+the period of the Chinese "Middle Ages", beginning with the Han dynasty;
+the preceding time of the Ch'in was considered as a period of
+transition, a time in which the feudal period of "Antiquity" came to a
+formal end and a new organization of society began to become visible.
+Even those authors who do not accept a sociological classification of
+periods and many authors who use Marxist categories, believe that with
+Ch'in and Han a new era in Chinese history began.</p>
+
+
+<p>2 <i>Situation of the Hsiung-nu empire; its relation to the Han empire.
+Incorporation of South China</i></p>
+
+<p>In the time of the Ch'in dynasty there had already come into unpleasant
+prominence north of the Chinese frontier the tribal union, then
+relatively small, of the Hsiung-nu. Since then, the Hsiung-nu empire had
+destroyed the federation of the Y&uuml;eh-chih tribes (some of which seem to
+have been of Indo-European language stock) and incorporated their people
+into their own federation; they had conquered also the less well
+organized eastern pastoral tribes, the Tung-hu and thus had become a
+formidable power. Everything goes to show that it had close relations
+with the territories of northern China. Many Chinese seem to have
+migrated to the Hsiung-nu empire, where they were welcome as artisans
+and probably also as farmers; but above all they were needed for the
+staffing of a new state administration. The scriveners in the newly
+introduced state secretariat were Chinese and wrote Chinese, for at that
+time the Hsiung-nu apparently had no written language. There were
+Chinese serving as administrators and court officials, and even as
+instructors in the army administration, teaching the art of warfare
+against non-nomads. But what was the purpose of all this? Mao Tun, the
+second ruler of the Hsiung-nu, and his first successors undoubtedly
+intended ultimately to conquer China, exactly as many other northern
+peoples after them planned to do, and a few of them did. The main
+purpose of this was always to bring large numbers of peasants under the
+rule of the nomad rulers and so to solve, once for all, the problem of
+the provision of additional winter food. Everything that was needed, and
+everything that seemed to be worth trying to get as they grew more
+civilized, would thus be obtained better and more regularly than by
+raids or by tedious commercial negotiations. But if China was to be
+conquered and ruled there must exist a state organization of equal
+authority to hers; the Hsiung-nu ruler must himself come forward as Son
+of Heaven and develop a court ceremonial similar to that of<!-- Page 76 --><span class='pagenum'><a name="Page_76" id="Page_76">[Pg 76]</a></span> a Chinese
+emperor. Thus the basis of the organization of the Hsiung-nu state lay
+in its rivalry with the neighbouring China; but the details naturally
+corresponded to the special nature of the Hsiung-nu social system. The
+young Hsiung-nu feudal state differed from the ancient Chinese feudal
+state not only in depending on a nomad economy with only supplementary
+agriculture, but also in possessing, in addition to a whole class of
+nobility and another of commoners, a stratum of slavery to be analysed
+further below. Similar to the Chou state, the Hsiung-nu state contained,
+especially around the ruler, an element of court bureaucracy which,
+however, never developed far enough to replace the basically feudal
+character of administration.</p>
+
+<p>Thus Kao Tsu was faced in Mao Tun not with a mere nomad chieftain but
+with the most dangerous of enemies, and Kao Tsu's policy had to be
+directed to preventing any interference of the Hsiung-nu in North
+Chinese affairs, and above all to preventing alliances between Hsiung-nu
+and Chinese. Hsiung-nu alone, with their technique of horsemen's
+warfare, would scarcely have been equal to the permanent conquest of the
+fortified towns of the north and the Great Wall, although they
+controlled a population which may have been in excess of 2,000,000
+people. But they might have succeeded with Chinese aid. Actually a
+Chinese opponent of Kao Tsu had already come to terms with Mao Tun, and
+in 200 <span class="smcap">B.C.</span> Kao Tsu was very near suffering disaster in
+northern Shansi, as a result of which China would have come under the
+rule of the Hsiung-nu. But it did not come to that, and Mao Tun made no
+further attempt, although the opportunity came several times. Apparently
+the policy adopted by his court was not imperialistic but national, in
+the uncorrupted sense of the word. It was realized that a country so
+thickly populated as China could only be administered from a centre
+within China. The Hsiung-nu would thus have had to abandon their home
+territory and rule in China itself. That would have meant abandoning the
+flocks, abandoning nomad life, and turning into Chinese. The main
+supporters of the national policy, the first principle of which was
+loyalty to the old ways of life, seem to have been the tribal
+chieftains. Mao Tun fell in with their view, and the Hsiung-nu
+maintained their state as long as they adhered to that principle&mdash;for
+some seven hundred years. Other nomad peoples, Toba, Mongols, and
+Manchus, followed the opposite policy, and before long they were caught
+in the mechanism of the much more highly developed Chinese economy and
+culture, and each of them disappeared from the political scene in the
+course of a century or so.</p>
+
+<p>The national line of policy of the Hsiung-nu did not at all mean<!-- Page 77 --><span class='pagenum'><a name="Page_77" id="Page_77">[Pg 77]</a></span> an end
+of hostilities and raids on Chinese territory, so that Kao Tsu declared
+himself ready to give the Hsiung-nu the foodstuffs and clothing
+materials they needed if they would make an end of their raids. A treaty
+to this effect was concluded, and sealed by the marriage of a Chinese
+princess with Mao Tun. This was the first international treaty in the
+Far East between two independent powers mutually recognized as equals,
+and the forms of international diplomacy developed in this time remained
+the standard forms for the next thousand years. The agreement was
+renewed at the accession of each new ruler, but was never adhered to
+entirely by either side. The needs of the Hsiung-nu increased with the
+expansion of their empire and the growing luxury of their court; the
+Chinese, on the other hand, wanted to give as little as possible, and no
+doubt they did all they could to cheat the Hsiung-nu. Thus, in spite of
+the treaties the Hsiung-nu raids went on. With China's progressive
+consolidation, the voluntary immigration of Chinese into the Hsiung-nu
+empire came to an end, and the Hsiung-nu actually began to kidnap
+Chinese subjects. These were the main features of the relations between
+Chinese and Hsiung-nu almost until 100 <span class="smcap">B.C.</span></p>
+
+<p>In the extreme south, around the present-day Canton, another independent
+empire had been formed in the years of transition, under the leadership
+of a Chinese. The narrow basis of this realm was no doubt provided by
+the trading colonies, but the indigenous population of Y&uuml;eh tribes was
+insufficiently civilized for the building up of a state that could have
+maintained itself against China. Kao Tsu sent a diplomatic mission to
+the ruler of this state, and invited him to place himself under Chinese
+suzerainty (196 <span class="smcap">B.C.</span>). The ruler realized that he could offer
+no serious resistance, while the existing circumstances guaranteed him
+virtual independence and he yielded to Kao Tsu without a struggle.</p>
+
+
+<p class="sect">3 <i>Brief feudal reaction. Consolidation of the gentry</i></p>
+
+<p>Kao Tsu died in 195 <span class="smcap">B.C.</span> From then to 179 the actual ruler was
+his widow, the empress L&uuml;, while children were officially styled
+emperors. The empress tried to remove all the representatives of the
+emperor's family and to replace them with members of her own family. To
+secure her position she revived the feudal system, but she met with
+strong resistance from the dynasty and its supporters who already
+belonged in many cases to the new gentry, and who did not want to find
+their position jeopardized by the creation of new feudal lords.</p>
+
+<p>On the death of the empress her opponents rose, under the<!-- Page 78 --><span class='pagenum'><a name="Page_78" id="Page_78">[Pg 78]</a></span> leadership of
+Kao Tsu's family. Every member of the empress's family was exterminated,
+and a son of Kao Tsu, known later under the name of Wen Ti (Emperor
+Wen), came to the throne. He reigned from 179 to 157 <span class="smcap">B.C.</span> Under
+him there were still many fiefs, but with the limitation which the
+emperor Kao Tsu had laid down shortly before his death: only members of
+the imperial family should receive fiefs, to which the title of King was
+attached. Thus all the more important fiefs were in the hands of the
+imperial family, though this did not mean that rivalries came to an end.</p>
+
+<p>On the whole Wen Ti's period of rule passed in comparative peace. For
+the first time since the beginning of Chinese history, great areas of
+continuous territory were under unified rule, without unending internal
+warfare such as had existed under Shih Huang-ti and Kao Tsu. The
+creation of so extensive a region of peace produced great economic
+advance. The burdens that had lain on the peasant population were
+reduced, especially since under Wen Ti the court was very frugal. The
+population grew and cultivated fresh land, so that production increased
+and with it the exchange of goods. The most outstanding sign of this was
+the abandonment of restrictions on the minting of copper coin, in order
+to prevent deflation through insufficiency of payment media. As a
+consequence more taxes were brought in, partly in kind, partly in coin,
+and this increased the power of the central government. The new gentry
+streamed into the towns, their standard of living rose, and they made
+themselves more and more into a class apart from the general population.
+As people free from material cares, they were able to devote themselves
+to scholarship. They went back to the old writings and studied them once
+more. They even began to identify themselves with the nobles of feudal
+times, to adopt the rules of good behaviour and the ceremonial described
+in the Confucianist books, and very gradually, as time went on, to make
+these their textbooks of good form. From this point the Confucianist
+ideals first began to penetrate the official class recruited from the
+gentry, and then the state organization itself. It was expected that an
+official should be versed in Confucianism, and schools were set up for
+Confucianist education. Around 100 <span class="smcap">B.C.</span> this led to the
+introduction of the examination system, which gradually became the one
+method of selection of new officials. The system underwent many changes,
+but remained in operation in principle until 1904. The object of the
+examinations was not to test job efficiency but command of the ideals of
+the gentry and knowledge of the literature inculcating them: this was
+regarded as sufficient qualification for any position in the service of
+the state.<!-- Page 79 --><span class='pagenum'><a name="Page_79" id="Page_79">[Pg 79]</a></span></p>
+
+<p>In theory this path to training of character and to admission to the
+state service was open to every "respectable" citizen. Of the
+traditional four "classes" of Chinese society, only the first two,
+officials (<i>shih</i>) and farmers (<i>nung</i>) were always regarded as fully
+"respectable" (<i>liang-min</i>). Members of the other two classes, artisans
+(<i>kung</i>) and merchants (<i>shang</i>), were under numerous restrictions.
+Below these were classes of "lowly people" (<i>ch'ien-min</i>) and below
+these the slaves which were not part of society proper. The privileges
+and obligations of these categories were soon legally fixed. In
+practice, during the first thousand years of the existence of the
+examination system no peasant had a chance to become an official by
+means of the examinations. In the Han period the provincial officials
+had to propose suitable young persons for examination, and so for
+admission to the state service, as was already mentioned. In addition,
+schools had been instituted for the sons of officials; it is interesting
+to note that there were, again and again, complaints about the low level
+of instruction in these schools. Nevertheless, through these schools all
+sons of officials, whatever their capacity or lack of capacity, could
+become officials in their turn. In spite of its weaknesses, the system
+had its good side. It inoculated a class of people with ideals that were
+unquestionably of high ethical value. The Confucian moral system gave a
+Chinese official or any member of the gentry a spiritual attitude and an
+outward bearing which in their best representatives has always commanded
+respect, an integrity that has always preserved its possessors, and in
+consequence Chinese society as a whole, from moral collapse, from
+spiritual nihilism, and has thus contributed to the preservation of
+Chinese cultural values in spite of all foreign conquerors.</p>
+
+<p>In the time of Wen Ti and especially of his successors, the revival at
+court of the Confucianist ritual and of the earlier Heaven-worship
+proceeded steadily. The sacrifices supposed to have been performed in
+ancient times, the ritual supposed to have been prescribed for the
+emperor in the past, all this was reintroduced. Obviously much of it was
+spurious: much of the old texts had been lost, and when fragments were
+found they were arbitrarily completed. Moreover, the old writing was
+difficult to read and difficult to understand; thus various things were
+read into the texts without justification. The new Confucians who came
+forward as experts in the moral code were very different men from their
+predecessors; above all, like all their contemporaries, they were
+strongly influenced by the shamanistic magic that had developed in the
+Ch'in period.</p>
+
+<p>Wen Ti's reign had brought economic advance and prosperity;<!-- Page 80 --><span class='pagenum'><a name="Page_80" id="Page_80">[Pg 80]</a></span>
+intellectually it had been a period of renaissance, but like every such
+period it did not simply resuscitate what was old, but filled the
+ancient moulds with an entirely new content. Socially the period had
+witnessed the consolidation of the new upper class, the gentry, who
+copied the mode of life of the old nobility. This is seen most clearly
+in the field of law. In the time of the Legalists the first steps had
+been taken in the codification of the criminal law. They clearly
+intended these laws to serve equally for all classes of the people. The
+Ch'in code which was supposedly Li K'uei's code, was used in the Han
+period, and was extensively elaborated by Siao Ho (died 193
+<span class="smcap">B.C.</span>) and others. This code consisted of two volumes of the
+chief laws for grave cases, one of mixed laws for the less serious
+cases, and six volumes on the imposition of penalties. In the Han period
+"decisions" were added, so that about <span class="smcap">A.D.</span> 200 the code had
+grown to 26,272 paragraphs with over 17,000,000 words. The collection
+then consisted of 960 volumes. This colossal code has been continually
+revised, abbreviated, or expanded, and under its last name of "Collected
+<ins class="corr" title="may be a typo for Statutes">Statues</ins> of the Manchu Dynasty" it retained its validity down to the
+present century.</p>
+
+<p>Alongside this collection there was another book that came to be
+regarded and used as a book of precedences. The great Confucianist
+philosopher Tung Chung-shu (179-104 <span class="smcap">B.C.</span>), a firm supporter of
+the ideology of the new gentry class, declared that the classic
+Confucianist writings, and especially the book <i>Ch'un-ch'iu</i>, "Annals of
+Spring and Autumn", attributed to Confucius himself, were essentially
+books of legal decisions. They contained "cases" and Confucius's
+decisions of them. Consequently any case at law that might arise could
+be decided by analogy with the cases contained in "Annals of Spring and
+Autumn". Only an educated person, of course, a member of the gentry,
+could claim that his action should be judged by the decisions of
+Confucius and not by the code compiled for the common people, for
+Confucius had expressly stated that his rules were intended only for the
+upper class. Thus, right down to modern times an educated person could
+be judged under regulations different from those applicable to the
+common people, or if judged on the basis of the laws, he had to expect a
+special treatment. The principle of the "equality before the law" which
+the Legalists had advocated and which fitted well into the absolutistic,
+totalitarian system of the Ch'in, had been attacked by the feudal
+nobility at that time and was attacked by the new gentry of the Han
+time. Legalist thinking remained an important undercurrent for many
+centuries to come, but application of the equalitarian principle was
+from now on never seriously considered.<!-- Page 81 --><span class='pagenum'><a name="Page_81" id="Page_81">[Pg 81]</a></span></p>
+
+<p>Against the growing influence of the officials belonging to the gentry
+there came a last reaction. It came as a reply to the attempt of a
+representative of the gentry to deprive the feudal princes of the whole
+of their power. In the time of Wen Ti's successor a number of feudal
+kings formed an alliance against the emperor, and even invited the
+Hsiung-nu to join them. The Hsiung-nu did not do so, because they saw
+that the rising had no prospect of success, and it was quelled. After
+that the feudal princes were steadily deprived of rights. They were
+divided into two classes, and only privileged ones were permitted to
+live in the capital, the others being required to remain in their
+domains. At first, the area was controlled by a "minister" of the
+prince, an official of the state; later the area remained under normal
+administration and the feudal prince kept only an empty title; the tax
+income of a certain number of families of an area was assigned to him
+and transmitted to him by normal administrative channels. Often, the
+number of assigned families was fictional in that the actual income was
+from far fewer families. This system differs from the Near Eastern
+system in which also no actual enfeoffment took place, but where
+deserving men were granted the right to collect themselves the taxes of
+a certain area with certain numbers of families.</p>
+
+<p>Soon after this the whole government was given the shape which it
+continued to have until <span class="smcap">A.D.</span> 220, and which formed the point of
+departure for all later forms of government. At the head of the state
+was the emperor, in theory the holder of absolute power in the state
+restricted only by his responsibility towards "Heaven", i.e. he had to
+follow and to enforce the basic rules of morality, otherwise "Heaven"
+would withdraw its "mandate", the legitimation of the emperor's rule,
+and would indicate this withdrawal by sending natural catastrophes. Time
+and again we find emperors publicly accusing themselves for their faults
+when such catastrophes occurred; and to draw the emperor's attention to
+actual or made-up calamities or celestrial irregularities was one way to
+criticize an emperor and to force him to change his behaviour. There are
+two other indications which show that Chinese emperors&mdash;excepting a few
+individual cases&mdash;at least in the first ten centuries of gentry society
+were not despots: it can be proved that in some fields the
+responsibility for governmental action did not lie with the emperor but
+with some of his ministers. Secondly, the emperor was bound by the law
+code: he could not change it nor abolish it. We know of cases in which
+the ruler disregarded the code, but then tried to "defend" his arbitrary
+action. Each new dynasty developed a new law code, usually changing only
+details of the punishment, not the basic regulations. Rulers could issue
+additional "regulations", but<!-- Page 82 --><span class='pagenum'><a name="Page_82" id="Page_82">[Pg 82]</a></span> these, too, had to be in the spirit of
+the general code and the existing moral norms. This situation has some
+similarity to the situation in Muslim countries. At the ruler's side
+were three counsellors who had, however, no active functions. The real
+conduct of policy lay in the hands of the "chancellor", or of one of the
+"nine ministers". Unlike the practice with which we are familiar in the
+West, the activities of the ministries (one of them being the court
+secretariat) were concerned primarily with the imperial palace. As,
+however, the court secretariat, one of the nine ministries, was at the
+same time a sort of imperial statistical office, in which all economic,
+financial, and military statistical material was assembled, decisions on
+issues of critical importance for the whole country could and did come
+from it. The court, through the Ministry of Supplies, operated mines and
+workshops in the provinces and organized the labour service for public
+constructions. The court also controlled centrally the conscription for
+the general military service. Beside the ministries there was an
+extensive administration of the capital with its military guards. The
+various parts of the country, including the lands given as fiefs to
+princes, had a local administration, entirely independent of the central
+government and more or less elaborated according to their size. The
+regional administration was loosely associated with the central
+government through a sort of primitive ministry of the interior, and
+similarly the Chinese representatives in the protectorates, that is to
+say the foreign states which had submitted to Chinese protective
+overlordship, were loosely united with a sort of foreign ministry in the
+central government. When a rising or a local war broke out, that was the
+affair of the officer of the region concerned. If the regional troops
+were insufficient, those of the adjoining regions were drawn upon; if
+even these were insufficient, a real "state of war" came into being;
+that is to say, the emperor appointed eight generals-in-chief, mobilized
+the imperial troops, and intervened. This imperial army then had
+authority over the regional and feudal troops, the troops of the
+protectorates, the guards of the capital, and those of the imperial
+palace. At the end of the war the imperial army was demobilized and the
+generals-in-chief were transferred to other posts.</p>
+
+<p>In all this there gradually developed a division into civil and military
+administration. A number of regions would make up a province with a
+military governor, who was in a sense the representative of the imperial
+army, and who was supposed to come into activity only in the event of
+war.</p>
+
+<p>This administration of the Han period lacked the tight organization that
+would make precise functioning possible. On the other<!-- Page 83 --><span class='pagenum'><a name="Page_83" id="Page_83">[Pg 83]</a></span> hand, an
+extremely important institution had already come into existence in a
+primitive form. As central statistical authority, the court secretariat
+had a special position within the ministries and supervised the
+administration of the other offices. Thus there existed alongside the
+executive a means of independent supervision of it, and the resulting
+rivalry enabled the emperor or the chancellor to detect and eliminate
+irregularities. Later, in the system of the T'ang period (<span class="smcap">A.D.</span>
+618-906), this institution developed into an independent censorship, and
+the system was given a new form as a "State and Court Secretariat", in
+which the whole executive was comprised and unified. Towards the end of
+the T'ang period the permanent state of war necessitated the permanent
+commissioning of the imperial generals-in-chief and of the military
+governors, and as a result there came into existence a "Privy Council of
+State", which gradually took over functions of the executive. The system
+of administration in the Han and in the T'ang period is shown in the
+following table:</p>
+
+<table summary="Comparison of Han and T'ang epoch administrations">
+<tr><th><i>Han epoch</i></th>                        <th><i>T'ang epoch</i></th></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>1. Emperor</td>
+
+<td>1. Emperor</td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+<tr><td>2. Three counsellors to the emperor<br /><span class="i0">(with no active functions)</span></td>
+
+<td>2. Three counsellors and three assistants<br /><span class="i0">(with no active functions)</span></td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>3. Eight supreme generals<br /><span class="i0">(only appointed in time of war)</span></td>
+
+<td>3. Generals and Governors-General<br /><span class="i0">(only appointed in time of war;</span><br /><span class="i0"> but in practice continuously in office)</span></td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>4. &mdash;&mdash;</td><td>4. (a) State secretariat</td></tr>
+
+<tr><td></td><td><span class="i0">(1) Central secretariat</span></td></tr>
+<tr><td></td><td><span class="i0">(2) Secretariat of the Crown</span></td></tr>
+<tr><td></td><td><span class="i0">(3) Secretariat of the Palace and </span><br /><span class="i2">imperial historical commission</span></td></tr>
+
+<tr><td></td><td>4. (b) Emperor's Secretariat</td></tr>
+<tr><td></td><td><span class="i0">(1) Private Archives</span></td></tr>
+<tr><td></td><td><span class="i0">(2) Court Adjutants' Office</span></td></tr>
+<tr><td></td><td><span class="i0">(3) Harem administration</span></td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>5. Court administration (Ministries) </td>  <td>5. Court administration (Ministries)</td></tr>
+<tr><td><span class="i0">(1) Ministry for state sacrifices</span></td><td><span class="i0">(1) Ministry for state sacrifices</span></td></tr>
+<tr><td><span class="i0">(2) Ministry for imperial coaches and horses</span></td><td>  <span class="i0">(2) Ministry for imperial coaches and horses</span></td></tr>
+<tr><td><span class="i0">(3) Ministry for justice at court</span></td><td>  <span class="i0">(3) Ministry for justice at court</span></td></tr>
+<tr><td><span class="i0">(4) Ministry for receptions</span></td><td>  <span class="i0">(4) Ministry for receptions (i.e. foreign affairs)</span>
+<!-- Page 84 --><span class='pagenum'><a name="Page_84" id="Page_84">[Pg 84]</a></span></td></tr>
+<tr><td><span class="i0">(5) Ministry for ancestors' temples</span></td><td>  <span class="i0">(5) Ministry for ancestors' temples</span></td></tr>
+<tr><td><span class="i0">(6) Ministry for supplies to the court</span></td><td>  <span class="i0">(6) Ministry for supplies to the court</span></td></tr>
+<tr><td><span class="i0">(7) Ministry for the harem Ministry</span></td><td>  <span class="i0">(7) Economic and financial</span></td></tr>
+<tr><td><span class="i0">(8) Ministry for the palace guards</span></td><td>  <span class="i0">(8) Ministry for the payment of salaries</span></td></tr>
+<tr><td><span class="i0">(9) Ministry for the court (state secretariat)</span></td><td>  <span class="i0">(9) Ministry for armament and magazines</span></td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>6. Administration of the capital:</td>       <td>6. Administration of the capital:</td></tr>
+<tr><td><span class="i0">(1) Crown prince's palace&nbsp; </span></td>        <td><span class="i0">(1) Crown prince's palace</span></td></tr>
+<tr><td><span class="i0">(2) Security service for the capital</span></td>    <td><span class="i0">(2) Palace guards and guards' office</span></td></tr>
+<tr><td><span class="i0">(3) Capital administration:</span></td>        <td><span class="i0">(3) Arms production department</span></td></tr>
+<tr><td><span class="i2">(a) Guards of the capital</span></td><td></td></tr>
+<tr><td><span class="i2">(b) Guards of the city gates</span></td><td></td></tr>
+<tr><td><span class="i2">(c) Building department</span></td><td></td></tr>
+<tr><td></td>                                       <td><span class="i0">(4) Labour service department</span></td></tr>
+<tr><td></td>                                        <td><span class="i0">(5) Building department</span></td></tr>
+<tr><td> </td>                                     <td><span class="i0">(6) Transport department</span></td></tr>
+<tr><td></td>                                      <td><span class="i0">(7) Department for education</span><br /> <span class="i2">(of sons of officials!)</span></td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>7. Ministry of the Interior</td>             <td>7. Ministry of the Interior</td></tr>
+<tr><td><span class="i0">(Provincial administration)</span></td>                     <td>   <span class="i0">(Provincial administration)</span></td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>8. Foreign Ministry</td>                    <td> 8. &mdash;&mdash;</td></tr>
+<tr><td>&nbsp;</td><td></td></tr>
+
+<tr><td>9. Censorship (Audit council)</td><td></td></tr>
+
+</table>
+
+<p>There is no denying that according to our standard this whole system was
+still elementary and "personal", that is to say, attached to the
+emperor's person&mdash;though it should not be overlooked that we ourselves
+are not yet far from a similar phase of development. To this day the
+titles of not a few of the highest officers of state&mdash;the Lord Privy
+Seal, for instance&mdash;recall that in the past their offices were conceived
+as concerned purely with the personal service of the monarch. In one
+point, however, the Han administrative set-up was quite modern: it
+already had a clear separation between the emperor's private treasury
+and the state treasury; laws determined which of the two received
+certain taxes and which had to make certain payments. This separation,
+which in Europe occurred not until the late Middle Ages, in China was
+abolished at the end of the Han Dynasty.<!-- Page 85 --><span class='pagenum'><a name="Page_85" id="Page_85">[Pg 85]</a></span></p>
+
+<p>The picture changes considerably to the advantage of the Chinese as soon
+as we consider the provincial administration. The governor of a
+province, and each of his district officers or prefects, had a staff
+often of more than a hundred officials. These officials were drawn from
+the province or prefecture and from the personal friends of the
+administrator, and they were appointed by the governor or the prefect.
+The staff was made up of officials responsible for communications with
+the central or provincial administration (private secretary, controller,
+finance officer), and a group of officials who carried on the actual
+local administration. There were departments for transport, finance,
+education, justice, medicine (hygiene), economic and military affairs,
+market control, and presents (which had to be made to the higher
+officials at the New Year and on other occasions). In addition to these
+offices, organized in a quite modern style, there was an office for
+advising the governor and another for drafting official documents and
+letters.</p>
+
+<p>The interesting feature of this system is that the provincial
+administration was <i>de facto</i> independent of the central administration,
+and that the governor and even his prefects could rule like kings in
+their regions, appointing and discharging as they chose. This was a
+vestige of feudalism, but on the other hand it was a healthy check
+against excessive centralization. It is thanks to this system that even
+the collapse of the central power or the cutting off of a part of the
+empire did not bring the collapse of the country. In a remote frontier
+town like Tunhuang, on the border of Turkestan, the life of the local
+Chinese went on undisturbed whether communication with the capital was
+maintained or was broken through invasions by foreigners. The official
+sent from the centre would be liable at any time to be transferred
+elsewhere; and he had to depend on the practical knowledge of his
+subordinates, the members of the local families of the gentry. These
+officials had the local government in their hands, and carried on the
+administration of places like Tunhuang through a thousand years and
+more. The Hsin family, for instance, was living there in 50
+<span class="smcap">B.C.</span> and was still there in <span class="smcap">A.D.</span> 950; and so were the
+Yin, Ling-hu, Li, and K'ang families.</p>
+
+<p>All the officials of the various offices or Ministries were appointed
+under the state examination system, but they had no special professional
+training; only for the more important subordinate posts were there
+specialists, such as jurists, physicians, and so on. A change came
+towards the end of the T'ang period, when a Department of Commerce and
+Monopolies was set up; only specialists were appointed to it, and it was
+placed directly under<!-- Page 86 --><span class='pagenum'><a name="Page_86" id="Page_86">[Pg 86]</a></span> the emperor. Except for this, any official could
+be transferred from any ministry to any other without regard to his
+experience.</p>
+
+
+<p class="sect">4 <i>Turkestan policy. End of the Hsiung-nu empire</i></p>
+
+<p>In the two decades between 160 and 140 <span class="smcap">B.C.</span> there had been
+further trouble with the Hsiung-nu, though there was no large-scale
+fighting. There was a fundamental change of policy under the next
+emperor, Wu (or Wu Ti, 141-86 <span class="smcap">B.C.</span>). The Chinese entered for
+the first time upon an active policy against the Hsiung-nu. There seem
+to have been several reasons for this policy, and several objectives.
+The raids of the Hsiung-nu from the Ordos region and from northern
+Shansi had shown themselves to be a direct menace to the capital and to
+its extremely important hinterland. Northern Shansi is mountainous, with
+deep ravines. A considerable army on horseback could penetrate some
+distance to the south before attracting attention. Northern Shensi and
+the Ordos region are steppe country, in which there were very few
+Chinese settlements and through which an army of horsemen could advance
+very quickly. It was therefore determined to push back the Hsiung-nu far
+enough to remove this threat. It was also of importance to break the
+power of the Hsiung-nu in the province of Kansu, and to separate them as
+far as possible from the Tibetans living in that region, to prevent any
+union between those two dangerous adversaries. A third point of
+importance was the safeguarding of caravan routes. The state, and
+especially the capital, had grown rich through Wen Ti's policy. Goods
+streamed into the capital from all quarters. Commerce with central Asia
+had particularly increased, bringing the products of the Middle East to
+China. The caravan routes passed through western Shensi and Kansu to
+eastern Turkestan, but at that time the Hsiung-nu dominated the
+approaches to Turkestan and were in a position to divert the trade to
+themselves or cut it off. The commerce brought profit not only to the
+caravan traders, most of whom were probably foreigners, but to the
+officials in the provinces and prefectures through which the routes
+passed. Thus the officials in western China were interested in the trade
+routes being brought under direct control, so that the caravans could
+arrive regularly and be immune from robbery. Finally, the Chinese
+government may well have regarded it as little to its honour to be still
+paying dues to the Hsiung-nu and sending princesses to their rulers, now
+that China was incomparably wealthier and stronger than at the time when
+that policy of appeasement had begun.</p>
+
+<div class="center">
+<a name="image08" id="image08"></a>
+<img src="images/image08.png" alt="Map 3. China in the struggle with, the Huns or Hsiung Nu"
+title="Map 3. China in the struggle with, the Huns or Hsiung Nu" />
+<p class="caption">Map 3. China in the struggle with, the Huns or Hsiung Nu
+(roughly 128-100 B.C.)</p>
+</div>
+
+<p>The first active step taken was to try, in 133 <span class="smcap">B.C.</span>, to capture
+the <a name="Page_87" id="Page_87"></a><!-- Page 88 --><span class='pagenum'><a name="Page_88" id="Page_88">[Pg 88]</a></span>head of the Hsiung-nu state, who was called a <i>shan-y&uuml;</i>; but the
+<i>shan-y&uuml;</i> saw through the plan and escaped. There followed a period of
+continuous fighting until 119 <span class="smcap">B.C.</span> The Chinese made countless
+attacks, without lasting success. But the Hsiung-nu were weakened, one
+sign of this being that there were dissensions after the death of the
+<i>shan-y&uuml;</i> Ch&uuml;n-ch'en, and in 127 <span class="smcap">B.C.</span> his son went over to the
+Chinese. Finally the Chinese altered their tactics, advancing in 119
+<span class="smcap">B.C.</span> with a strong army of cavalry, which suffered enormous
+losses but inflicted serious loss on the Hsiung-nu. After that the
+Hsiung-nu withdrew farther to the north, and the Chinese settled
+peasants in the important region of Kansu.</p>
+
+<p>Meanwhile, in 125 <span class="smcap">B.C.</span>, the famous Chang Ch'ien had returned.
+He had been sent in 138 to conclude an alliance with the Y&uuml;eh-chih
+against the Hsiung-nu. The Y&uuml;eh-chih had formerly been neighbours of the
+Hsiung-nu as far as the Ala Shan region, but owing to defeat by the
+Hsiung-nu their remnants had migrated to western Turkestan. Chang Ch'ien
+had followed them. Politically he had had no success, but he brought
+back accurate information about the countries in the far west,
+concerning which nothing had been known beyond the vague reports of
+merchants. Now it was learnt whence the foreign goods came and whither
+the Chinese goods went. Chang Ch'ien's reports (which are one of the
+principal sources for the history of central Asia at that remote time)
+strengthened the desire to enter into direct and assured commercial
+relations with those distant countries. The government evidently thought
+of getting this commerce into its own hands. The way to do this was to
+impose "tribute" on the countries concerned. The idea was that the
+missions bringing the annual "tribute" would be a sort of state
+bartering commissions. The state laid under tribute must supply
+specified goods at its own cost, and received in return Chinese produce,
+the value of which was to be roughly equal to the "tribute". Thus Chang
+Ch'ien's reports had the result that, after the first successes against
+the Hsiung-nu, there was increased interest in a central Asian policy.
+The greatest military success were the campaigns of General Li Kuang-li
+to Ferghana in 104 and 102 <span class="smcap">B.C.</span> The result of the campaigns was
+to bring under tribute all the small states in the Tarim basin and some
+of the states of western Turkestan. From now on not only foreign
+consumer goods came freely into China, but with them a great number of
+other things, notably plants such as grape, peach, pomegranate.</p>
+
+<p>In 108 <span class="smcap">B.C.</span> the western part of Korea was also conquered. Korea
+was already an important transit region for the trade with Japan. Thus
+this trade also came under the direct influence of the Chinese
+government. Although this conquest represented a peril to the <!-- Page 89 --><span class='pagenum'><a name="Page_89" id="Page_89">[Pg 89]</a></span>eastern
+flank of the Hsiung-nu, it did not by any means mean that they were
+conquered. The Hsiung-nu while weakened evaded the Chinese pressure, but
+in 104 <span class="smcap">B.C.</span> and again in 91 they inflicted defeats on the
+Chinese. The Hsiung-nu were indirectly threatened by Chinese foreign
+policy, for the Chinese concluded an alliance with old enemies of the
+Hsiung-nu, the Wu-sun, in the north of the Tarim basin. This made the
+Tarim basin secure for the Chinese, and threatened the Hsiung-nu with a
+new danger in their rear. Finally the Chinese did all they could through
+intrigue, espionage, and sabotage to promote disunity and disorder
+within the Hsiung-nu, though it cannot be seen from the Chinese accounts
+how far the Chinese were responsible for the actual conflicts and the
+continual changes of <i>shan-y&uuml;</i>. Hostilities against the Hsiung-nu
+continued incessantly, after the death of Wu Ti, under his successor, so
+that the Hsiung-nu were further weakened. In consequence of this it was
+possible to rouse against them other tribes who until then had been
+dependent on them&mdash;the Ting-ling in the north and the Wu-huan in the
+east. The internal difficulties of the Hsiung-nu increased further.</p>
+
+<p>Wu Ti's active policy had not been directed only against the Hsiung-nu.
+After heavy fighting he brought southern China, with the region round
+Canton, and the south-eastern coast, firmly under Chinese dominion&mdash;in
+this case again on account of trade interests. No doubt there were
+already considerable colonies of foreign merchants in Canton and other
+coastal towns, trading in Indian and Middle East goods. The traders seem
+often to have been Sogdians. The southern wars gave Wu Ti the control of
+the revenues from this commerce. He tried several times to advance
+through Y&uuml;nnan in order to secure a better land route to India, but
+these attempts failed. Nevertheless, Chinese influence became stronger
+in the south-west.</p>
+
+<p>In spite of his long rule, Wu Ti did not leave an adult heir, as the
+crown prince was executed, with many other persons, shortly before Wu
+Ti's death. The crown prince had been implicated in an alleged attempt
+by a large group of people to remove the emperor by various sorts of
+magic. It is difficult to determine today what lay behind this affair;
+probably it was a struggle between two cliques of the gentry. Thus a
+regency council had to be set up for the young heir to the throne; it
+included a member of a Hsiung-nu tribe. The actual government was in the
+hands of a general and his clique until the death of the heir to the
+throne, and at the beginning of his successor's reign.</p>
+
+<p>At this time came the end of the Hsiung-nu empire&mdash;a foreign event of
+the utmost importance. As a result of the continual <!-- Page 90 --><span class='pagenum'><a name="Page_90" id="Page_90">[Pg 90]</a></span>disastrous wars
+against the Chinese, in which not only many men but, especially, large
+quantities of cattle fell into Chinese hands, the livelihood of the
+Hsiung-nu was seriously threatened; their troubles were increased by
+plagues and by unusually severe winters. To these troubles were added
+political difficulties, including unsettled questions in regard to the
+succession to the throne. The result of all this was that the Hsiung-nu
+could no longer offer effective military resistance to the Chinese.
+There were a number of <i>shan-y&uuml;</i> ruling contemporaneously as rivals, and
+one of them had to yield to the Chinese in 58 <span class="smcap">B.C.</span>; in 51 he
+came as a vassal to the Chinese court. The collapse of the Hsiung-nu
+empire was complete. After 58 <span class="smcap">B.C.</span> the Chinese were freed from
+all danger from that quarter and were able, for a time, to impose their
+authority in Central Asia.</p>
+
+
+<p class="sect">5 <i>Impoverishment. Cliques. End of the Dynasty</i></p>
+
+<p>In other respects the Chinese were not doing as well as might have been
+assumed. The wars carried on by Wu Ti and his successors had been
+ruinous. The maintenance of large armies of occupation in the new
+regions, especially in Turkestan, also meant a permanent drain on the
+national funds. There was a special need for horses, for the people of
+the steppes could only be fought by means of cavalry. As the Hsiung-nu
+were supplying no horses, and the campaigns were not producing horses
+enough as booty, the peasants had to rear horses for the government.
+Additional horses were bought at very high prices, and apart from this
+the general financing of the wars necessitated increased taxation of the
+peasants, a burden on agriculture no less serious than was the enrolment
+of many peasants for military service. Finally, the new external trade
+did not by any means bring the advantages that had been hoped for. The
+tribute missions brought tribute but, to begin with, this meant an
+obligation to give presents in return; moreover, these missions had to
+be fed and housed in the capital, often for months, as the official
+receptions took place only on New Year's Day. Their maintenance entailed
+much expense, and meanwhile the members of the missions traded privately
+with the inhabitants and the merchants of the capital, buying things
+they needed and selling things they had brought in addition to the
+tribute. The tribute itself consisted mainly of "precious articles",
+which meant strange or rare things of no practical value. The emperor
+made use of them as elements of personal luxury, or made presents of
+some of them to deserving officials. The gifts offered by the Chinese in
+return consisted mainly of silk. Silk was <!-- Page 91 --><span class='pagenum'><a name="Page_91" id="Page_91">[Pg 91]</a></span>received by the government as
+a part of the tax payments and formed an important element of the
+revenue of the state. It now went abroad without bringing in any
+corresponding return. The private trade carried on by the members of the
+missions was equally unserviceable to the Chinese. It, too, took from
+them goods of economic value, silk and gold, which went abroad in
+exchange for luxury articles of little or no economic importance, such
+as glass, precious stones, or stud horses, which in no way benefited the
+general population. Thus in this last century <span class="smcap">B.C.</span> China's
+economic situation grew steadily and fairly rapidly worse. The peasants,
+more heavily taxed than ever, were impoverished, and yet the exchequer
+became not fuller but emptier, so that gold began even to be no longer
+available for payments. Wu Ti was aware of the situation and called
+different groups together to discuss the problems of economics. Under
+the name "Discussions on Salt and Iron" the gist of these talks is
+preserved and shows that one group under the leadership of Sang
+Hung-yang (143-80 <span class="smcap">B.C.</span>) was business-oriented and thinking in
+economic terms, while their opponents, mainly Confucianists, regarded
+the situation mainly as a moral crisis. Sang proposed an "equable
+transportation" and a "standardization" system and favoured other state
+monopolies and controls; these ideas were taken up later and continued
+to be discussed, again and again.</p>
+
+<p>Already under Wu Ti there had been signs of a development which now
+appeared constantly in Chinese history. Among the new gentry, families
+entered into alliances with each other, sealed their mutual allegiance
+by matrimonial unions, and so formed large cliques. Each clique made it
+its concern to get the most important government positions into its
+hands, so that it should itself control the government. Under Wu Ti, for
+example, almost all the important generals had belonged to a certain
+clique, which remained dominant under his two successors. Two of the
+chief means of attaining power were for such a clique to give the
+emperor a girl from its ranks as wife, and to see to it that all the
+eunuchs around the emperor should be persons dependent on the clique.
+Eunuchs came generally from the poorer classes; they were launched at
+court by members of the great cliques, or quite openly presented to the
+emperor.</p>
+
+<p>The chief influence of the cliques lay, however, in the selection of
+officials. It is not surprising that the officials recommended only sons
+of people in their own clique&mdash;their family or its closest associates.
+On top of all this, the examiners were in most cases themselves members
+of the same families to which the provincial officials belonged. Thus it
+was made doubly certain that only those <!-- Page 92 --><span class='pagenum'><a name="Page_92" id="Page_92">[Pg 92]</a></span>candidates who were to the
+liking of the dominant group among the gentry should pass.</p>
+
+<p>Surrounded by these cliques, the emperors became in most cases powerless
+figureheads. At times energetic rulers were able to play off various
+cliques against each other, and so to acquire personal power; but the
+weaker emperors found themselves entirely in the hands of cliques. Not a
+few emperors in China were removed by cliques which they had attempted
+to resist; and various dynasties were brought to their end by the
+cliques; this was the fate of the Han dynasty.</p>
+
+<p>The beginning of its fall came with the activities of the widow of the
+emperor Y&uuml;an Ti. She virtually ruled in the name of her
+eighteen-year-old son, the emperor Ch'eng Ti (32-7 <span class="smcap">B.C.</span>), and
+placed all her brothers, and also her nephew, Wang Mang, in the
+principal government posts. They succeeded at first in either removing
+the strongest of the other cliques or bringing them into dependence.
+Within the Wang family the nephew Wang Mang steadily advanced, securing
+direct supporters even in some branches of the imperial family; these
+personages declared their readiness to join him in removing the existing
+line of the imperial house. When Ch'eng Ti died without issue, a young
+nephew of his (Ai Ti, 6-1 <span class="smcap">B.C.</span>) was placed on the throne by
+Wang Mang, and during this period the power of the Wangs and their
+allies grew further, until all their opponents had been removed and the
+influence of the imperial family very greatly reduced. When Ai Ti died,
+Wang Mang placed an eight-year-old boy on the throne, himself acting as
+regent; four years later the boy fell ill and died, probably with Wang
+Mang's aid. Wang Mang now chose a one-year-old baby, but soon after he
+felt that the time had come for officially assuming the rulership. In
+<span class="smcap">A.D.</span> 8 he dethroned the baby, ostensibly at Heaven's command,
+and declared himself emperor and first of the Hsin ("new") dynasty. All
+the members of the old imperial family in the capital were removed from
+office and degraded to commoners, with the exception of those who had
+already been supporting Wang Mang. Only those members who held
+unimportant posts at a distance remained untouched.</p>
+
+<p>Wang Mang's "usurpation" is unusual from two points of view. First, he
+paid great attention to public opinion and induced large masses of the
+population to write petitions to the court asking the Han ruler to
+abdicate; he even fabricated "heavenly omina" in his own favour and
+against the Han dynasty in order to get wide support even from
+intellectuals. Secondly, he inaugurated a formal abdication ceremony,
+culminating in the transfer of the imperial seal to himself. This
+ceremony became standard for the <!-- Page 93 --><span class='pagenum'><a name="Page_93" id="Page_93">[Pg 93]</a></span>next centuries. The seal was made of a
+precious stone, once presented to the Ch'in dynasty ruler before he
+ascended the throne. From now on, the possessor of this seal was the
+legitimate ruler.</p>
+
+
+<p class="sect">6 <i>The pseudo-socialistic dictatorship. Revolt of the "Red Eyebrows"</i></p>
+
+<p>Wang Mang's dynasty lasted only from <span class="smcap">A.D.</span> 9 to 23; but it was
+one of the most stirring periods of Chinese history. It is difficult to
+evaluate Wang Mang, because all we know about him stems from sources
+hostile towards him. Yet we gain the impression that some of his
+innovations, such as the legalization of enthronement through the
+transfer of the seal; the changes in the administration of provinces and
+in the bureaucratic set-up in the capital; and even some of his economic
+measures were so highly regarded that they were retained or
+re-introduced, although this happened in some instances centuries later
+and without mentioning Wang Mang's name. But most of his policies and
+actions were certainly neither accepted nor acceptable. He made use of
+every conceivable resource in order to secure power to his clique. As
+far as possible he avoided using open force, and resorted to a
+high-level propaganda. Confucianism, the philosophic basis of the power
+of the gentry, served him as a bait; he made use of the so-called "old
+character school" for his purposes. When, after the holocaust of books,
+it was desired to collect the ancient classics again, texts were found
+under strange circumstances in the walls of Confucius's house; they were
+written in an archaic script. The people who occupied themselves with
+these books were called the old character school. The texts came under
+suspicion; most scholars had little belief in their genuineness. Wang
+Mang, however, and his creatures energetically supported the cult of
+these ancient writings. The texts were edited and issued, and in the
+process, as can now be seen, certain things were smuggled into them that
+fitted in well with Wang Mang's intentions. He even had other texts
+reissued with falsifications. He now represented himself in all his
+actions as a man who did with the utmost precision the things which the
+books reported of rulers or ministers of ancient times. As regent he had
+declared that his model was the brother of the first emperor of the Chou
+dynasty; as emperor he took for his exemplar one of the mythical
+emperors of ancient China; of his new laws he claimed that they were
+simply revivals of decrees of the golden age. In all this he appealed to
+the authority of literature that had been tampered with to suit his
+aims. Actually, such laws had never before been customary; either<!-- Page 94 --><span class='pagenum'><a name="Page_94" id="Page_94">[Pg 94]</a></span> Wang
+Mang completely misinterpreted passages in an ancient text to suit his
+purpose, or he had dicta that suited him smuggled into the text. There
+can be no question that Wang Mang and his accomplices began by
+deliberately falsifying and deceiving. However, as time went on, he
+probably began to believe in his own frauds.</p>
+
+<p>Wang Mang's great series of certain laws has brought him the name of
+"the first Socialist on the throne of China". But closer consideration
+reveals that these measures, ostensibly and especially aimed at the good
+of the poor, were in reality devised simply in order to fill the
+imperial exchequer and to consolidate the imperial power. When we read
+of the turning over of great landed estates to the state, do we not
+imagine that we are faced with a modern land reform? But this applied
+only to the wealthiest of all the landowners, who were to be deprived in
+this way of their power. The prohibition of private slave-owning had a
+similar purpose, the state reserving to itself the right to keep slaves.
+Moreover, landless peasants were to receive land to till, at the expense
+of those who possessed too much. This admirable law, however, was not
+intended seriously to be carried into effect. Instead, the setting up of
+a system of state credits for peasants held out the promise, in spite of
+rather reduced interest rates, of important revenue. The peasants had
+never been in a position to pay back their private debts together with
+the usurious interest, but there were at least opportunities of coming
+to terms with a private usurer, whereas the state proved a merciless
+creditor. It could dispossess the peasant, and either turn his property
+into a state farm, convey it to another owner, or make the peasant a
+state slave. Thus this measure worked against the interest of the
+peasants, as did the state monopoly of the exploitation of mountains and
+lakes. "Mountains and lakes" meant the uncultivated land around
+settlements, the "village commons", where people collected firewood or
+went fishing. They now had to pay money for fishing rights and for the
+right to collect wood, money for the emperor's exchequer. The same
+purpose lay behind the wine, salt, and iron tool monopolies. Enormous
+revenues came to the state from the monopoly of minting coin, when old
+metal coin of full value was called in and exchanged for debased coin.
+Another modern-sounding institution, that of the "equalization offices",
+was supposed to buy cheap goods in times of plenty in order to sell them
+to the people in times of scarcity at similarly low prices, so
+preventing want and also preventing excessive price fluctuations. In
+actual fact these state offices formed a new source of profit, buying
+cheaply and selling as dearly as possible.<!-- Page 95 --><span class='pagenum'><a name="Page_95" id="Page_95">[Pg 95]</a></span></p>
+
+<p>Thus the character of these laws was in no way socialistic; nor,
+however, did they provide an El Dorado for the state finances, for Wang
+Mang's officials turned all the laws to their private advantage. The
+revenues rarely reached the capital; they vanished into the pockets of
+subordinate officials. The result was a further serious lowering of the
+level of existence of the peasant population, with no addition to the
+financial resources of the state. Yet Wang Mang had great need of money,
+because he attached importance to display and because he was planning a
+new war. He aimed at the final destruction of the Hsiung-nu, so that
+access to central Asia should no longer be precarious and it should thus
+be possible to reduce the expense of the military administration of
+Turkestan. The war would also distract popular attention from the
+troubles at home. By way of preparation for war, Wang Mang sent a
+mission to the Hsiung-nu with dishonouring proposals, including changes
+in the name of the Hsiung-nu and in the title of the <i>shan-y&uuml;</i>. The name
+Hsiung-nu was to be given the insulting change of Hsiang-nu, meaning
+"subjugated slaves". The result was that risings of the Hsiung-nu took
+place, whereupon Wang Mang commanded that the whole of their country
+should be partitioned among fifteen <i>shan-y&uuml;</i> and declared the country
+to be a Chinese province. Since this declaration had no practical
+result, it robbed Wang Mang of the increased prestige he had sought and
+only further infuriated the Hsiung-nu. Wang Mang concentrated a vast
+army on the frontier. Meanwhile he lost the whole of the possessions in
+Turkestan.</p>
+
+<p>But before Wang Mang's campaign against the Hsiung-nu could begin, the
+difficulties at home grew steadily worse. In <span class="smcap">A.D.</span> 12 Wang Mang
+felt obliged to abrogate all his reform legislation because it could not
+be carried into effect; and the economic situation proved more
+lamentable than ever. There were continual risings, which culminated in
+<span class="smcap">A.D.</span> 18 in a great popular insurrection, a genuine
+revolutionary rising of the peasants, whose distress had grown beyond
+bearing through Wang Mang's ill-judged measures. The rebels called
+themselves "Red Eyebrows"; they had painted their eyebrows red by way of
+badge and in order to bind their members indissolubly to their movement.
+The nucleus of this rising was a secret society. Such secret societies,
+usually are harmless, but may, in emergency situations, become an
+immensely effective instrument in the hands of the rural population. The
+secret societies then organize the peasants, in order to achieve a
+forcible settlement of the matter in dispute. Occasionally, however, the
+movement grows far beyond its leaders' original objective and becomes a
+popular revolutionary movement, directed against the whole ruling class.
+That is what happened on this occasion.<!-- Page 96 --><span class='pagenum'><a name="Page_96" id="Page_96">[Pg 96]</a></span> Vast swarms of peasants marched
+to the capital, killing all officials and people of position on their
+way. The troops sent against them by Wang Mang either went over to the
+Red Eyebrows or copied them, plundering wherever they could and killing
+officials. Owing to the appalling mass murders and the fighting, the
+forces placed by Wang Mang along the frontier against the Hsiung-nu
+received no reinforcements and, instead of attacking the Hsiung-nu,
+themselves went over to plundering, so that ultimately the army simply
+disintegrated. Fortunately for China, the <i>shan-y&uuml;</i> of the time did not
+take advantage of his opportunity, perhaps because his position within
+the Hsiung-nu empire was too insecure.</p>
+
+<p>Scarcely had the popular rising begun when descendants of the deposed
+Han dynasty appeared and tried to secure the support of the upper class.
+They came forward as fighters against the usurper Wang Mang and as
+defenders of the old social order against the revolutionary masses. But
+the armies which these Han princes were able to collect were no better
+than those of the other sides. They, too, consisted of poor and hungry
+peasants, whose aim was to get money or goods by robbery; they too,
+plundered and murdered more than they fought.</p>
+
+<p>However, one prince by the name of Liu Hsiu gradually gained the upper
+hand. The basis of his power was the district of Nanyang in Honan, one
+of the wealthiest agricultural centres of China at that time and also
+the centre of iron and steel production. The big landowners, the gentry
+of Nanyang, joined him, and the prince's party conquered the capital.
+Wang Mang, placing entire faith in his sanctity, did not flee; he sat in
+his robes in the throne-room and recited the ancient writings, convinced
+that he would overcome his adversaries by the power of his words. But a
+soldier cut off his head (<span class="smcap">A.D.</span> 22). The skull was kept for two
+hundred years in the imperial treasury. The fighting, nevertheless, went
+on. Various branches of the prince's party fought one another, and all
+of them fought the Red Eyebrows. In those years millions of men came to
+their end. Finally, in <span class="smcap">A.D.</span> 24, Liu Hsiu prevailed, becoming
+the first emperor of the second Han dynasty, also called the Later Han
+dynasty; his name as emperor was Kuang-wu Ti (<span class="smcap">A.D.</span> 25-57).</p>
+
+
+<p class="sect">7 <i>Reaction and Restoration: the Later Han dynasty</i></p>
+
+<p>Within the country the period that followed was one of reaction and
+restoration. The massacres of the preceding years had so reduced the
+population that there was land enough for the peasants who remained
+alive. Moreover, their lords and the money-lenders <!-- Page 97 --><span class='pagenum'><a name="Page_97" id="Page_97">[Pg 97]</a></span>of the towns were
+generally no longer alive, so that many peasants had become free of
+debt. The government was transferred from Sian to Loyang, in the present
+province of Honan. This brought the capital nearer to the great
+wheat-producing regions, so that the transport of grain and other taxes
+in kind to the capital was cheapened. Soon this cleared foundation was
+covered by a new stratum, a very sparse one, of great landowners who
+were supporters and members of the new imperial house, largely
+descendants of the landowners of the earlier Han period. At first they
+were not much in evidence, but they gained power more and more rapidly.
+In spite of this, the first half-century of the Later Han period was one
+of good conditions on the land and economic recovery.</p>
+
+
+<p class="sect">8 <i>Hsiung-nu policy</i></p>
+
+<p>In foreign policy the first period of the Later Han dynasty was one of
+extraordinary success, both in the extreme south and in the question of
+the Hsiung-nu. During the period of Wang Mang's rule and the fighting
+connected with it, there had been extensive migration to the south and
+south-west. Considerable regions of Chinese settlement had come into
+existence in Y&uuml;nnan and even in Annam and Tongking, and a series of
+campaigns under General Ma Y&uuml;an (14 <span class="smcap">B.C.</span>-<span class="smcap">A.D.</span> 49) now
+added these regions to the territory of the empire. These wars were
+carried on with relatively small forces, as previously in the Canton
+region, the natives being unable to offer serious resistance owing to
+their inferiority in equipment and civilization. The hot climate,
+however, to which the Chinese soldiers were unused, was hard for them to
+endure.</p>
+
+<p>The Hsiung-nu, in spite of internal difficulties, had regained
+considerable influence in Turkestan during the reign of Wang Mang. But
+the king of the city state of Yarkand had increased his power by
+shrewdly playing off Chinese and Hsiung-nu against each other, so that
+before long he was able to attack the Hsiung-nu. The small states in
+Turkestan, however, regarded the overlordship of the distant China as
+preferable to that of Yarkand or the Hsiung-nu both of whom, being
+nearer, were able to bring their power more effectively into play.
+Accordingly many of the small states appealed for Chinese aid. Kuang-wu
+Ti met this appeal with a blank refusal, implying that order had only
+just been restored in China and that he now simply had not the resources
+for a campaign in Turkestan. Thus, the king of Yarkand was able to
+extend his power over the remainder of the small states of Turkestan,
+since the Hsiung-nu had been obliged to withdraw. Kuang-wu<!-- Page 98 --><span class='pagenum'><a name="Page_98" id="Page_98">[Pg 98]</a></span> Ti had had
+several frontier wars with the Hsiung-nu without any decisive result.
+But in the years around <span class="smcap">A.D.</span> 45 the Hsiung-nu had suffered
+several severe droughts and also great plagues of locusts, so that they
+had lost a large part of their cattle. They were no longer able to
+assert themselves in Turkestan and at the same time to fight the Chinese
+in the south and the Hsien-pi and the Wu-huan in the east. These two
+peoples, apparently largely of Mongol origin, had been subject in the
+past to Hsiung-nu overlordship. They had spread steadily in the
+territories bordering Manchuria and Mongolia, beyond the eastern
+frontier of the Hsiung-nu empire. Living there in relative peace and at
+the same time in possession of very fertile pasturage, these two peoples
+had grown in strength. And since the great political collapse of 58
+<span class="smcap">B.C.</span> the Hsiung-nu had not only lost their best pasturage in
+the north of the provinces of Shensi and Shansi, but had largely grown
+used to living in co-operation with the Chinese. They had become much
+more accustomed to trade with China, exchanging animals for textiles and
+grain, than to warfare, so that in the end they were defeated by the
+Hsien-pi and Wu-huan, who had held to the older form of purely war-like
+nomad life. Weakened by famine and by the wars against Wu-huan and
+Hsien-pi, the Hsiung-nu split into two, one section withdrawing to the
+north.</p>
+
+<p>The southern Hsiung-nu were compelled to submit to the Chinese in order
+to gain security from their other enemies. Thus the Chinese were able to
+gain a great success without moving a finger: the Hsiung-nu, who for
+centuries had shown themselves again and again to be the most dangerous
+enemies of China, were reduced to political insignificance. About a
+hundred years earlier the Hsiung-nu empire had suffered defeat; now half
+of what remained of it became part of the Chinese state. Its place was
+taken by the Hsien-pi and Wu-huan, but at first they were of much less
+importance.</p>
+
+<p>In spite of the partition, the northern Hsiung-nu attempted in the years
+between <span class="smcap">A.D.</span> 60 and 70 to regain a sphere of influence in
+Turkestan; this seemed the easier for them since the king of Yarkand had
+been captured and murdered, and Turkestan was more or less in a state of
+confusion. The Chinese did their utmost to play off the northern against
+the southern Hsiung-nu and to maintain a political balance of power in
+the west and north. So long as there were a number of small states in
+Turkestan, of which at least some were friendly to China, Chinese trade
+caravans suffered relatively little disturbance on their journeys.
+Independent states in Turkestan had proved more profitable for trade
+than when a large army of occupation had to be maintained there. When,
+<!-- Page 99 --><span class='pagenum'><a name="Page_99" id="Page_99">[Pg 99]</a></span>however, there appeared to be the danger of a new union of the two
+parts of the Hsiung-nu as a restoration of a large empire also
+comprising all Turkestan, the Chinese trading monopoly was endangered.
+Any great power would secure the best goods for itself, and there would
+be no good business remaining for China.</p>
+
+<p>For these reasons a great Chinese campaign was undertaken against
+Turkestan in <span class="smcap">A.D.</span> 73 under Tou Ku. Mainly owing to the ability
+of the Chinese deputy commander Pan Ch'ao, the whole of Turkestan was
+quickly conquered. Meanwhile the emperor Ming Ti (<span class="smcap">A.D.</span> 58-75)
+had died, and under the new emperor Chang Ti (76-88) the "isolationist"
+party gained the upper hand against the clique of Tou Ku and Pan Ch'ao:
+the danger of the restoration of a Hsiung-nu empire, the isolationists
+contended, no longer existed; Turkestan should be left to itself; the
+small states would favour trade with China of their own accord.
+Meanwhile, a considerable part of Turkestan had fallen away from China,
+for Chang Ti sent neither money nor troops to hold the conquered
+territories. Pan Ch'ao nevertheless remained in Turkestan (at Kashgar
+and Khotan) where he held on amid countless difficulties. Although he
+reported (<span class="smcap">A.D.</span> 78) that the troops could feed themselves in
+Turkestan and needed neither supplies nor money from home, no
+reinforcements of any importance were sent; only a few hundred or
+perhaps a thousand men, mostly released criminals, reached him. Not
+until <span class="smcap">A.D.</span> 89 did the Pan Ch'ao clique return to power when the
+mother of the young emperor Ho Ti (89-105) took over the government
+during his minority: she was a member of the family of Tou Ku. She was
+interested in bringing to a successful conclusion the enterprise which
+had been started by members of her family and its followers. In
+addition, it can be shown that a number of other members of the "war
+party" had direct interests in the west, mainly in form of landed
+estates. Accordingly, a campaign was started in 89 under her brother
+against the northern Hsiung-nu, and it decided the fate of Turkestan in
+China's favour. Turkestan remained firmly in Chinese possession until
+the death of Pan Ch'ao in 102. Shortly afterwards heavy fighting broke
+out again: the Tanguts advanced from the south in an attempt to cut off
+Chinese access to Turkestan. The Chinese drove back the Tanguts and
+maintained their hold on Turkestan, though no longer absolutely.</p>
+
+
+<p>9 <i>Economic situation. Rebellion of the "Yellow Turbans". Collapse of
+the Han dynasty</i></p>
+
+<p>The economic results of the Turkestan trade in this period were <!-- Page 100 --><span class='pagenum'><a name="Page_100" id="Page_100">[Pg 100]</a></span>not so
+unfavourable as in the earlier Han period. The army of occupation was
+incomparably smaller, and under Pan Ch'ao's policy the soldiers were fed
+and paid in Turkestan itself, so that the cost to China remained small.
+Moreover, the drain on the national income was no longer serious
+because, in the intervening period, regular Chinese settlements had been
+planted in Turkestan including Chinese merchants, so that the trade no
+longer remained entirely in the hands of foreigners.</p>
+
+<p>In spite of the economic consolidation at the beginning of the Later Han
+dynasty, and in spite of the more balanced trade, the political
+situation within China steadily worsened from <span class="smcap">A.D.</span> 80 onwards.
+Although the class of great landowners was small, a number of cliques
+formed within it, and their mutual struggle for power soon went beyond
+the limits of court intrigue. New actors now came upon the stage, namely
+the eunuchs. With the economic improvement there had been a general
+increase in the luxury at the court of the Han emperors, and the court
+steadily increased in size. The many hundred wives and concubines in the
+palace made necessary a great army of eunuchs. As they had the ear of
+the emperor and so could influence him, the eunuchs formed an important
+political factor. For a time the main struggle was between the group of
+eunuchs and the group of scholars. The eunuchs served a particular
+clique to which some of the emperor's wives belonged. The scholars, that
+is to say the ministers, together with members of the ministries and the
+administrative staff, served the interests of another clique. The
+struggles grew more and more sanguinary in the middle of the second
+century <span class="smcap">A.D.</span> It soon proved that the group with the firmest
+hold in the provinces had the advantage, because it was not easy to
+control the provinces from a distance. The result was that, from about
+<span class="smcap">A.D.</span> 150, events at court steadily lost importance, the lead
+being taken by the generals commanding the provincial troops. It would
+carry us too far to give the details of all these struggles. The
+provincial generals were at first Ts'ao Ts'ao, L&uuml; Pu, Y&uuml;an Shao, and Sun
+Ts'&ecirc;; later came Liu Pei. All were striving to gain control of the
+government, and all were engaged in mutual hostilities from about 180
+onwards. Each general was also trying to get the emperor into his hands.
+Several times the last emperor of the Later Han dynasty, Hsien Ti
+(190-220), was captured by one or another of the generals. As the
+successful general was usually unable to maintain his hold on the
+capital, he dragged the poor emperor with him from place to place until
+he finally had to give him up to another general. The point of this
+chase after the emperor was that according to the idea introduced
+earlier by Wang Mang the first ruler of a new dynasty had to <!-- Page 101 --><span class='pagenum'><a name="Page_101" id="Page_101">[Pg 101]</a></span>receive
+the imperial seals from the last emperor of the previous dynasty. The
+last emperor must abdicate in proper form. Accordingly, each general had
+to get possession of the emperor to begin with, in order at the proper
+time to take over the seals.</p>
+
+<p>By about <span class="smcap">A.D.</span> 200 the new conditions had more or less
+crystallized. There remained only three great parties. The most powerful
+was that of Ts'ao Ts'ao, who controlled the north and was able to keep
+permanent hold of the emperor. In the west, in the province of Szechwan,
+Liu Pei had established himself, and in the south-east Sun Ts'&ecirc;'s
+brother.</p>
+
+<p>But we must not limit our view to these generals' struggles. At this
+time there were two other series of events of equal importance with
+those. The incessant struggles of the cliques against each other
+continued at the expense of the people, who had to fight them and pay
+for them. Thus, after <span class="smcap">A.D.</span> 150 the distress of the country
+population grew beyond all limits. Conditions were as disastrous as in
+the time of Wang Mang. And once more, as then, a popular movement broke
+out, that of the so-called "Yellow Turbans". This was the first of the
+two important events. This popular movement had a characteristic which
+from now on became typical of all these risings of the people. The
+intellectual leaders of the movement, Chang Ling and others, were
+members of a particular religious sect. This sect was influenced by
+Iranian Mazdaism on the one side and by certain ideas from Lao Tz&#365;; on
+the other side; and these influences were superimposed on popular rural
+as well as, perhaps, local tribal religious beliefs and superstitions.
+The sect had roots along the coastal settlements of Eastern China, where
+it seems to have gained the support of the peasantry and their local
+priests. These priests of the people were opposed to the representatives
+of the official religion, that is to say the officials drawn from the
+gentry. In small towns and villages the temples of the gods of the
+fruits of the field, of the soil, and so on, were administered by
+authorized local officials, and these officials also carried out the
+prescribed sacrifices. The old temples of the people were either done
+away with (we have many edicts of the Han period concerning the
+abolition of popular forms of religious worship), or their worship was
+converted into an official cult: the all-powerful gentry extended their
+domination over religion as well as all else. But the peasants regarded
+their local unauthorized priests as their natural leaders against the
+gentry and against gentry forms of religion. One branch, probably the
+main branch of this movement, developed a stronghold in Eastern Szechwan
+province, where its members succeeded to create a state of their own
+which retained its independence for a while. It is the only group which
+<!-- Page 102 --><span class='pagenum'><a name="Page_102" id="Page_102">[Pg 102]</a></span>developed real religious communities in which men and women
+participated, extensive welfare schemes existed and class differences
+were discouraged. It had a real church organization with dioceses,
+communal friendship meals and a confession ritual; in short, real piety
+developed as it could not develop in the official religions. After the
+annihilation of this state, remnants of the organization can be traced
+through several centuries, mainly in central and south China. It may
+well be that the many "Taoistic" traits which can be found in the
+religions of late and present-day Mongolian and Tibetan tribes, can be
+derived from this movement of the Yellow Turbans.</p>
+
+<p>The rising of the Yellow Turbans began in 184; all parties, cliques and
+generals alike, were equally afraid of the revolutionaries, since these
+were a threat to the gentry as such, and so to all parties. Consequently
+a combined army of considerable size was got together and sent against
+the rebels. The Yellow Turbans were beaten.</p>
+
+<p>During these struggles it became evident that Ts'ao Ts'ao with his
+troops had become the strongest of all the generals. His troops seem to
+have consisted not of Chinese soldiers alone, but also of Hsiung-nu. It
+is understandable that the annals say nothing about this, and it can
+only be inferred from the facts. It appears that in order to reinforce
+their armies the generals recruited not only Chinese but foreigners. The
+generals operating in the region of the present-day Peking had soldiers
+of the Wu-huan and Hsien-pi, and even of the Ting-ling; Liu Pei, in the
+west, made use of Tanguts, and Ts'ao Ts'ao clearly went farthest of all
+in this direction; he seems to have been responsible for settling
+nineteen tribes of Hsiung-nu in the Chinese province of Shansi between
+180 and 200, in return for their armed aid. In this way Ts'ao Ts'ao
+gained permanent power in the empire by means of these troops, so that
+immediately after his death his son Ts'ao P'ei, with the support of
+powerful allied families, was able to force the emperor to abdicate and
+to found a new dynasty, the Wei dynasty (<span class="smcap">A.D.</span> 220).</p>
+
+<p>This meant, however, that a part of China which for several centuries
+had been Chinese was given up to the Hsiung-nu. This was not, of course,
+what Ts'ao Ts'ao had intended; he had given the Hsiung-nu some area of
+pasturage in Shansi with the idea that they should be controlled and
+administered by the officials of the surrounding district. His plan had
+been similar to what the Chinese had often done with success: aliens
+were admitted into the territory of the empire in a body, but then the
+influence of the surrounding administrative centres was steadily
+extended over them, until the immigrants completely lost their own
+nationality and became<!-- Page 103 --><span class='pagenum'><a name="Page_103" id="Page_103">[Pg 103]</a></span> Chinese. The nineteen tribes of Hsiung-nu,
+however, were much too numerous, and after the prolonged struggles in
+China the provincial administration proved much too weak to be able to
+carry out the plan. Thus there came into existence here, within China, a
+small Hsiung-nu realm ruled by several <i>shan-y&uuml;</i>. This was the second
+major development, and it became of the utmost importance to the history
+of the next four centuries.</p>
+
+
+<p class="sect">10 <i>Literature and Art</i></p>
+
+<p>With the development of the new class of the gentry in the Han period,
+there was an increase in the number of those who were anxious to
+participate in what had been in the past an exclusively aristocratic
+possession&mdash;education. Thus it is by no mere chance that in this period
+many encyclopaedias were compiled. Encyclopaedias convey knowledge in an
+easily grasped and easily found form. The first compilation of this sort
+dates from the third century <span class="smcap">B.C.</span> It was the work of L&uuml; Pu-wei,
+the merchant who was prime minister and regent during the minority of
+Shih Huang-ti. It contains general information concerning ceremonies,
+customs, historic events, and other things the knowledge of which was
+part of a general education. Soon afterwards other encyclopaedias
+appeared, of which the best known is the Book of the Mountains and Seas
+<i>(Shan Hai Ching)</i>. This book, arranged according to regions of the
+world, contains everything known at the time about geography, natural
+philosophy, and the animal and plant world, and also about popular
+myths. This tendency to systemization is shown also in the historical
+works. The famous <i>Shih Chi</i>, one of our main sources for Chinese
+history, is the first historical work of the modern type, that is to
+say, built up on a definite plan, and it was also the model for all
+later official historiography. Its author, Ss&#365;-ma Ch'ien (born 135
+<span class="smcap">B.C.</span>), and his father, made use of the material in the state
+archives and of private documents, old historical and philosophical
+books, inscriptions, and the results of their own travels. The
+philosophical and historical books of earlier times (with the exception
+of those of the nature of chronicles) consisted merely of a few dicta or
+reports of particular events, but the <i>Shih Chi</i> is a compendium of a
+mass of source-material. The documents were abbreviated, but the text of
+the extracts was altered as little as possible, so that the general
+result retains in a sense the value of an original source. In its
+arrangement the <i>Shih Chi</i> became a model for all later historians: the
+first part is in the form of annals, and there follow tables concerning
+the occupants of official posts and fiefs, and then biographies of
+various important personalities, though the type of <!-- Page 104 --><span class='pagenum'><a name="Page_104" id="Page_104">[Pg 104]</a></span>the comprehensive
+biography did not appear till later. The <i>Shih Chi</i> also, like later
+historical works, contains many monographs dealing with particular
+fields of knowledge, such as astronomy, the calendar, music, economics,
+official dress at court, and much else. The whole type of construction
+differs fundamentally from such works as those of Thucydides or
+Herodotus. The Chinese historical works have the advantage that the
+section of annals gives at once the events of a particular year, the
+monographs describe the development of a particular field of knowledge,
+and the biographical section offers information concerning particular
+personalities. The mental attitude is that of the gentry: shortly after
+the time of Ss&#365;-ma Ch'ien an historical department was founded, in which
+members of the gentry worked as historians upon the documents prepared
+by representatives of the gentry in the various government offices.</p>
+
+<p>In addition to encyclopaedias and historical works, many books of
+philosophy were written in the Han period, but most of them offer no
+fundamentally new ideas. They were the product of the leisure of rich
+members of the gentry, and only three of them are of importance. One is
+the work of Tung Chung-shu, already mentioned. The second is a book by
+Liu An called <i>Huai-nan Tz&#365;</i>. Prince Liu An occupied himself with Taoism
+and allied problems, gathered around him scholars of different schools,
+and carried on discussions with them. Many of his writings are lost, but
+enough is extant to show that he was one of the earliest Chinese
+alchemists. The question has not yet been settled, but it is probable
+that alchemy first appeared in China, together with the cult of the
+"art" of prolonging life, and was later carried to the West, where it
+flourished among the Arabs and in medieval Europe.</p>
+
+<p>The third important book of the Han period was the <i>Lun H&ecirc;ng</i> (Critique
+of Opinions) of Wang Ch'ung, which appeared in the first century of the
+Christian era. Wang Ch'ung advocated rational thinking and tried to pave
+the way for a free natural science, in continuation of the beginnings
+which the natural philosophers of the later Chou period had made. The
+book analyses reports in ancient literature and customs of daily life,
+and shows how much they were influenced by superstition and by ignorance
+of the facts of nature. From this attitude a modern science might have
+developed, as in Europe towards the end of the Middle Ages; but the
+gentry had every reason to play down this tendency which, with its
+criticism of all that was traditional, might have proceeded to an attack
+on the dominance of the gentry and their oppression especially of the
+merchants and artisans. It is fascinating to observe how it was the
+needs of the merchants and seafarers of Asia Minor and<!-- Page 105 --><span class='pagenum'><a name="Page_105" id="Page_105">[Pg 105]</a></span> Greece that
+provided the stimulus for the growth of the classic sciences, and how on
+the contrary the growth of Chinese science was stifled because the
+gentry were so strongly hostile to commerce and navigation, though both
+had always existed.</p>
+
+<p>There were great literary innovations in the field of poetry. The
+splendour and elegance at the new imperial court of the Han dynasty
+attracted many poets who sang the praises of the emperor and his court
+and were given official posts and dignities. These praises were in the
+form of grandiloquent, overloaded poetry, full of strange similes and
+allusions, but with little real feeling. In contrast, the many women
+singers and dancers at the court, mostly slaves from southern China,
+introduced at the court southern Chinese forms of song and poem, which
+were soon adopted and elaborated by poets. Poems and dance songs were
+composed which belonged to the finest that Chinese poetry can show&mdash;full
+of natural feeling, simple in language, moving in content.</p>
+
+<p>Our knowledge of the arts is drawn from two sources&mdash;literature, and the
+actual discoveries in the excavations. Thus we know that most of the
+painting was done on silk, of which plenty came into the market through
+the control of silk-producing southern China. Paper had meanwhile been
+invented in the second century <span class="smcap">B.C.</span>, by perfecting the
+techniques of making bark-cloth and felt. Unfortunately nothing remains
+of the actual works that were the first examples of what the Chinese
+everywhere were beginning to call "art". "People", that is to say the
+gentry, painted as a social pastime, just as they assembled together for
+poetry, discussion, or performances of song and dance; they painted as
+an aesthetic pleasure and rarely as a means of earning. We find
+philosophic ideas or greetings, emotions, and experiences represented by
+paintings&mdash;paintings with fanciful or ideal landscapes; paintings
+representing life and environment of the cultured class in idealized
+form, never naturalistic either in fact or in intention. Until recently
+it was an indispensable condition in the Chinese view that an artist
+must be "cultured" and be a member of the gentry&mdash;distinguished,
+unoccupied, wealthy. A man who was paid for his work, for instance for a
+portrait for the ancestral cult, was until late time regarded as a
+craftsman, not as an artist. Yet, these "craftsmen" have produced in Han
+time and even earlier, many works which, in our view, undoubtedly belong
+to the realm of art. In the tombs have been found reliefs whose
+technique is generally intermediate between simple outline engraving and
+intaglio. The lining-in is most frequently executed in scratched lines.
+The representations, mostly in strips placed one above another, are of
+lively historical scenes, scenes from the life of the dead, great ritual
+ceremonies, or <!-- Page 106 --><span class='pagenum'><a name="Page_106" id="Page_106">[Pg 106]</a></span>adventurous scenes from mythology. Bronze vessels have
+representations in inlaid gold and silver, mostly of animals. The most
+important documents of the painting of the Han period have also been
+found in tombs. We see especially ladies and gentlemen of society, with
+richly ornamented, elegant, expensive clothing that is very reminiscent
+of the clothing customary to this day in Japan. There are also artistic
+representations of human figures on lacquer caskets. While sculpture was
+not strongly developed, the architecture of the Han must have been
+magnificent and technically highly complex. Sculpture and temple
+architecture received a great stimulus with the spread of Buddhism in
+China. According to our present knowledge, Buddhism entered China from
+the south coast and through Central Asia at latest in the first century
+<span class="smcap">B.C.</span>; it came with foreign merchants from India or Central
+Asia. According to Indian customs, Brahmans, the Hindu caste providing
+all Hindu priests, could not leave their homes. As merchants on their
+trips which lasted often several years, did not want to go without
+religious services, they turned to Buddhist priests as well as to
+priests of Near Eastern religions. These priests were not prevented from
+travelling and used this opportunity for missionary purposes. Thus, for
+a long time after the first arrival of Buddhists, the Buddhist priests
+in China were foreigners who served foreign merchant colonies. The
+depressed conditions of the people in the second century <span class="smcap">A.D.</span>
+drove members of the lower classes into their arms, while the parts of
+Indian science which these priests brought with them from India aroused
+some interest in certain educated circles. Buddhism, therefore,
+undeniably exercised an influence at the end of the Han dynasty,
+although no Chinese were priests and few, if any, gentry members were
+adherents of the religious teachings.</p>
+
+<p>With the end of the Han period a further epoch of Chinese history comes
+to its close. The Han period was that of the final completion and
+consolidation of the social order of the gentry. The period that
+followed was that of the conflicts of the Chinese with the populations
+on their northern borders.<!-- Page 107 --><span class='pagenum'><a name="Page_107" id="Page_107">[Pg 107]</a></span></p>
+
+
+
+<hr />
+<h2><a name="Chapter_Seven" id="Chapter_Seven"></a>Chapter Seven</h2>
+
+<h2 class="ln2">THE EPOCH OF THE FIRST DIVISION OF CHINA (<span class="smcap">A.D.</span> 220-580)</h2>
+
+
+
+<h3>(A) The three kingdoms (220-265)</h3>
+
+
+<p class="sect">1 <i>Social, intellectual, and economic problems during the first
+division</i></p>
+
+<p>The end of the Han period was followed by the three and a half centuries
+of the first division of China into several kingdoms, each with its own
+dynasty. In fact, once before during the period of the Contending
+States, China had been divided into a number of states, but at least in
+theory they had been subject to the Chou dynasty, and none of the
+contending states had made the claim to be the legitimate ruler of all
+China. In this period of the "first division" several states claimed to
+be legitimate rulers, and later Chinese historians tried to decide which
+of these had "more right" to this claim. At the outset (220-280) there
+were three kingdoms (Wei, Wu, Shu Han); then came an unstable reunion
+during twenty-seven years (280-307) under the rule of the Western Chin.
+This was followed by a still sharper division between north and south:
+while a wave of non-Chinese nomad dynasties poured over the north, in
+the south one Chinese clique after another seized power, so that dynasty
+followed dynasty until finally, in 580, a united China came again into
+existence, adopting the culture of the north and the traditions of the
+gentry.</p>
+
+<p>In some ways, the period from 220 to 580 can be compared with the period
+of the coincidentally synchronous breakdown of the Roman Empire: in both
+cases there was no great increase in population, although in China
+perhaps no over-all decrease in population as in the Roman Empire;
+decrease occurred, however, in the population of the great Chinese
+cities, especially of the capital; furthermore we witness, in both
+empires, a disorganization of the monetary system, i.e. in China the
+reversal to a predominance <!-- Page 108 --><span class='pagenum'><a name="Page_108" id="Page_108">[Pg 108]</a></span>of natural economy after some 400 years of
+money economy. Yet, this period cannot be simply dismissed as a
+transition period, as was usually done by the older European works on
+China. The social order of the gentry, whose birth and development
+inside China we followed, had for the first time to defend itself
+against views and systems entirely opposed to it; for the Turkish and
+Mongol peoples who ruled northern China brought with them their
+traditions of a feudal nobility with privileges of birth and all that
+they implied. Thus this period, socially regarded, is especially that of
+the struggle between the Chinese gentry and the northern nobility, the
+gentry being excluded at first as a direct political factor in the
+northern and more important part of China. In the south the gentry
+continued in the old style with a constant struggle between cliques, the
+only difference being that the class assumed a sort of "colonial"
+character through the formation of gigantic estates and through
+association with the merchant class.</p>
+
+<p>To throw light on the scale of events, we need to have figures of
+population. There are no figures for the years around <span class="smcap">A.D.</span> 220,
+and we must make do with those of 140; but in order to show the relative
+strength of the three states it is the ratio between the figures that
+matters. In 140 the regions which later belonged to Wei had roughly
+29,000,000 inhabitants; those later belonging to Wu had 11,700,000;
+those which belonged later to Shu Han had a bare 7,500,000. (The figures
+take no account of the primitive native population, which was not yet
+included in the taxation lists.) The Hsiung-nu formed only a small part
+of the population, as there were only the nineteen tribes which had
+abandoned one of the parts, already reduced, of the Hsiung-nu empire.
+The whole Hsiung-nu empire may never have counted more than some
+3,000,000. At the time when the population of what became the Wei
+territory totalled 29,000,000 the capital with its immediate environment
+had over a million inhabitants. The figure is exclusive of most of the
+officials and soldiers, as these were taxable in their homes and so were
+counted there. It is clear that this was a disproportionate
+concentration round the capital.</p>
+
+<p>It was at this time that both South and North China felt the influence
+of Buddhism, which until <span class="smcap">A.D.</span> 220 had no more real effect on
+China than had, for instance, the penetration of European civilization
+between 1580 and 1842. Buddhism offered new notions, new ideals, foreign
+science, and many other elements of culture, with which the old Chinese
+philosophy and science had to contend. At the same time there came with
+Buddhism the first direct knowledge <!-- Page 109 --><span class='pagenum'><a name="Page_109" id="Page_109">[Pg 109]</a></span>of the great civilized countries
+west of China. Until then China had regarded herself as the only
+existing civilized country, and all other countries had been regarded as
+barbaric, for a civilized country was then taken to mean a country with
+urban industrial crafts and agriculture. In our present period, however,
+China's relations with the Middle East and with southern Asia were so
+close that the existence of civilized countries outside China had to be
+admitted. Consequently, when alien dynasties ruled in northern China and
+a new high civilization came into existence there, it was impossible to
+speak of its rulers as barbarians any longer. Even the theory that the
+Chinese emperor was the Son of Heaven and enthroned at the centre of the
+world was no longer tenable. Thus a vast widening of China's
+intellectual horizon took place.</p>
+
+<p>Economically, our present period witnessed an adjustment in South China
+between the Chinese way of life, which had penetrated from the north,
+and that of the natives of the south. Large groups of Chinese had to
+turn over from wheat culture in dry fields to rice culture in wet
+fields, and from field culture to market gardening. In North China the
+conflict went on between Chinese agriculture and the cattle breeding of
+Central Asia. Was the will of the ruler to prevail and North China to
+become a country of pasturage, or was the country to keep to the
+agrarian tradition of the people under this rule? The Turkish and Mongol
+conquerors had recently given up their old supplementary agriculture and
+had turned into pure nomads, obtaining the agricultural produce they
+needed by raiding or trade. The conquerors of North China were now faced
+with a different question: if they were to remain nomads, they must
+either drive the peasants into the south, or make them into slave
+herdsmen, or exterminate them. There was one more possibility: they
+might install themselves as a ruling upper class, as nobles over the
+subjugated native peasants. The same question was faced much later by
+the Mongols, and at first they answered it differently from the peoples
+of our present period. Only by attention to this problem shall we be in
+a position to explain why the rule of the Turkish peoples did not last,
+why these peoples were gradually absorbed and disappeared.</p>
+
+
+<p class="sect">2 <i>Status of the two southern Kingdoms</i></p>
+
+<p>When the last emperor of the Han period had to abdicate in favour of
+Ts'ao P'ei and the Wei dynasty began, China was in no way a unified
+realm. Almost immediately, in 221, two other army <!-- Page 110 --><span class='pagenum'><a name="Page_110" id="Page_110">[Pg 110]</a></span>commanders, who had
+long been independent, declared themselves emperors. In the south-west
+of China, in the present province of Szechwan, the Shu Han dynasty was
+founded in this way, and in the south-east, in the region of the present
+Nanking, the Wu dynasty.</p>
+
+<p>The situation of the southern kingdom of Shu Han (221-263) corresponded
+more or less to that of the Chungking r&eacute;gime in the Second World War.
+West of it the high Tibetan mountains towered up; there was very little
+reason to fear any major attack from that direction. In the north and
+east the realm was also protected by difficult mountain country. The
+south lay relatively open, but at that time there were few Chinese
+living there, but only natives with a relatively low civilization. The
+kingdom could only be seriously attacked from two corners&mdash;through the
+north-west, where there was a negotiable plateau, between the Ch'in-ling
+mountains in the north and the Tibetan mountains in the west, a plateau
+inhabited by fairly highly developed Tibetan tribes; and secondly
+through the south-east corner, where it would be possible to penetrate
+up the Yangtze. There was in fact incessant fighting at both these
+dangerous corners.</p>
+
+<p>Economically, Shu Han was not in a bad position. The country had long
+been part of the Chinese wheat lands, and had a fairly large Chinese
+peasant population in the well irrigated plain of Ch'engtu. There was
+also a wealthy merchant class, supplying grain to the surrounding
+mountain peoples and buying medicaments and other profitable Tibetan
+products. And there were trade routes from here through the present
+province of Y&uuml;nnan to India.</p>
+
+<p>Shu Han's difficulty was that its population was not large enough to be
+able to stand against the northern State of Wei; moreover, it was
+difficult to carry out an offensive from Shu Han, though the country
+could defend itself well. The first attempt to find a remedy was a
+campaign against the native tribes of the present Y&uuml;nnan. The purpose of
+this was to secure man-power for the army and also slaves for sale; for
+the south-west had for centuries been a main source for traffic in
+slaves. Finally it was hoped to gain control over the trade to India.
+All these things were intended to strengthen Shu Han internally, but in
+spite of certain military successes they produced no practical result,
+as the Chinese were unable in the long run to endure the climate or to
+hold out against the guerrilla tactics of the natives. Shu Han tried to
+buy the assistance of the Tibetans and with their aid to carry out a
+decisive attack on Wei, whose dynastic legitimacy was not recognized by
+Shu Han. The ruler of Shu Han claimed to be a member of the <!-- Page 111 --><span class='pagenum'><a name="Page_111" id="Page_111">[Pg 111]</a></span>imperial
+family of the deposed Han dynasty, and therefore to be the rightful,
+legitimate ruler over China. His descent, however, was a little
+doubtful, and in any case it depended on a link far back in the past.
+Against this the Wei of the north declared that the last ruler of the
+Han dynasty had handed over to them with all due form the seals of the
+state and therewith the imperial prerogative. The controversy was of no
+great practical importance, but it played a big part in the Chinese
+Confucianist school until the twelfth century, and contributed largely
+to a revision of the old conceptions of legitimacy.</p>
+
+<p>The political plans of Shu Han were well considered and far-seeing. They
+were evolved by the premier, a man from Shantung named Chu-ko Liang; for
+the ruler died in 226 and his successor was still a child. But Chu-ko
+Liang lived only for a further eight years, and after his death in 234
+the decline of Shu Han began. Its political leaders no longer had a
+sense of what was possible. Thus Wei inflicted several defeats on Shu
+Han, and finally subjugated it in 263.</p>
+
+<p>The situation of the state of Wu was much less favourable than that of
+Shu Han, though this second southern kingdom lasted from 221 to 280. Its
+country consisted of marshy, water-logged plains, or mountains with
+narrow valleys. Here Tai peoples had long cultivated their rice, while
+in the mountains Yao tribes lived by hunting and by simple agriculture.
+Peasants immigrating from the north found that their wheat and pulse did
+not thrive here, and slowly they had to gain familiarity with rice
+cultivation. They were also compelled to give up their sheep and cattle
+and in their place to breed pigs and water buffaloes, as was done by the
+former inhabitants of the country. The lower class of the population was
+mainly non-Chinese; above it was an upper class of Chinese, at first
+relatively small, consisting of officials, soldiers, and merchants in a
+few towns and administrative centres. The country was poor, and its only
+important economic asset was the trade in metals, timber, and other
+southern products; soon there came also a growing overseas trade with
+India and the Middle East, bringing revenues to the state in so far as
+the goods were re-exported from Wu to the north.</p>
+
+<p>Wu never attempted to conquer the whole of China, but endeavoured to
+consolidate its own difficult territory with a view to building up a
+state on a firm foundation. In general, Wu played mainly a passive part
+in the incessant struggles between the three kingdoms, though it was
+active in diplomacy. The Wu kingdom entered into relations with a man
+who in 232 had gained control of the present South Manchuria and shortly
+afterwards assumed the <!-- Page 112 --><span class='pagenum'><a name="Page_112" id="Page_112">[Pg 112]</a></span>title of king. This new ruler of "Yen", as he
+called his kingdom, had determined to attack the Wei dynasty, and hoped,
+by putting pressure on it in association with Wu, to overrun Wei from
+north and south. Wei answered this plan very effectively by recourse to
+diplomacy and it began by making Wu believe that Wu had reason to fear
+an attack from its western neighbour Shu Han. A mission was also
+dispatched from Wei to negotiate with Japan. Japan was then emerging
+from its stone age and introducing metals; there were countless small
+principalities and states, of which the state of Yamato, then ruled by a
+queen, was the most powerful. Yamato had certain interests in Korea,
+where it already ruled a small coastal strip in the east. Wei offered
+Yamato the prospect of gaining the whole of Korea if it would turn
+against the state of Yen in South Manchuria. Wu, too, had turned to
+Japan, but the negotiations came to nothing, since Wu, as an ally of
+Yen, had nothing to offer. The queen of Yamato accordingly sent a
+mission to Wei; she had already decided in favour of that state. Thus
+Wei was able to embark on war against Yen, which it annihilated in 237.
+This wrecked Wu's diplomatic projects, and no more was heard of any
+ambitious plans of the kingdom of Wu.</p>
+
+<p>The two southern states had a common characteristic: both were
+condottiere states, not built up from their own population but conquered
+by generals from the north and ruled for a time by those generals and
+their northern troops. Natives gradually entered these northern armies
+and reduced their percentage of northerners, but a gulf remained between
+the native population, including its gentry, and the alien military
+rulers. This reduced the striking power of the southern states.</p>
+
+<p>On the other hand, this period had its positive element. For the first
+time there was an emperor in south China, with all the organization that
+implied. A capital full of officials, eunuchs, and all the satellites of
+an imperial court provided incentives to economic advance, because it
+represented a huge market. The peasants around it were able to increase
+their sales and grew prosperous. The increased demand resulted in an
+increase of tillage and a thriving trade. Soon the transport problem had
+to be faced, as had happened long ago in the north, and new means of
+transport, especially ships, were provided, and new trade routes opened
+which were to last far longer than the three kingdoms; on the other
+hand, the costs of transport involved fresh taxation burdens for the
+population. The skilled staff needed for the business of administration
+came into the new capital from the surrounding districts, for the
+conquerors and new rulers of the territory of the two southern dynasties
+had brought with them from the <!-- Page 113 --><span class='pagenum'><a name="Page_113" id="Page_113">[Pg 113]</a></span>north only uneducated soldiers and
+almost equally uneducated officers. The influx of scholars and
+administrators into the chief cities produced cultural and economic
+centres in the south, a circumstance of great importance to China's
+later development.</p>
+
+
+<p class="sect">3 <i>The northern State of Wei</i></p>
+
+<p>The situation in the north, in the state of Wei (220-265) was anything
+but rosy. Wei ruled what at that time were the most important and
+richest regions of China, the plain of Shensi in the west and the great
+plain east of Loyang, the two most thickly populated areas of China. But
+the events at the end of the Han period had inflicted great economic
+injury on the country. The southern and south-western parts of the Han
+empire had been lost, and though parts of Central Asia still gave
+allegiance to Wei, these, as in the past, were economically more of a
+burden than an asset, because they called for incessant expenditure. At
+least the trade caravans were able to travel undisturbed from and to
+China through Turkestan. Moreover, the Wei kingdom, although much
+smaller than the empire of the Han, maintained a completely staffed
+court at great expense, because the rulers, claiming to rule the whole
+of China, felt bound to display more magnificence than the rulers of the
+southern dynasties. They had also to reward the nineteen tribes of the
+Hsiung-nu in the north for their military aid, not only with cessions of
+land but with payments of money. Finally, they would not disarm but
+maintained great armies for the continual fighting against the southern
+states. The Wei dynasty did not succeed, however, in closely
+subordinating the various army commanders to the central government.
+Thus the commanders, in collusion with groups of the gentry, were able
+to enrich themselves and to secure regional power. The inadequate
+strength of the central government of Wei was further undermined by the
+rivalries among the dominant gentry. The imperial family (Ts'ao Pei, who
+reigned from 220 to 226, had taken as emperor the name of Wen Ti) was
+descended from one of the groups of great landowners that had formed in
+the later Han period. The nucleus of that group was a family named
+Ts'ui, of which there is mention from the Han period onward and which
+maintained its power down to the tenth century; but it remained in the
+background and at first held entirely aloof from direct intervention in
+high policy. Another family belonging to this group was the Hsia-hou
+family which was closely united to the family of Wen Ti by adoption; and
+very soon there was also the Ss&#365;-ma family. Quite naturally Wen Ti, as
+soon as he came into <!-- Page 114 --><span class='pagenum'><a name="Page_114" id="Page_114">[Pg 114]</a></span>power, made provision for the members of these
+powerful families, for only thanks to their support had he been able to
+ascend the throne and to maintain his hold on the throne. Thus we find
+many members of the Hsia-hou and Ss&#365;-ma families in government
+positions. The Ss&#365;-ma family especially showed great activity, and at
+the end of Wen Ti's reign their power had so grown that a certain Ss&#365;-ma
+I was in control of the government, while the new emperor Ming Ti
+(227-233) was completely powerless. This virtually sealed the fate of
+the Wei dynasty, so far as the dynastic family was concerned. The next
+emperor was installed and deposed by the Ss&#365;-ma family; dissensions
+arose within the ruling family, leading to members of the family
+assassinating one another. In 264 a member of the Ss&#365;-ma family declared
+himself king; when he died and was succeeded by his son Ss&#365;-ma Yen, the
+latter, in 265, staged a formal act of renunciation of the throne of the
+Wei dynasty and made himself the first ruler of the new Chin dynasty.
+There is nothing to gain by detailing all the intrigues that led up to
+this event: they all took place in the immediate environment of the
+court and in no way affected the people, except that every item of
+expenditure, including all the bribery, had to come out of the taxes
+paid by the people.</p>
+
+<p>With such a situation at court, with the bad economic situation in the
+country, and with the continual fighting against the two southern
+states, there could be no question of any far-reaching foreign policy.
+Parts of eastern Turkestan still showed some measure of allegiance to
+Wei, but only because at the time it had no stronger opponent. The
+Hsiung-nu beyond the frontier were suffering from a period of depression
+which was at the same time a period of reconstruction. They were
+beginning slowly to form together with Mongol elements a new unit, the
+Juan-juan, but at this time were still politically inactive. The
+nineteen tribes within north China held more and more closely together
+as militarily organized nomads, but did not yet represent a military
+power and remained loyal to the Wei. The only important element of
+trouble seems to have been furnished by the Hsien-pi tribes, who had
+joined with Wu-huan tribes and apparently also with vestiges of the
+Hsiung-nu in eastern Mongolia, and who made numerous raids over the
+frontier into the Wei empire. The state of Yen, in southern Manchuria,
+had already been destroyed by Wei in 238 thanks to Wei's good relations
+with Japan. Loose diplomatic relations were maintained with Japan in the
+period that followed; in that period many elements of Chinese
+civilization found their way into Japan and there, together with
+settlers from many parts of China, helped to transform the culture of
+ancient Japan.<!-- Page 115 --><span class='pagenum'><a name="Page_115" id="Page_115">[Pg 115]</a></span></p>
+
+
+
+<h3>(B) The Western Chin dynasty <span class="smcap">(A.D. 265-317)</span></h3>
+
+
+<p class="sect">1 <i>Internal situation in the Chin empire</i></p>
+
+<p>The change of dynasty in the state of Wei did not bring any turn in
+China's internal history. Ss&#365;-ma Yen, who as emperor was called Wu Ti
+(265-289), had come to the throne with the aid of his clique and his
+extraordinarily large and widely ramified family. To these he had to
+give offices as reward. There began at court once more the same
+spectacle as in the past, except that princes of the new imperial family
+now played a greater part than under the Wei dynasty, whose ruling house
+had consisted of a small family. It was now customary, in spite of the
+abolition of the feudal system, for the imperial princes to receive
+large regions to administer, the fiscal revenues of which represented
+their income. The princes were not, however, to exercise full authority
+in the style of the former feudal lords: their courts were full of
+imperial control officials. In the event of war it was their duty to
+come forward, like other governors, with an army in support of the
+central government. The various Chin princes succeeded, however, in
+making other governors, beyond the frontiers of their regions, dependent
+on them. Also, they collected armies of their own independently of the
+central government and used those armies to pursue personal policies.
+The members of the families allied with the ruling house, for their
+part, did all they could to extend their own power. Thus the first ruler
+of the dynasty was tossed to and fro between the conflicting interests
+and was himself powerless. But though intrigue was piled on intrigue,
+the ruler who, of course, himself had come to the head of the state by
+means of intrigues, was more watchful than the rulers of the Wei dynasty
+had been, and by shrewd counter-measures he repeatedly succeeded in
+playing off one party against another, so that the dynasty remained in
+power. Numerous widespread and furious risings nevertheless took place,
+usually led by princes. Thus during this period the history of the
+dynasty was of an extraordinarily dismal character.</p>
+
+<p>In spite of this, the Chin troops succeeded in overthrowing the second
+southern state, that of Wu (<span class="smcap">A.D.</span> 280), and in so restoring the
+unity of the empire, the Shu Han realm having been already conquered by
+the Wei. After the destruction of Wu there remained no external enemy
+that represented a potential danger, so that a general disarmament was
+decreed (280) in order to restore a healthy economic and financial
+situation. This disarmament applied, of course, to the troops directly
+under the orders of the dynasty, namely the troops of the court and the
+capital and the <!-- Page 116 --><span class='pagenum'><a name="Page_116" id="Page_116">[Pg 116]</a></span>imperial troops in the provinces. Disarmament could
+not, however, be carried out in the princes' regions, as the princes
+declared that they needed personal guards. The dismissal of the troops
+was accompanied by a decree ordering the surrender of arms. It may be
+assumed that the government proposed to mint money with the metal of the
+weapons surrendered, for coin (the old coin of the Wei dynasty) had
+become very scarce; as we indicated previously, money had largely been
+replaced by goods so that, for instance, grain and silks were used for
+the payment of salaries. China, from <i>c</i>. 200 <span class="smcap">A.D.</span> on until the
+eighth century, remained in a period of such partial "natural economy".</p>
+
+<p>Naturally the decree for the surrender of weapons remained a
+dead-letter. The discharged soldiers kept their weapons at first and
+then preferred to sell them. A large part of them was acquired by the
+Hsiung-nu and the Hsien-pi in the north of China; apparently they
+usually gave up land in return. In this way many Chinese soldiers,
+though not all by any means, went as peasants to the regions in the
+north of China and beyond the frontier. They were glad to do so, for the
+Hsiung-nu and the Hsien-pi had not the efficient administration and
+rigid tax collection of the Chinese; and above all, they had no great
+landowners who could have organized the collection of taxes. For their
+part, the Hsiung-nu and the Hsien-pi had no reason to regret this
+immigration of peasants, who could provide them with the farm produce
+they needed. And at the same time they were receiving from them large
+quantities of the most modern weapons.</p>
+
+<p>This ineffective disarmament was undoubtedly the most pregnant event of
+the period of the western Chin dynasty. The measure was intended to save
+the cost of maintaining the soldiers and to bring them back to the land
+as peasants (and taxpayers); but the discharged men were not given land
+by the government. The disarmament achieved nothing, not even the
+desired increase in the money in circulation; what did happen was that
+the central government lost all practical power, while the military
+strength both of the dangerous princes within the country and also of
+the frontier people was increased. The results of these mistaken
+measures became evident at once and compelled the government to arm
+anew.</p>
+
+
+<p class="sect">2 <i>Effect on the frontier peoples</i></p>
+
+<p>Four groups of frontier peoples drew more or less advantage from the
+demobilization law&mdash;the people of the Toba, the Tibetans, and the
+Hsien-pi in the north, and the nineteen tribes of the Hsiung-nu within
+the frontiers of the empire. In the course of time all sorts of
+<!-- Page 117 --><span class='pagenum'><a name="Page_117" id="Page_117">[Pg 117]</a></span>complicated relations developed among those ascending peoples as well
+as between them and the Chinese.</p>
+
+<p>The Toba (T'o-pa) formed a small group in the north of the present
+province of Shansi, north of the city of Tat'ungfu, and they were about
+to develop their small state. They were primarily of Turkish origin, but
+had absorbed many tribes of the older Hsiung-nu and the Hsien-pi. In
+considering the ethnical relationships of all these northern peoples we
+must rid ourselves of our present-day notions of national unity. Among
+the Toba there were many Turkish tribes, but also Mongols, and probably
+a Tungus tribe, as well as perhaps others whom we cannot yet analyse.
+These tribes may even have spoken different languages, much as later not
+only Mongol but also Turkish was spoken in the Mongol empire. The
+political units they formed were tribal unions, not national states.</p>
+
+<p>Such a union or federation can be conceived of, structurally, as a cone.
+At the top point of the cone there was the person of the ruler of the
+federation. He was a member of the leading family or clan of the leading
+tribe (the two top layers of the cone). If we speak of the Toba as of
+Turkish stock, we mean that according to our present knowledge, this
+leading tribe (<i>a</i>) spoke a language belonging to the Turkish language
+family and (<i>b</i>) exhibited a pattern of culture which belonged to the
+type called above in Chapter One as "North-western Culture". The next
+layer of the cone represented the "inner circle of tribes", i.e. such
+tribes as had joined with the leading tribe at an early moment. The
+leading family of the leading tribe often took their wives from the
+leading families of the "inner tribes", and these leaders served as
+advisors and councillors to the leader of the federation. The next lower
+layer consisted of the "outer tribes", i.e. tribes which had joined the
+federation only later, often under strong pressure; their number was
+always much larger than the number of the "inner tribes", but their
+political influence was much weaker. Every layer below that of the
+"outer tribes" was regarded as inferior and more or less "unfree". There
+was many a tribe which, as a tribe, had to serve a free tribe; and there
+were others who, as tribes, had to serve the whole federation. In
+addition, there were individuals who had quit or had been forced to quit
+their tribe or their home and had joined the federation leader as his
+personal "bondsmen"; further, there were individual slaves and, finally,
+there were the large masses of agriculturists who had been conquered by
+the federation. When such a federation was dissolved, by defeat or inner
+dissent, individual tribes or groups of tribes could join a new
+federation or could resume independent life.<!-- Page 118 --><span class='pagenum'><a name="Page_118" id="Page_118">[Pg 118]</a></span></p>
+
+<p>Typically, such federations exhibited two tendencies. In the case of the
+Hsiung-nu we indicated already previously that the leader of the
+federation repeatedly attempted to build up a kind of bureaucratic
+system, using his bondsmen as a nucleus. A second tendency was to
+replace the original tribal leaders by members of the family of the
+federation leader. If this initial step, usually first taken when "outer
+tribes" were incorporated, was successful, a reorganization was
+attempted: instead of using tribal units in war, military units on the
+basis of "Groups of Hundred", "Groups of Thousand", etc., were created
+and the original tribes were dissolved into military regiments. In the
+course of time, and especially at the time of the dissolution of a
+federation, these military units had gained social coherence and
+appeared to be tribes again; we are probably correct in assuming that
+all "tribes" which we find from this time on were already "secondary"
+tribes of this type. A secondary tribe often took its name from its
+leader, but it could also revive an earlier "primary tribe" name.</p>
+
+<p>The Toba represented a good example for this "cone" structure of
+pastoral society. Also the Hsiung-nu of this time seem to have had a
+similar structure. Incidentally, we will from now on call the Hsiung-nu
+"Huns" because Chinese sources begin to call them "Hu", a term which
+also had a more general meaning (all non-Chinese in the north and west
+of China) as well as a more special meaning (non-Chinese in Central Asia
+and India).</p>
+
+<p>The Tibetans fell apart into two sub-groups, the Ch'iang and the Ti.
+Both names appeared repeatedly as political conceptions, but the
+Tibetans, like all other state-forming groups of peoples, sheltered in
+their realms countless alien elements. In the course of the third and
+second centuries <span class="smcap">B.C.</span> the group of the Ti, mainly living in the
+territory of the present Szechwan, had mixed extensively with remains of
+the Y&uuml;eh-chih; the others, the Ch'iang, were northern Tibetans or
+so-called Tanguts; that is to say, they contained Turkish and Mongol
+elements. In <span class="smcap">A.D.</span> 296 there began a great rising of the Ti,
+whose leader Ch'i Wan-nien took on the title emperor. The Ch'iang rose
+with them, but it was not until later, from 312, that they pursued an
+independent policy. The Ti State, however, though it had a second
+emperor, very soon lost importance, so that we shall be occupied solely
+with the Ch'iang.</p>
+
+<p>As the tribal structure of Tibetan groups was always weak and as
+leadership developed among them only in times of war, their states
+always show a military rather than a tribal structure, and the
+continuation of these states depended strongly upon the personal
+qualities of their leaders. Incidentally, Tibetans fundamentally were
+sheep-breeders and not horse-breeders and, therefore, they <!-- Page 119 --><span class='pagenum'><a name="Page_119" id="Page_119">[Pg 119]</a></span>always
+showed inclination to incorporate infantry into their armies. Thus,
+Tibetan states differed strongly from the aristocratically organized
+"Turkish" states as well as from the tribal, non-aristocratic "Mongol"
+states of that period.</p>
+
+<p>The Hsien-pi, according to our present knowledge, were under "Mongol"
+leadership, i.e. we believe that the language of the leading group
+belonged to the family of Mongolian languages and that their culture
+belonged to the type described above as "Northern culture". They had, in
+addition, a strong admixture of Hunnic tribes. Throughout the period
+during which they played a part in history, they never succeeded in
+forming any great political unit, in strong contrast to the Huns, who
+excelled in state formation. The separate groups of the Hsien-pi pursued
+a policy of their own; very frequently Hsien-pi fought each other, and
+they never submitted to a common leadership. Thus their history is
+entirely that of small groups. As early as the Wei period there had been
+small-scale conflicts with the Hsien-pi tribes, and at times the tribes
+had had some success. The campaigns of the Hsien-pi against North China
+now increased, and in the course of them the various tribes formed
+firmer groupings, among which the Mu-jung tribes played a leading part.
+In 281, the year after the demobilization law, this group marched south
+into China, and occupied the region round Peking. After fierce fighting,
+in which the Mu-jung section suffered heavy losses, a treaty was signed
+in 289, under which the Mu-jung tribe of the Hsien-pi recognized Chinese
+overlordship. The Mu-jung were driven to this step mainly because they
+had been continually attacked from southern Manchuria by another
+Hsien-pi tribe, the Y&uuml;-wen, the tribe most closely related to them. The
+Mu-jung made use of the period of their so-called subjection to organize
+their community in North China.</p>
+
+<p>South of the Toba were the nineteen tribes of the Hsiung-nu or Huns, as
+we are now calling them. Their leader in <span class="smcap">A.D.</span> 287, Liu Y&uuml;an,
+was one of the principal personages of this period. His name is purely
+Chinese, but he was descended from the Hun <i>shan-y&uuml;</i>, from the family
+and line of Mao Tun. His membership of that long-famous noble line and
+old ruling family of Huns gave him a prestige which he increased by his
+great organizing ability.</p>
+
+
+<p class="sect">3 <i>Struggles for the throne</i></p>
+
+<p>We shall return to Liu Y&uuml;an later; we must now cast another glance at
+the official court of the Chin. In that court a family named Yang had
+become very powerful, a daughter of this family having become empress.
+When, however, the emperor died, the wife of the <!-- Page 120 --><span class='pagenum'><a name="Page_120" id="Page_120">[Pg 120]</a></span>new emperor Hui Ti
+(290-306) secured the assassination of the old empress Yang and of her
+whole family. Thus began the rule at court of the Chia family. In 299
+the Chia family got rid of the heir to the throne, to whom they
+objected, assassinating this prince and another one. This event became
+the signal for large-scale activity on the part of the princes, each of
+whom was supported by particular groups of families. The princes had not
+complied with the disarmament law of 280 and so had become militarily
+supreme. The generals newly appointed in the course of the imperial
+rearmament at once entered into alliance with the princes, and thus were
+quite unreliable as officers of the government. Both the generals and
+the princes entered into agreements with the frontier peoples to assure
+their aid in the struggle for power. The most popular of these
+auxiliaries were the Hsien-pi, who were fighting for one of the princes
+whose territory lay in the east. Since the Toba were the natural enemies
+of the Hsien-pi, who were continually contesting their hold on their
+territory, the Toba were always on the opposite side to that supported
+by the Hsien-pi, so that they now supported generals who were ostensibly
+loyal to the government. The Huns, too, negotiated with several generals
+and princes and received tempting offers. Above all, all the frontier
+peoples were now militarily well equipped, continually receiving new war
+material from the Chinese who from time to time were co-operating with
+them.</p>
+
+<p>In <span class="smcap">A.D.</span> 300 Prince Lun assassinated the empress Chia and
+removed her group. In 301 he made himself emperor, but in the same year
+he was killed by the prince of Ch'i. This prince was killed in 302 by
+the prince of Ch'ang-sha, who in turned was killed in 303 by the prince
+of Tung-hai. The prince of Ho-chien rose in 302 and was killed in 306;
+the prince of Ch'engtu rose in 303, conquered the capital in 305, and
+then, in 306, was himself removed. I mention all these names and dates
+only to show the disunion within the ruling groups.</p>
+
+
+<p class="sect">4 <i>Migration of Chinese</i></p>
+
+<p>All these struggles raged round the capital, for each of the princes
+wanted to secure full power and to become emperor. Thus the border
+regions remained relatively undisturbed. Their population suffered much
+less from the warfare than the unfortunate people in the neighbourhood
+of the central government. For this reason there took place a mass
+migration of Chinese from the centre of the empire to its periphery.
+This process, together with the shifting of the frontier peoples, is one
+of the most important events of that <!-- Page 121 --><span class='pagenum'><a name="Page_121" id="Page_121">[Pg 121]</a></span>epoch. A great number of Chinese
+migrated especially into the present province of Kansu, where a governor
+who had originally been sent there to fight the Hsien-pi had created a
+sort of paradise by his good administration and maintenance of peace.
+The territory ruled by this Chinese, first as governor and then in
+increasing independence, was surrounded by Hsien-pi, Tibetans, and other
+peoples, but thanks to the great immigration of Chinese and to its
+situation on the main caravan route to Turkestan, it was able to hold
+its own, to expand, and to become prosperous.</p>
+
+<p>Other groups of Chinese peasants migrated southwards into the
+territories of the former state of Wu. A Chinese prince of the house of
+the Chin was ruling there, in the present Nanking. His purpose was to
+organize that territory, and then to intervene in the struggles of the
+other princes. We shall meet him again at the beginning of the Hun rule
+over North China in 317, as founder and emperor of the first south
+Chinese dynasty, which was at once involved in the usual internal and
+external struggles. For the moment, however, the southern region was
+relatively at peace, and was accordingly attracting settlers.</p>
+
+<p>Finally, many Chinese migrated northward, into the territories of the
+frontier peoples, not only of the Hsien-pi but especially of the Huns.
+These alien peoples, although in the official Chinese view they were
+still barbarians, at least maintained peace in the territories they
+ruled, and they left in peace the peasants and craftsmen who came to
+them, even while their own armies were involved in fighting inside
+China. Not only peasants and craftsmen came to the north but more and
+more educated persons. Members of families of the gentry that had
+suffered from the fighting, people who had lost their influence in
+China, were welcomed by the Huns and appointed teachers and political
+advisers of the Hun nobility.</p>
+
+
+<p>5 <i>Victory of the Huns. The Hun Han dynasty (later renamed the Earlier
+Chao dynasty)</i></p>
+
+<p>With its self-confidence thus increased, the Hun council of nobles
+declared that in future the Huns should no longer fight now for one and
+now for another Chinese general or prince. They had promised loyalty to
+the Chinese emperor, but not to any prince. No one doubted that the
+Chinese emperor was a complete nonentity and no longer played any part
+in the struggle for power. It was evident that the murders would
+continue until one of the generals or princes overcame the rest and made
+himself emperor. Why should not the Huns have the same right? Why should
+not they join in this struggle for the Chinese imperial throne?<!-- Page 122 --><span class='pagenum'><a name="Page_122" id="Page_122">[Pg 122]</a></span></p>
+
+<p>There were two arguments against this course, one of which was already
+out of date. The Chinese had for many centuries set down the Huns as
+uncultured barbarians; but the inferiority complex thus engendered in
+the Huns had virtually been overcome, because in the course of time
+their upper class had deliberately acquired a Chinese education and so
+ranked culturally with the Chinese. Thus the ruler Liu Y&uuml;an, for
+example, had enjoyed a good Chinese education and was able to read all
+the classical texts. The second argument was provided by the rigid
+conceptions of legitimacy to which the Turkish-Hunnic aristocratic
+society adhered. The Huns asked themselves: "Have we, as aliens, any
+right to become emperors and rulers in China, when we are not descended
+from an old Chinese family?" On this point Liu Y&uuml;an and his advisers
+found a good answer. They called Liu Y&uuml;an's dynasty the "Han dynasty",
+and so linked it with the most famous of all the Chinese dynasties,
+pointing to the pact which their ancestor Mao Tun had concluded five
+hundred years earlier with the first emperor of the Han dynasty and
+which had described the two states as "brethren". They further recalled
+the fact that the rulers of the Huns were closely related to the Chinese
+ruling family, because Mao Tun and his successors had married Chinese
+princesses. Finally, Liu Y&uuml;an's Chinese family name, Liu, had also been
+the family name of the rulers of the Han dynasty. Accordingly the Hun
+Lius came forward not as aliens but as the rightful successors in
+continuation of the Han dynasty, as legitimate heirs to the Chinese
+imperial throne on the strength of relationship and of treaties.</p>
+
+<p>Thus the Hun Liu Y&uuml;an had no intention of restoring the old empire of
+Mao Tun, the empire of the nomads; he intended to become emperor of
+China, emperor of a country of farmers. In this lay the fundamental
+difference between the earlier Hun empire and this new one. The question
+whether the Huns should join in the struggle for the Chinese imperial
+throne was therefore decided among the Huns themselves in 304 in the
+affirmative, by the founding of the "Hun Han dynasty". All that remained
+was the practical question of how to hold out with their small army of
+50,000 men if serious opposition should be offered to the "barbarians".</p>
+
+<p>Meanwhile Liu Y&uuml;an provided himself with court ceremonial on the Chinese
+model, in a capital which, after several changes, was established at
+P'ing-ch'&ecirc;ng in southern Shansi. He attracted more and more of the
+Chinese gentry, who were glad to come to this still rather barbaric but
+well-organized court. In 309 the first attack was made on the Chinese
+capital, Loyang. Liu Y&uuml;an died in <!-- Page 123 --><span class='pagenum'><a name="Page_123" id="Page_123">[Pg 123]</a></span>the following year, and in 311, under
+his successor Liu Ts'ung (310-318), the attack was renewed and Loyang
+fell. The Chin emperor, Huai Ti, was captured and kept a prisoner in
+P'ing-ch'&ecirc;ng until in 313 a conspiracy in his favour was brought to
+light in the Hun empire, and he and all his supporters were killed.
+Meanwhile the Chinese clique of the Chin dynasty had hastened to make a
+prince emperor in the second capital, Ch'ang-an (Min Ti, 313-316) while
+the princes' struggles for the throne continued. Nobody troubled about
+the fate of the unfortunate emperor in his capital. He received no
+reinforcements, so that he was helpless in face of the next attack of
+the Huns, and in 316 he was compelled to surrender like his predecessor.
+Now the Hun Han dynasty held both capitals, which meant virtually the
+whole of the western part of North China, and the so-called "Western
+Chin dynasty" thus came to its end. Its princes and generals and many of
+its gentry became landless and homeless and had to flee into the south.</p>
+
+
+
+<h3>(C) The alien empires in North China, down to the Toba (<span class="smcap">A.D.</span>
+317-385)</h3>
+
+
+<p class="sect">1 <i>The Later Chao dynasty in eastern North China (Hun</i>; 329-352)</p>
+
+<p>At this time the eastern part of North China was entirely in the hands
+of Shih Lo, a former follower of Liu Y&uuml;an. Shih Lo had escaped from
+slavery in China and had risen to be a military leader among
+detribalized Huns. In 310 he had not only undertaken a great campaign
+right across China to the south, but had slaughtered more than 100,000
+Chinese, including forty-eight princes of the Chin dynasty, who had
+formed a vast burial procession for a prince. This achievement added
+considerably to Shih Lo's power, and his relations with Liu Ts'ung,
+already tense, became still more so. Liu Y&uuml;an had tried to organize the
+Hun state on the Chinese model, intending in this way to gain efficient
+control of China; Shih Lo rejected Chinese methods, and held to the old
+warrior-nomad tradition, making raids with the aid of nomad fighters. He
+did not contemplate holding the territories of central and southern
+China which he had conquered; he withdrew, and in the two years 314-315
+he contented himself with bringing considerable expanses in
+north-eastern China, especially territories of the Hsien-pi, under his
+direct rule, as a base for further raids. Many Huns in Liu Ts'ung's
+dominion found Shih Lo's method of rule more to their taste than living
+in a state ruled by officials, and they went over to Shih Lo and joined
+him in breaking entirely with Liu Ts'ung. There was a further motive for
+this: in states founded <!-- Page 124 --><span class='pagenum'><a name="Page_124" id="Page_124">[Pg 124]</a></span>by nomads, with a federation of tribes as their
+basis, the personal qualities of the ruler played an important part. The
+chiefs of the various tribes would not give unqualified allegiance to
+the son of a dead ruler unless the son was a strong personality or gave
+promise of becoming one. Failing that, there would be independence
+movements. Liu Ts'ung did not possess the indisputable charisma of his
+predecessor Liu Y&uuml;an; and the Huns looked with contempt on his court
+splendour, which could only have been justified if he had conquered all
+China. Liu Ts'ung had no such ambition; nor had his successor Liu Yao
+(319-329), who gave the Hun Han dynasty retroactively, from its start
+with Liu Y&uuml;an, the new name of "Earlier Chao dynasty" (304-329). Many
+tribes then went over to Shih Lo, and the remainder of Liu Yao's empire
+was reduced to a precarious existence. In 329 the whole of it was
+annexed by Shih Lo.</p>
+
+<p>Although Shih Lo had long been much more powerful than the emperors of
+the "Earlier Chao dynasty", until their removal he had not ventured to
+assume the title of emperor. The reason for this seems to have lain in
+the conceptions of nobility held by the Turkish peoples in general and
+the Huns in particular, according to which only those could become
+<i>shan-y&uuml;</i> (or, later, emperor) who could show descent from the Tu-ku
+tribe the rightful <i>shan-y&uuml;</i> stock. In accordance with this conception,
+all later Hun dynasties deliberately disowned Shih Lo. For Shih Lo,
+after his destruction of Liu Yao, no longer hesitated: ex-slave as he
+was, and descended from one of the non-noble stocks of the Huns, he made
+himself emperor of the "Later Chao dynasty" (329-352).</p>
+
+<p>Shih Lo was a forceful army commander, but he was a man without
+statesmanship, and without the culture of his day. He had no Chinese
+education; he hated the Chinese and would have been glad to make north
+China a grazing ground for his nomad tribes of Huns. Accordingly he had
+no desire to rule all China. The part already subjugated, embracing the
+whole of north China with the exception of the present province of
+Kansu, sufficed for his purpose.</p>
+
+<p>The governor of that province was a loyal subject of the Chinese Chin
+dynasty, a man famous for his good administration, and himself a
+Chinese. After the execution of the Chin emperor Huai Ti by the Huns in
+313, he regarded himself as no longer bound to the central government;
+he made himself independent and founded the "Earlier Liang dynasty",
+which was to last until 376. This mainly Chinese realm was not very
+large, although it had admitted a broad stream of Chinese emigrants from
+the dissolving Chin empire; but economically the Liang realm was very
+prosperous, <!-- Page 125 --><span class='pagenum'><a name="Page_125" id="Page_125">[Pg 125]</a></span>so that it was able to extend its influence as far as
+Turkestan. During the earlier struggles Turkestan had been virtually in
+isolation, but now new contacts began to be established. Many traders
+from Turkestan set up branches in Liang. In the capital there were whole
+quarters inhabited only by aliens from western and eastern Turkestan and
+from India. With the traders came Buddhist monks; trade and Buddhism
+seemed to be closely associated everywhere. In the trading centres
+monasteries were installed in the form of blocks of houses within strong
+walls that successfully resisted many an attack. Consequently the
+Buddhists were able to serve as bankers for the merchants, who deposited
+their money in the monasteries, which made a charge for its custody; the
+merchants also warehoused their goods in the monasteries. Sometimes the
+process was reversed, a trade centre being formed around an existing
+monastery. In this case the monastery also served as a hostel for the
+merchants. Economically this Chinese state in Kansu was much more like a
+Turkestan city state that lived by commerce than the agrarian states of
+the Far East, although agriculture was also pursued under the Earlier
+Liang.</p>
+
+<p>From this trip to the remote west we will return first to the Hun
+capital. From 329 onward Shih Lo possessed a wide empire, but an
+unstable one. He himself felt at all times insecure, because the Huns
+regarded him, on account of his humble origin, as a "revolutionary". He
+exterminated every member of the Liu family, that is to say the old
+<i>shan-y&uuml;</i> family, of whom he could get hold, in order to remove any
+possible pretender to the throne; but he could not count on the loyalty
+of the Hun and other Turkish tribes under his rule. During this period
+not a few Huns went over to the small realm of the Toba; other Hun
+tribes withdrew entirely from the political scene and lived with their
+herds as nomad tribes in Shansi and in the Ordos region. The general
+insecurity undermined the strength of Shih Lo's empire. He died in 333,
+and there came to the throne, after a short interregnum, another
+personality of a certain greatness, Shih Hu (334-349). He transferred
+the capital to the city of Yeh, in northern Honan, where the rulers of
+the Wei dynasty had reigned. There are many accounts of the magnificence
+of the court of Yeh. Foreigners, especially Buddhist monks, played a
+greater part there than Chinese. On the one hand, it was not easy for
+Shih Hu to gain the active support of the educated Chinese gentry after
+the murders of Shih Lo and, on the other hand, Shih Hu seems to have
+understood that foreigners without family and without other relations to
+the native population, but with special skills, are the most reliable
+and loyal servants of a ruler. Indeed, his administration seems to have
+been good, but the regime remained <!-- Page 126 --><span class='pagenum'><a name="Page_126" id="Page_126">[Pg 126]</a></span>completely parasitic, with no
+support of the masses or the gentry. After Shih Hu's death there were
+fearful combats between his sons; ultimately a member of an entirely
+different family of Hun origin seized power, but was destroyed in 352 by
+the Hsien-pi, bringing to an end the Later Chao dynasty.</p>
+
+
+<p class="sect">2 <i>Earlier Yen dynasty in the north-east (proto-Mongol; 352-370), and
+the Earlier Ch'in dynasty in all north China (Tibetan; 351-394)</i></p>
+
+<p>In the north, proto-Mongol Hsien-pi tribes had again made themselves
+independent; in the past they had been subjects of Liu Y&uuml;an and then of
+Shih Lo. A man belonging to one of these tribes, the tribe of the
+Mu-jung, became the leader of a league of tribes, and in 337 founded the
+state of Yen. This proto-Mongol state of the Mu-jung, which the
+historians call the "Earlier Yen" state, conquered parts of southern
+Manchuria and also the state of Kao-li in Korea, and there began then an
+immigration of Hsien-pi into Korea, which became noticeable at a later
+date. The conquest of Korea, which was still, as in the past, a Japanese
+market and was very wealthy, enormously strengthened the state of Yen.
+Not until a little later, when Japan's trade relations were diverted to
+central China, did Korea's importance begin to diminish. Although this
+"Earlier Yen dynasty" of the Mu-jung officially entered on the heritage
+of the Huns, and its r&eacute;gime was therefore dated only from 352 (until
+370), it failed either to subjugate the whole realm of the "Later Chao"
+or effectively to strengthen the state it had acquired. This old Hun
+territory had suffered economically from the anti-agrarian nomad
+tendency of the last of the Hun emperors; and unremunerative wars
+against the Chinese in the south had done nothing to improve its
+position. In addition to this, the realm of the Toba was dangerously
+gaining strength on the flank of the new empire. But the most dangerous
+enemy was in the west, on former Hun soil, in the province of
+Shensi&mdash;Tibetans, who finally came forward once more with claims to
+dominance. These were Tibetans of the P'u family, which later changed
+its name to Fu. The head of the family had worked his way up as a leader
+of Tibetan auxiliaries under the "Later Chao", gaining more and more
+power and following. When under that dynasty the death of Shih Hu marked
+the beginning of general dissolution, he gathered his Tibetans around
+him in the west, declared himself independent of the Huns, and made
+himself emperor of the "Earlier Ch'in dynasty" (351-394). He died in
+355, and was followed after a short interregnum by Fu Chien (357-385),
+who <!-- Page 127 --><span class='pagenum'><a name="Page_127" id="Page_127">[Pg 127]</a></span>was unquestionably one of the most important figures of the fourth
+century. This Tibetan empire ultimately defeated the "Earlier Yen
+dynasty" and annexed the realm of the Mu-jung. Thus the Mu-jung Hsien-pi
+came under the dominion of the Tibetans; they were distributed among a
+number of places as garrisons of mounted troops.</p>
+
+<p>The empire of the Tibetans was organized quite differently from the
+empires of the Huns and the Hsien-pi tribes. The Tibetan organization
+was purely military and had nothing to do with tribal structure. This
+had its advantages, for the leader of such a formation had no need to
+take account of tribal chieftains; he was answerable to no one and
+possessed considerable personal power. Nor was there any need for him to
+be of noble rank or descended from an old family. The Tibetan ruler Fu
+Chien organized all his troops, including the non-Tibetans, on this
+system, without regard to tribal membership.</p>
+
+<p>Fu Chien's state showed another innovation: the armies of the Huns and
+the Hsien-pi had consisted entirely of cavalry, for the nomads of the
+north were, of course, horsemen; to fight on foot was in their eyes not
+only contrary to custom but contemptible. So long as a state consisted
+only of a league of tribes, it was simply out of the question to
+transform part of the army into infantry. Fu Chien, however, with his
+military organization that paid no attention to the tribal element,
+created an infantry in addition to the great cavalry units, recruiting
+for it large numbers of Chinese. The infantry proved extremely valuable,
+especially in the fighting in the plains of north China and in laying
+siege to fortified towns. Fu Chien thus very quickly achieved military
+predominance over the neighbouring states. As we have seen already, he
+annexed the "Earlier Yen" realm of the proto-Mongols (370), but he also
+annihilated the Chinese "Earlier Liang" realm (376) and in the same year
+the small Turkish Toba realm. This made him supreme over all north China
+and stronger than any alien ruler before him. He had in his possession
+both the ancient capitals, Ch'ang-an and Loyang; the whole of the rich
+agricultural regions of north China belonged to him; he also controlled
+the routes to Turkestan. He himself had had a Chinese education, and he
+attracted Chinese to his court; he protected the Buddhists; and he tried
+in every way to make the whole country culturally Chinese. As soon as Fu
+Chien had all north China in his power, as Liu Y&uuml;an and his Huns had
+done before him, he resolved, like Liu Y&uuml;an, to make every effort to
+gain the mastery over all China, to become emperor of China. Liu Y&uuml;an's
+successors had not had the capacity for which such a venture called; Fu
+Chien was to fail in it for other reasons. Yet, <!-- Page 128 --><span class='pagenum'><a name="Page_128" id="Page_128">[Pg 128]</a></span>from a military point
+of view, his chances were not bad. He had far more soldiers under his
+command than the Chinese "Eastern Chin dynasty" which ruled the south,
+and his troops were undoubtedly better. In the time of the founder of
+the Tibetan dynasty the southern empire had been utterly defeated by his
+troops (354), and the south Chinese were no stronger now.</p>
+
+<p>Against them the north had these assets: the possession of the best
+northern tillage, the control of the trade routes, and "Chinese" culture
+and administration. At the time, however, these represented only
+potentialities and not tangible realities. It would have taken ten to
+twenty years to restore the capacities of the north after its
+devastation in many wars, to reorganize commerce, and to set up a really
+reliable administration, and thus to interlock the various elements and
+consolidate the various tribes. But as early as 383 Fu Chien started his
+great campaign against the south, with an army of something like a
+million men. At first the advance went well. The horsemen from the
+north, however, were men of the mountain country, and in the soggy
+plains of the Yangtze region, cut up by hundreds of water-courses and
+canals, they suffered from climatic and natural conditions to which they
+were unaccustomed. Their main strength was still in cavalry; and they
+came to grief. The supplies and reinforcements for the vast army failed
+to arrive in time; units did not reach the appointed places at the
+appointed dates. The southern troops under the supreme command of Hsieh
+Hs&uuml;an, far inferior in numbers and militarily of no great efficiency,
+made surprise attacks on isolated units before these were in regular
+formation. Some they defeated, others they bribed; they spread false
+reports. Fu Chien's army was seized with widespread panic, so that he
+was compelled to retreat in haste. As he did so it became evident that
+his empire had no inner stability: in a very short time it fell into
+fragments. The south Chinese had played no direct part in this, for in
+spite of their victory they were not strong enough to advance far to the
+north.</p>
+
+
+<p class="sect">3 <i>The fragmentation of north China</i></p>
+
+<p>The first to fall away from the Tibetan ruler was a noble of the
+Mu-jung, a member of the ruling family of the "Earlier Yen dynasty", who
+withdrew during the actual fighting to pursue a policy of his own. With
+the vestiges of the Hsien-pi who followed him, mostly cavalry, he fought
+his way northwards into the old homeland of the Hsien-pi and there, in
+central Hopei, founded the "Later Yen dynasty" (384-409), himself
+reigning for twelve years. In the remaining thirteen years of the
+existence of that dynasty <!-- Page 129 --><span class='pagenum'><a name="Page_129" id="Page_129">[Pg 129]</a></span>there were no fewer than five rulers, the
+last of them a member of another family. The history of this Hsien-pi
+dynasty, as of its predecessor, is an unedifying succession of
+intrigues; no serious effort was made to build up a true state.</p>
+
+<p>In the same year 384 there was founded, under several other Mu-jung
+princes of the ruling family of the "Earlier Yen dynasty", the "Western
+Yen dynasty" (384-394). Its nucleus was nothing more than a detachment
+of troops of the Hsien-pi which had been thrown by Fu Chien into the
+west of his empire, in Shensi, in the neighbourhood of the old capital
+Ch'ang-an. There its commanders, on learning the news of Fu Chien's
+collapse, declared their independence. In western China, however, far
+removed from all liaison with the main body of the Hsien-pi, they were
+unable to establish themselves, and when they tried to fight their way
+to the north-east they were dispersed, so that they failed entirely to
+form an actual state.</p>
+
+<p>There was a third attempt in 384 to form a state in north China. A
+Tibetan who had joined Fu Chien with his followers declared himself
+independent when Fu Chien came back, a beaten man, to Shensi. He caused
+Fu Chien and almost the whole of his family to be assassinated, occupied
+the capital, Ch'ang-an, and actually entered into the heritage of Fu
+Chien. This Tibetan dynasty is known as the "Later Ch'in dynasty"
+(384-417). It was certainly the strongest of those founded in 384, but
+it still failed to dominate any considerable part of China and remained
+of local importance, mainly confined to the present province of Shensi.
+Fu Chien's empire nominally had three further rulers, but they did not
+exert the slightest influence on events.</p>
+
+<p>With the collapse of the state founded by Fu Chien, the tribes of
+Hsien-pi who had left their homeland in the third century and migrated
+to the Ordos region proceeded to form their own state: a man of the
+Hsien-pi tribe of the Ch'i-fu founded the so-called "Western Ch'in
+dynasty" (385-431). Like the other Hsien-pi states, this one was of weak
+construction, resting on the military strength of a few tribes and
+failing to attain a really secure basis. Its territory lay in the east
+of the present province of Kansu, and so controlled the eastern end of
+the western Asian caravan route, which might have been a source of
+wealth if the Ch'i-fu had succeeded in attracting commerce by discreet
+treatment and in imposing taxation on it. Instead of this, the bulk of
+the long-distance traffic passed through the Ordos region, a little
+farther north, avoiding the Ch'i-fu state, which seemed to the merchants
+to be too insecure. The Ch'i-fu depended mainly on cattle-breeding in
+the remote mountain country in the south of their territory, <!-- Page 130 --><span class='pagenum'><a name="Page_130" id="Page_130">[Pg 130]</a></span>a region
+that gave them relative security from attack; on the other hand, this
+made them unable to exercise any influence on the course of political
+events in western China.</p>
+
+<p>Mention must be made of one more state that rose from the ruins of Fu
+Chien's empire. It lay in the far west of China, in the western part of
+the present province of Kansu, and was really a continuation of the
+Chinese "Earlier Liang" realm, which had been annexed ten years earlier
+(376) by Fu Chien. A year before his great march to the south, Fu Chien
+had sent the Tibetan L&uuml; Kuang into the "Earlier Liang" region in order
+to gain influence over Turkestan. As mentioned previously, after the
+great Hun rulers Fu Chien was the first to make a deliberate attempt to
+secure cultural and political overlordship over the whole of China.
+Although himself a Tibetan, he never succumbed to the temptation of
+pursuing a "Tibetan" policy; like an entirely legitimate ruler of China,
+he was concerned to prevent the northern peoples along the frontier from
+uniting with the Tibetan peoples of the west for political ends. The
+possession of Turkestan would avert that danger, which had shown signs
+of becoming imminent of late: some tribes of the Hsien-pi had migrated
+as far as the high mountains of Tibet and had imposed themselves as a
+ruling class on the still very primitive Tibetans living there. From
+this symbiosis there began to be formed a new people, the so-called
+T'u-y&uuml;-hun, a hybridization of Mongol and Tibetan stock with a slight
+Turkish admixture. L&uuml; Kuang had had considerable success in Turkestan;
+he had brought considerable portions of eastern Turkestan under Fu
+Chien's sovereignty and administered those regions almost independently.
+When the news came of Fu Chien's end, he declared himself an independent
+ruler, of the "Later Liang" dynasty (386-403). Strictly speaking, this
+was simply a trading State, like the city-states of Turkestan: its basis
+was the transit traffic that brought it prosperity. For commerce brought
+good profit to the small states that lay right across the caravan route,
+whereas it was of doubtful benefit, as we know, to agrarian China as a
+whole, because the luxury goods which it supplied to the court were paid
+for out of the production of the general population.</p>
+
+<p>This "Later Liang" realm was inhabited not only by a few Tibetans and
+many Chinese, but also by Hsien-pi and Huns. These heterogeneous
+elements with their divergent cultures failed in the long run to hold
+together in this long but extremely narrow strip of territory, which was
+almost incapable of military defence. As early as 397 a group of Huns in
+the central section of the country made themselves independent, assuming
+the name of the "Northern Liang" (397-439). These Huns quickly conquered
+other parts <!-- Page 131 --><span class='pagenum'><a name="Page_131" id="Page_131">[Pg 131]</a></span>of the "Later Liang" realm, which then fell entirely to
+pieces. Chinese again founded a state, "West Liang" (400-421) in western
+Kansu, and the Hsien-pi founded "South Liang" (379-414) in eastern
+Kansu. Thus the "Later Liang" fell into three parts, more or less
+differing ethnically, though they could not be described as ethnically
+unadulterated states.</p>
+
+
+<p class="sect">4 <i>Sociological analysis of the two great alien empires</i></p>
+
+<p>The two great empires of north China at the time of its division had
+been founded by non-Chinese&mdash;the first by the Hun Liu Y&uuml;an, the second
+by the Tibetan Fu Chien. Both rulers went to work on the same principle
+of trying to build up truly "Chinese" empires, but the traditions of
+Huns and Tibetans differed, and the two experiments turned out
+differently. Both failed, but not for the same reasons and not with the
+same results. The Hun Liu Y&uuml;an was the ruler of a league of feudal
+tribes, which was expected to take its place as an upper class above the
+unchanged Chinese agricultural population with its system of officials
+and gentry. But Liu Y&uuml;an's successors were national reactionaries who
+stood for the maintenance of the nomad life against that new plan of
+transition to a feudal class of urban nobles ruling an agrarian
+population. Liu Y&uuml;an's more far-seeing policy was abandoned, with the
+result that the Huns were no longer in a position to rule an immense
+agrarian territory, and the empire soon disintegrated. For the various
+Hun tribes this failure meant falling back into political
+insignificance, but they were able to maintain their national character
+and existence.</p>
+
+<p>Fu Chien, as a Tibetan, was a militarist and soldier, in accordance with
+the past of the Tibetans. Under him were grouped Tibetans without tribal
+chieftains; the great mass of Chinese; and dispersed remnants of tribes
+of Huns, Hsien-pi, and others. His organization was militaristic and,
+outside the military sphere, a militaristic bureaucracy. The Chinese
+gentry, so far as they still existed, preferred to work with him rather
+than with the feudalist Huns. These gentry probably supported Fu Chien's
+southern campaign, for, in consequence of the wide ramifications of
+their families, it was to their interest that China should form a single
+economic unit. They were, of course, equally ready to work with another
+group, one of southern Chinese, to attain the same end by other means,
+if those means should prove more advantageous: thus the gentry were not
+a reliable asset, but were always ready to break faith. Among other
+things, Fu Chien's southern campaign was wrecked by that faithlessness.
+When an essentially military state <!-- Page 132 --><span class='pagenum'><a name="Page_132" id="Page_132">[Pg 132]</a></span>suffers military defeat, it can only
+go to pieces. This explains the disintegration of that great empire
+within a single year into so many diminutive states, as already
+described.</p>
+
+
+<p class="sect">5 <i>Sociological analysis of the petty States</i></p>
+
+<p>The states that took the place of Fu Chien's empire, those many
+diminutive states (the Chinese speak of the period of the Sixteen
+Kingdoms), may be divided from the economic point of view into two
+groups&mdash;trading states and warrior states; sociologically they also fall
+into two groups, tribal states and military states.</p>
+
+<p>The small states in the west, in Kansu (the Later Liang and the Western,
+Northern, and Southern Liang), were trading states: they lived on the
+earnings of transit trade with Turkestan. The eastern states were
+warrior states, in which an army commander ruled by means of an armed
+group of non-Chinese and exploited an agricultural population. It is
+only logical that such states should be short-lived, as in fact they all
+were.</p>
+
+<p>Sociologically regarded, during this period only the Southern and
+Northern Liang were still tribal states. In addition to these came the
+young Toba realm, which began in 385 but of which mention has not yet
+been made. The basis of that state was the tribe, not the family or the
+individual; after its political disintegration the separate tribes
+remained in existence. The other states of the east, however, were
+military states, made up of individuals with no tribal allegiance but
+subject to a military commandant. But where there is no tribal
+association, after the political downfall of a state founded by ethnical
+groups, those groups sooner or later disappear as such. We see this in
+the years immediately following Fu Chien's collapse: the Tibetan
+ethnical group to which he himself belonged disappeared entirely from
+the historical scene. The two Tibetan groups that outlasted him, also
+forming military states and not tribal states, similarly came to an end
+shortly afterwards for all time. The Hsien-pi groups in the various
+fragments of the empire, with the exception of the petty states in
+Kansu, also continued, only as tribal fragments led by a few old ruling
+families. They, too, after brief and undistinguished military rule, came
+to an end; they disappeared so completely that thereafter we no longer
+find the term Hsien-pi in history. Not that they had been exterminated.
+When the social structure and its corresponding economic form fall to
+pieces, there remain only two alternatives for its individuals. Either
+they must go over to a new form, which in China could only mean that
+they became Chinese; many Hsien-pi in this way became Chinese in the
+decades following 384.<!-- Page 133 --><span class='pagenum'><a name="Page_133" id="Page_133">[Pg 133]</a></span> Or, they could retain their old way of living in
+association with another stock of similar formation; this, too, happened
+in many cases. Both these courses, however, meant the end of the
+Hsien-pi as an independent ethnical unit. We must keep this process and
+its reasons in view if we are to understand how a great people can
+disappear once and for all.</p>
+
+<p>The Huns, too, so powerful in the past, were suddenly scarcely to be
+found any longer. Among the many petty states there were many Hsien-pi
+kingdoms, but only a single, quite small Hun state, that of the Northern
+Liang. The disappearance of the Huns was, however, only apparent; at
+this time they remained in the Ordos region and in Shansi as separate
+nomad tribes with no integrating political organization; their time had
+still to come.</p>
+
+
+<p class="sect">6 <i>Spread of Buddhism</i></p>
+
+<p>According to the prevalent Chinese view, nothing of importance was
+achieved during this period in north China in the intellectual sphere;
+there was no culture in the north, only in the south. This is natural:
+for a Confucian this period, the fourth century, was one of degeneracy
+in north China, for no one came into prominence as a celebrated
+Confucian. Nothing else could be expected, for in the north the gentry,
+which had been the class that maintained Confucianism since the Han
+period, had largely been destroyed; from political leadership especially
+it had been shut out during the periods of alien rule. Nor could we
+expect to find Taoists in the true sense, that is to say followers of
+the teaching of Lao Tz&#365;, for these, too, had been dependent since the
+Han period on the gentry. Until the fourth century, these two had
+remained the dominant philosophies.</p>
+
+<p>What could take their place? The alien rulers had left little behind
+them. Most of them had been unable to write Chinese, and in so far as
+they were warriors they had no interest in literature or in political
+philosophy, for they were men of action. Few songs and poems of theirs
+remain extant in translations from their language into Chinese, but
+these preserve a strong alien flavour in their mental attitude and in
+their diction. They are the songs of fighting men, songs that were sung
+on horseback, songs of war and its sufferings. These songs have nothing
+of the excessive formalism and aestheticism of the Chinese, but give
+expression to simple emotions in unpolished language with a direct
+appeal. The epic of the Turkish peoples had clearly been developed
+already, and in north China it produced a rudimentary ballad literature,
+to which four hundred years later no less attention was paid than to the
+emotional world of contemporary songs.<!-- Page 134 --><span class='pagenum'><a name="Page_134" id="Page_134">[Pg 134]</a></span></p>
+
+<p>The actual literature, however, and the philosophy of this period are
+Buddhist. How can we explain that Buddhism had gained such influence?</p>
+
+<p>It will be remembered that Buddhism came to China overland and by sea in
+the Han epoch. The missionary monks who came from abroad with the
+foreign merchants found little approval among the Chinese gentry. They
+were regarded as second-rate persons belonging, according to Chinese
+notions, to an inferior social class. Thus the monks had to turn to the
+middle and lower classes in China. Among these they found widespread
+acceptance, not of their profound philosophic ideas, but of their
+doctrine of the after life. This doctrine was in a certain sense
+revolutionary: it declared that all the high officials and superiors who
+treated the people so unjustly and who so exploited them, would in their
+next reincarnation be born in poor circumstances or into inferior rank
+and would have to suffer punishment for all their ill deeds. The poor
+who had to suffer undeserved evils would be born in their next life into
+high rank and would have a good time. This doctrine brought a ray of
+light, a promise, to the country people who had suffered so much since
+the later Han period of the second century <span class="smcap">A.D.</span> Their situation
+remained unaltered down to the fourth century; and under their alien
+rulers the Chinese country population became Buddhist.</p>
+
+<p>The merchants made use of the Buddhist monasteries as banks and
+warehouses. Thus they, too, were well inclined towards Buddhism and gave
+money and land for its temples. The temples were able to settle peasants
+on this land as their tenants. In those times a temple was a more
+reliable landlord than an individual alien, and the poorer peasants
+readily became temple tenants; this increased their inclination towards
+Buddhism.</p>
+
+<p>The Indian, Sogdian, and Turkestani monks were readily allowed to settle
+by the alien rulers of China, who had no national prejudice against
+other aliens. The monks were educated men and brought some useful
+knowledge from abroad. Educated Chinese were scarcely to be found, for
+the gentry retired to their estates, which they protected as well as
+they could from their alien ruler. So long as the gentry had no prospect
+of regaining control of the threads of political life that extended
+throughout China, they were not prepared to provide a class of officials
+and scholars for the anti-Confucian foreigners, who showed interest only
+in fighting and trading. Thus educated persons were needed at the courts
+of the alien rulers, and Buddhists were therefore engaged. These foreign
+Buddhists had all the important Buddhist writings translated into
+Chinese, and so made use of their influence at court for religious
+propaganda.<!-- Page 135 --><span class='pagenum'><a name="Page_135" id="Page_135">[Pg 135]</a></span></p>
+
+<p>This does not mean that every text was translated from Indian languages;
+especially in the later period many works appeared which came not from
+India but from Sogdia or Turkestan, or had even been written in China by
+Sogdians or other natives of Turkestan, and were then translated into
+Chinese. In Turkestan, Khotan in particular became a centre of Buddhist
+culture. Buddhism was influenced by vestiges of indigenous cults, so
+that Khotan developed a special religious atmosphere of its own; deities
+were honoured there (for instance, the king of Heaven of the
+northerners) to whom little regard was paid elsewhere. This "Khotan
+Buddhism" had special influence on the Buddhist Turkish peoples.</p>
+
+<p>Big translation bureaux were set up for the preparation of these
+translations into Chinese, in which many copyists simultaneously took
+down from dictation a translation made by a "master" with the aid of a
+few native helpers. The translations were not literal but were
+paraphrases, most of them greatly reduced in length, glosses were
+introduced when the translator thought fit for political or doctrinal
+reasons, or when he thought that in this way he could better adapt the
+texts to Chinese feeling.</p>
+
+<p>Buddhism, quite apart from the special case of "Khotan Buddhism",
+underwent extensive modification on its way across Central Asia. Its
+main Indian form (Hinayana) was a purely individualistic religion of
+salvation without a God&mdash;related in this respect to genuine Taoism&mdash;and
+based on a concept of two classes of people: the monks who could achieve
+salvation and, secondly, the masses who fed the monks but could not
+achieve salvation. This religion did not gain a footing in China; only
+traces of it can be found in some Buddhistic sects in China. Mahayana
+Buddhism, on the other hand, developed into a true popular religion of
+salvation. It did not interfere with the indigenous deities and did not
+discountenance life in human society; it did not recommend Nirvana at
+once, but placed before it a here-after with all the joys worth striving
+for. In this form Buddhism was certain of success in Asia. On its way
+from India to China it divided into countless separate streams, each
+characterized by a particular book. Every nuance, from profound
+philosophical treatises to the most superficial little tracts written
+for the simplest of souls, and even a good deal of Turkestan shamanism
+and Tibetan belief in magic, found their way into Buddhist writings, so
+that some Buddhist monks practised Central Asian Shamanism.</p>
+
+<p>In spite of Buddhism, the old religion of the peasants retained its
+vitality. Local diviners, Chinese shamans (<i>wu</i>), sorcerers, continued
+their practices, although from now on they sometimes used<!-- Page 136 --><span class='pagenum'><a name="Page_136" id="Page_136">[Pg 136]</a></span> Buddhist
+phraseology. Often, this popular religion is called "Taoism", because a
+systematization of the popular pantheon was attempted, and Lao Tz&#365; and
+other Taoists played a role in this pantheon. Philosophic Taoism
+continued in this time, aside from the church-Taoism of Chang Ling and,
+naturally, all kinds of contacts between these three currents occurred.
+The Chinese state cult, the cult of Heaven saturated with Confucianism,
+was another living form of religion. The alien rulers, in turn, had
+brought their own mixture of worship of Heaven and shamanism. Their
+worship of Heaven was their official "representative" religion; their
+shamanism the private religion of the individual in his daily life. The
+alien rulers, accordingly, showed interest in the Chinese shamans as
+well as in the shamanistic aspects of Mahayana Buddhism. Not
+infrequently competitions were arranged by the rulers between priests of
+the different religious systems, and the rulers often competed for the
+possession of monks who were particularly skilled in magic or
+soothsaying.</p>
+
+<p>But what was the position of the "official" religion? Were the aliens to
+hold to their own worship of heaven, or were they to take over the
+official Chinese cult, or what else? This problem posed itself already
+in the fourth century, but it was left unsolved.</p>
+
+
+
+<h3>(D) The Toba empire in North China (<span class="smcap">A.D.</span> 385-550)</h3>
+
+
+<p class="sect">1 <i>The rise of the Toba State</i></p>
+
+<p>On the collapse of Fu Chien's empire one more state made its appearance;
+it has not yet been dealt with, although it was the most important one.
+This was the empire of the Toba, in the north of the present province of
+Shansi. Fu Chien had brought down the small old Toba state in 376, but
+had not entirely destroyed it. Its territory was partitioned, and part
+was placed under the administration of a Hun: in view of the old rivalry
+between Toba and Huns, this seemed to Fu Chien to be the best way of
+preventing any revival of the Toba. However, a descendant of the old
+ruling family of the Toba succeeded, with the aid of related families,
+in regaining power and forming a small new kingdom. Very soon many
+tribes which still lived in north China and which had not been broken up
+into military units, joined him. Of these there were ultimately 119,
+including many Hun tribes from Shansi and also many Hsien-pi tribes.
+Thus the question who the Toba were is not easy to answer. The leading
+tribe itself had migrated southward in the third century from the
+frontier territory between northern<!-- Page 137 --><span class='pagenum'><a name="Page_137" id="Page_137">[Pg 137]</a></span> Mongolia and northern Manchuria.
+After this migration the first Toba state, the so-called Tai state, was
+formed (338-376); not much is known about it. The tribes that, from 385
+after the break-up of the Tibetan empire, grouped themselves round this
+ruling tribe, were both Turkish and Mongol; but from the culture and
+language of the Toba we think it must be inferred that the ruling tribe
+itself as well as the majority of the other tribes were Turkish; in any
+case, the Turkish element seems to have been stronger than the
+Mongolian.</p>
+
+<p>Thus the new Toba kingdom was a tribal state, not a military state. But
+the tribes were no longer the same as in the time of Liu Y&uuml;an a hundred
+years earlier. Their total population must have been quite small; we
+must assume that they were but the remains of 119 tribes rather than 119
+full-sized tribes. Only part of them were still living the old nomad
+life; others had become used to living alongside Chinese peasants and
+had assumed leadership among the peasants. These Toba now faced a
+difficult situation. The country was arid and mountainous and did not
+yield much agricultural produce. For the many people who had come into
+the Toba state from all parts of the former empire of Fu Chien, to say
+nothing of the needs of a capital and a court which since the time of
+Liu Y&uuml;an had been regarded as the indispensable entourage of a ruler who
+claimed imperial rank, the local production of the Chinese peasants was
+not enough. All the government officials, who were Chinese, and all the
+slaves and eunuchs needed grain to eat. Attempts were made to settle
+more Chinese peasants round the new capital, but without success;
+something had to be done. It appeared necessary to embark on a campaign
+to conquer the fertile plain of eastern China. In the course of a number
+of battles the Hsien-pi of the "Later Yen" were annihilated and eastern
+China conquered (409).</p>
+
+<p>Now a new question arose: what should be done with all those people?
+Nomads used to enslave their prisoners and use them for watching their
+flocks. Some tribal chieftains had adopted the practice of establishing
+captives on their tribal territory as peasants. There was an opportunity
+now to subject the millions of Chinese captives to servitude to the
+various tribal chieftains in the usual way. But those captives who were
+peasants could not be taken away from their fields without robbing the
+country of its food; therefore it would have been necessary to spread
+the tribes over the whole of eastern China, and this would have added
+immensely to the strength of the various tribes and would have greatly
+weakened the central power. Furthermore almost all Chinese officials at
+the court had come originally from the territories just conquered. They
+<!-- Page 138 --><span class='pagenum'><a name="Page_138" id="Page_138">[Pg 138]</a></span>had come from there about a hundred years earlier and still had all
+their relatives in the east. If the eastern territories had been placed
+under the rule of separate tribes, and the tribes had been distributed
+in this way, the gentry in those territories would have been destroyed
+and reduced to the position of enslaved peasants. The Chinese officials
+accordingly persuaded the Toba emperor not to place the new territories
+under the tribes, but to leave them to be administered by officials of
+the central administration. These officials must have a firm footing in
+their territory, for only they could extract from the peasants the grain
+required for the support of the capital. Consequently the Toba
+government did not enslave the Chinese in the eastern territory, but
+made the local gentry into government officials, instructing them to
+collect as much grain as possible for the capital. This Chinese local
+gentry worked in close collaboration with the Chinese officials at
+court, a fact which determined the whole fate of the Toba empire.</p>
+
+<p>The Hsien-pi of the newly conquered east no longer belonged to any
+tribe, but only to military units. They were transferred as soldiers to
+the Toba court and placed directly under the government, which was thus
+notably strengthened, especially as the millions of peasants under their
+Chinese officials were also directly responsible to the central
+administration. The government now proceeded to convert also its own
+Toba tribes into military formations. The tribal men of noble rank were
+brought to the court as military officers, and so were separated from
+the common tribesmen and the slaves who had to remain with the herds.
+This change, which robbed the tribes of all means of independent action,
+was not carried out without bloodshed. There were revolts of tribal
+chieftains which were ruthlessly suppressed. The central government had
+triumphed, but it realized that more reliance could be placed on Chinese
+than on its own people, who were used to independence. Thus the Toba
+were glad to employ more and more Chinese, and the Chinese pressed more
+and more into the administration. In this process the differing social
+organizations of Toba and Chinese played an important part. The Chinese
+have patriarchal families with often hundreds of members. When a member
+of a family obtains a good position, he is obliged to make provision for
+the other members of his family and to secure good positions for them
+too; and not only the members of his own family but those of allied
+families and of families related to it by marriage. In contrast the Toba
+had a patriarchal nuclear family system; as nomad warriors with no fixed
+abode, they were unable to form extended family groups. Among them the
+individual was much more independent; each one tried to do his best for
+himself. No Toba thought of collecting <!-- Page 139 --><span class='pagenum'><a name="Page_139" id="Page_139">[Pg 139]</a></span>a large clique around himself;
+everybody should be the artificer of his own fortune. Thus, when a
+Chinese obtained an official post, he was followed by countless others;
+but when a Toba had a position he remained alone, and so the
+sinification of the Toba empire went on incessantly.</p>
+
+
+<p class="sect">2 <i>The Hun kingdom of the Hsia (407-431)</i></p>
+
+<p>At the rebuilding of the Toba empire, however, a good many Hun tribes
+withdrew westward into the Ordos region beyond the reach of the Toba,
+and there they formed the Hun "Hsia" kingdom. Its ruler, Ho-lien
+P'o-p'o, belonged to the family of Mao Tun and originally, like Liu
+Y&uuml;an, bore the sinified family name Liu; but he altered this to a Hun
+name, taking the family name of Ho-lien. This one fact alone
+demonstrates that the Hsia rejected Chinese culture and were
+nationalistic Hun. Thus there were now two realms in North China, one
+undergoing progressive sinification, the other falling back to the old
+traditions of the Huns.</p>
+
+
+<p class="sect">3 <i>Rise of the Toba to a great Power</i></p>
+
+<p>The present province of Szechwan, in the west, had belonged to Fu
+Chien's empire. At the break-up of the Tibetan state that province
+passed to the southern Chinese empire and gave the southern Chinese
+access, though it was very difficult access, to the caravan route
+leading to Turkestan. The small states in Kansu, which dominated the
+route, now passed on the traffic along two routes, one northward to the
+Toba and the other alien states in north China, the other through
+north-west Szechwan to south China. In this way the Kansu states were
+strengthened both economically and politically, for they were able to
+direct the commerce either to the northern states or to south China as
+suited them. When the South Chinese saw the break-up of Fu Chien's
+empire into numberless fragments, Liu Y&uuml;, who was then all-powerful at
+the South Chinese court, made an attempt to conquer the whole of western
+China. A great army was sent from South China into the province of
+Shensi, where the Tibetan empire of the "Later Ch'in" was situated. The
+Ch'in appealed to the Toba for help, but the Toba were themselves too
+hotly engaged to be able to spare troops. They also considered that
+South China would be unable to maintain these conquests, and that they
+themselves would find them later an easy prey. Thus in 417 the state of
+"Later Ch'in" received a mortal blow from the South Chinese army. Large
+numbers of the upper class fled to the Toba. As had been <!-- Page 140 --><span class='pagenum'><a name="Page_140" id="Page_140">[Pg 140]</a></span>foreseen, the
+South Chinese were unable to maintain their hold over the conquered
+territory, and it was annexed with ease by the Hun Ho-lien P'o-p'o. But
+why not by the Toba?</p>
+
+<p>Towards the end of the fourth century, vestiges of Hun, Hsien-pi, and
+other tribes had united in Mongolia to form the new people of the
+Juan-juan (also called Ju-juan or Jou-jan). Scholars disagree as to
+whether the Juan-juan were Turks or Mongols; European investigators
+believe them to have been identical with the Avars who appeared in the
+Near East in 558 and later in Europe, and are inclined, on the strength
+of a few vestiges of their language, to regard them as Mongols.
+Investigations concerning the various tribes, however, show that among
+the Juan-juan there were both Mongol and Turkish tribes, and that the
+question cannot be decided in favour of either group. Some of the tribes
+belonging to the Juan-juan had formerly lived in China. Others had lived
+farther north or west and came into the history of the Far East now for
+the first time.</p>
+
+<p>This Juan-juan people threatened the Toba in the rear, from the north.
+It made raids into the Toba empire for the same reasons for which the
+Huns in the past had raided agrarian China; for agriculture had made
+considerable progress in the Toba empire. Consequently, before the Toba
+could attempt to expand southward, the Juan-juan peril must be removed.
+This was done in the end, after a long series of hard and not always
+successful struggles. That was why the Toba had played no part in the
+fighting against South China, and had been unable to take immediate
+advantage of that fighting.</p>
+
+<p>After 429 the Juan-juan peril no longer existed, and in the years that
+followed the whole of the small states of the west were destroyed, one
+after another, by the Toba&mdash;the "Hsia kingdom" in 431, bringing down
+with it the "Western Ch'in", and the "Northern Liang" in 439. The
+non-Chinese elements of the population of those countries were moved
+northwards and served the Toba as soldiers; the Chinese also, especially
+the remains of the Kansu "Western Liang" state (conquered in 420), were
+enslaved, and some of them transferred to the north. Here again,
+however, the influence of the Chinese gentry made itself felt after a
+short time. As we know, the Chinese of "Western Liang" in Kansu had
+originally migrated there from eastern China. Their eastern relatives
+who had come under Toba rule through the conquest of eastern China and
+who through their family connections with Chinese officials of the Toba
+empire had found safety, brought their influence to bear on behalf of
+the Chinese of Kansu, so that several families regained office and
+social standing.<!-- Page 141 --><span class='pagenum'><a name="Page_141" id="Page_141">[Pg 141]</a></span></p>
+
+<div class="center">
+<a name="image09" id="image09"></a>
+<img src="images/image09.png" width="600" height="376"
+alt="Map 4: The Toba empire"
+title="Map 4: The Toba empire" />
+<p class="caption">Map 4: The Toba empire (about A.D. 500)
+
+</p>
+</div>
+<p><!-- Page 142 --><span class='pagenum'><a name="Page_142" id="Page_142">[Pg 142]</a></span></p>
+<p>Their expansion into Kansu gave the Toba control of the commerce with
+Turkestan, and there are many mentions of tribute missions to the Toba
+court in the years that followed, some even from India. The Toba also
+spread in the east. And finally there was fighting with South China
+(430-431), which brought to the Toba empire a large part of the province
+of Honan with the old capital, Loyang. Thus about 440 the Toba must be
+described as the most powerful state in the Far East, ruling the whole
+of North China.</p>
+
+
+<p class="sect">4 <i>Economic and social conditions</i></p>
+
+<p>The internal changes of which there had only been indications in the
+first period of the Toba empire now proceeded at an accelerated pace.
+There were many different factors at work. The whole of the civil
+administration had gradually passed into Chinese hands, the Toba
+retaining only the military administration. But the wars in the south
+called for the services of specialists in fortification and in infantry
+warfare, who were only to be found among the Chinese. The growing
+influence of the Chinese was further promoted by the fact that many Toba
+families were exterminated in the revolts of the tribal chieftains, and
+others were wiped out in the many battles. Thus the Toba lost ground
+also in the military administration.</p>
+
+<p>The wars down to <span class="smcap">A.D.</span> 440 had been large-scale wars of
+conquest, lightning campaigns that had brought in a great deal of booty.
+With their loot the Toba developed great magnificence and luxury. The
+campaigns that followed were hard and long-drawn-out struggles,
+especially against South China, where there was no booty, because the
+enemy retired so slowly that they could take everything with them. The
+Toba therefore began to be impoverished, because plunder was the main
+source of their wealth. In addition to this, their herds gradually
+deteriorated, for less and less use was made of them; for instance,
+horses were little required for the campaign against South China, and
+there was next to no fighting in the north. In contrast with the
+impoverishment of the Toba, the Chinese gentry grew not only more
+powerful but more wealthy.</p>
+
+<p>The Toba seem to have tried to prevent this development by introducing
+the famous "land equalization system" <i>(ch&uuml;n-t'ien)</i>, one of their most
+important innovations. The direct purposes of this measure were to
+resettle uprooted farm population; to prevent further migrations of
+farmers; and to raise production and taxes. The founder of this system
+was Li An-shih, member of a Toba family and later husband of an imperial
+princess. The plan was basically accepted in 477, put into action in
+485, and remained the <!-- Page 143 --><span class='pagenum'><a name="Page_143" id="Page_143">[Pg 143]</a></span>land law until <i>c</i>. 750. Every man and every
+woman had a right to receive a certain amount of land for life-time.
+After their death, the land was redistributed. In addition to this
+"personal land" there was so-called "mulberry land" on which farmers
+could plant mulberries for silk production; but they also could plant
+other crops under the trees. This land could be inherited from father to
+son and was not redistributed. Incidentally we know many similar
+regulations for trees in the Near East and Central Asia. As the tax was
+levied upon the personal land in form of grain, and on the tree land in
+form of silk, this regulation stimulated the cultivation of diversified
+crops on the tree land which then was not taxable. The basic idea behind
+this law was, that all land belonged to the state, a concept for which
+the Toba could point to the ancient Chou but which also fitted well for
+a dynasty of conquest. The new "<i>ch&uuml;n-t'ien</i>" system required a complete
+land and population survey which was done in the next years. We know
+from much later census fragments that the government tried to enforce
+this equalization law, but did not always succeed; we read statements
+such as "X has so and so much land; he has a claim on so and so much
+land and, therefore, has to get so and so much"; but there are no
+records that X ever received the land due to him.</p>
+
+<p>One consequence of the new land law was a legal fixation of the social
+classes. Already during Han time (and perhaps even earlier) a
+distinction had been made between "free burghers" <i>(liang-min)</i> and
+"commoners" <i>(ch'ien-min)</i>. This distinction had continued as informal
+tradition until, now, it became a legal concept. Only "burghers", i.e.
+gentry and free farmers, were real citizens with all rights of a free
+man. The "commoners" were completely or partly unfree and fell under
+several heads. Ranking as the lowest class were the real slaves (<i>nu</i>),
+divided into state and private slaves. By law, slaves were regarded as
+pieces of property, not as members of human society. They were, however,
+forced to marry and thus, as a class, were probably reproducing at a
+rate similar to that of the normal population, while slaves in Europe
+reproduced at a lower rate than the population. The next higher class
+were serfs (<i>fan-hu</i>), hereditary state servants, usually descendants of
+state slaves. They were obliged to work three months during the year for
+the state and were paid for this service. They were not registered in
+their place of residence but under the control of the Ministry of
+Agriculture which distributed them to other offices, but did not use
+them for farm work. Similar in status to them were the private bondsmen
+(<i>pu-ch'&uuml;</i>), hereditarily attached to gentry families. These serfs
+received only 50 per cent of the land which a free burgher received
+under the land law. Higher than these were the service <!-- Page 144 --><span class='pagenum'><a name="Page_144" id="Page_144">[Pg 144]</a></span>families
+(<i>tsa-hu</i>) who were registered in their place of residence, but had to
+perform certain services; here we find "tomb families" who cared for the
+imperial tombs, "shepherd families", postal families, kiln families,
+soothsayer families, medical families, and musician families. Each of
+these categories of commoners had its own laws; each had to marry within
+the category. No intermarriage or adoption was allowed. It is
+interesting to observe that a similar fixation of the social status of
+citizens occurred in the Roman Empire from <i>c.</i> <span class="smcap">A.D.</span> 300 on.</p>
+
+<p>Thus in the years between 440 and 490 there were great changes not only
+in the economic but in the social sphere. The Toba declined in number
+and influence. Many of them married into rich families of the Chinese
+gentry and regarded themselves as no longer belonging to the Toba. In
+the course of time the court was completely sinified.</p>
+
+<p>The Chinese at the court now formed the leading element, and they tried
+to persuade the emperor to claim dominion over all China, at least in
+theory, by installing his capital in Loyang, the old centre of China.
+This transfer had the advantage for them personally that the territories
+in which their properties were situated were close to that capital, so
+that the grain they produced found a ready market. And it was indeed no
+longer possible to rule the great Toba empire, now covering the whole of
+North China from North Shansi. The administrative staff was so great
+that the transport system was no longer able to bring in sufficient
+food. For the present capital did not lie on a navigable river, and all
+the grain had to be carted, an expensive and unsafe mode of transport.
+Ultimately, in 493-4, the Chinese gentry officials secured the transfer
+of the capital to Loyang. In the years 490 to 499 the Toba emperor Wen
+Ti (471-499) took further decisive steps required by the stage reached
+in internal development. All aliens were prohibited from using their own
+language in public life. Chinese became the official language. Chinese
+clothing and customs also became general. The system of administration
+which had largely followed a pattern developed by the Wei dynasty in the
+early third century, was changed and took a form which became the model
+for the T'ang dynasty in the seventh century. It is important to note
+that in this period, for the first time, an office for religious affairs
+was created which dealt mainly with Buddhistic monasteries. While after
+the Toba period such an office for religious affairs disappeared again,
+this idea was taken up later by Japan when Japan accepted a Chinese-type
+of administration.</p>
+
+<div class="center">
+<a name="image10" id="image10"></a>
+<img src="images/image10.jpg" width="388" height="600"
+alt="6 Sun Ch&#39;&uuml;an, ruler of Wu. From a painting by Yen
+Li-pen (c. 640-680)."
+title="6 Sun Ch&#39;&uuml;an, ruler of Wu." />
+<p class="caption">6 Sun Ch&#39;&uuml;an, ruler of Wu. <br /><i>From a painting by Yen
+Li-pen (<i>c.</i> 640-680).</i></p>
+</div>
+
+<div class="center">
+<a name="image11" id="image11"></a>
+<img src="images/image11.jpg" width="600" height="463"
+alt="7 General view of the Buddhist cave-temples of Y&uuml;n-kang."
+title="7 General view of the Buddhist cave-temples of Y&uuml;n-kang." />
+<p class="caption">7 General view of the Buddhist cave-temples of Y&uuml;n-kang.
+In the foreground, the present village; in the background, the rampart.<br />
+<i>Photo H.&nbsp;Hammer-Morrisson.</i></p>
+</div>
+
+<p>Owing to his bringing up, the emperor no longer regarded himself as Toba
+but as Chinese; he adopted the Chinese culture, <!-- Page 145 --><span class='pagenum'><a name="Page_145" id="Page_145">[Pg 145]</a></span>acting as he was bound
+to do if he meant to be no longer an alien ruler in North China. Already
+he regarded himself as emperor of all China, so that the South Chinese
+empire was looked upon as a rebel state that had to be conquered. While,
+however, he succeeded in everything else, the campaign against the south
+failed except for some local successes.</p>
+
+<p>The transfer of the capital to Loyang was a blow to the Toba nobles.
+Their herds became valueless, for animal products could not be carried
+over the long distance to the new capital. In Loyang the Toba nobles
+found themselves parted from their tribes, living in an unaccustomed
+climate and with nothing to do, for all important posts were occupied by
+Chinese. The government refused to allow them to return to the north.
+Those who did not become Chinese by finding their way into Chinese
+families grew visibly poorer and poorer.</p>
+
+
+<p class="sect">5 <i>Victory and retreat of Buddhism</i></p>
+
+<p>What we said in regard to the religious position of the other alien
+peoples applied also to the Toba. As soon, however, as their empire
+grew, they, too, needed an "official" religion of their own. For a few
+years they had continued their old sacrifices to Heaven; then another
+course opened to them. The Toba, together with many Chinese living in
+the Toba empire, were all captured by Buddhism, and especially by its
+shamanist element. One element in their preference of Buddhism was
+certainly the fact that Buddhism accepted all foreigners alike&mdash;both the
+Toba and the Chinese were "foreign" converts to an essentially Indian
+religion; whereas the Confucianist Chinese always made the non-Chinese
+feel that in spite of all their attempts they were still "barbarians"
+and that only real Chinese could be real Confucianists.</p>
+
+<p>Secondly, it can be assumed that the Toba rulers by fostering Buddhism
+intended to break the power of the Chinese gentry. A few centuries
+later, Buddhism was accepted by the Tibetan kings to break the power of
+the native nobility, by the Japanese to break the power of a federation
+of noble clans, and still later by the Burmese kings for the same
+reason. The acceptance of Buddhism by rulers in the Far East always
+meant also an attempt to create a more autocratic, absolutistic r&eacute;gime.
+Mahayana Buddhism, as an ideal, desired a society without clear-cut
+classes under one enlightened ruler; in such a society all believers
+could strive to attain the ultimate goal of salvation.</p>
+
+<p>Throughout the early period of Buddhism in the Far East, the question
+had been discussed what should be the relations between <!-- Page 146 --><span class='pagenum'><a name="Page_146" id="Page_146">[Pg 146]</a></span>the Buddhist
+monks and the emperor, whether they were subject to him or not. This was
+connected, of course, with the fact that to the early fourth century the
+Buddhist monks were foreigners who, in the view prevalent in the Far
+East, owed only a limited allegiance to the ruler of the land. The
+Buddhist monks at the Toba court now submitted to the emperor, regarding
+him as a reincarnation of Buddha. Thus the emperor became protector of
+Buddhism and a sort of god. This combination was a good substitute for
+the old Chinese theory that the emperor was the Son of Heaven; it
+increased the prestige and the splendour of the dynasty. At the same
+time the old shamanism was legitimized under a Buddhist
+reinterpretation. Thus Buddhism became a sort of official religion. The
+emperor appointed a Buddhist monk as head of the Buddhist state church,
+and through this "Pope" he conveyed endowments on a large scale to the
+church. T'an-yao, head of the state church since 460, induced the state
+to attach state slaves, i.e. enslaved family members of criminals, and
+their families to state temples. They were supposed to work on temple
+land and to produce for the upkeep of the temples and monasteries. Thus,
+the institution of "temple slaves" was created, an institution which
+existed in South Asia and Burma for a long time, and which greatly
+strengthened the economic position of Buddhism.</p>
+
+<p>Like all Turkish peoples, the Toba possessed a myth according to which
+their ancestors came into the world from a sacred grotto. The Buddhists
+took advantage of this conception to construct, with money from the
+emperor, the vast and famous cave-temple of Y&uuml;n-kang, in northern
+Shansi. If we come from the bare plains into the green river valley, we
+may see to this day hundreds of caves cut out of the steep cliffs of the
+river bank. Here monks lived in their cells, worshipping the deities of
+whom they had thousands of busts and reliefs sculptured in stone, some
+of more than life-size, some diminutive. The majestic impression made
+today by the figures does not correspond to their original effect, for
+they were covered with a layer of coloured stucco.</p>
+
+<p>We know only few names of the artists and craftsmen who made these
+objects. Probably some at least were foreigners from Turkestan, for in
+spite of the predominantly Chinese character of these sculptures, some
+of them are reminiscent of works in Turkestan and even in the Near East.
+In the past the influences of the Near East on the Far East&mdash;influences
+traced back in the last resort to Greece&mdash;were greatly exaggerated; it
+was believed that Greek art, carried through Alexander's campaign as far
+as the present Afghanistan, degenerated there in the hands of Indian
+imitators (the so-called Gandhara art) and ultimately passed on in more
+and <!-- Page 147 --><span class='pagenum'><a name="Page_147" id="Page_147">[Pg 147]</a></span>more distorted forms through Turkestan to China. Actually, however,
+some eight hundred years lay between Alexander's campaign and the Toba
+period sculptures at Y&uuml;n-kang and, owing to the different cultural
+development, the contents of the Greek and the Toba-period art were
+entirely different. We may say, therefore, that suggestions came from
+the centre of the Greco-Bactrian culture (in the present Afghanistan)
+and were worked out by the Toba artists; old forms were filled with a
+new content, and the elements in the reliefs of Y&uuml;n-kang that seem to us
+to be non-Chinese were the result of this synthesis of Western
+inspiration and Turkish initiative. It is interesting to observe that
+all steppe rulers showed special interest in sculpture and, as a rule,
+in architecture; after the Toba period, sculpture flourished in China in
+the T'ang period, the period of strong cultural influence from Turkish
+peoples, and there was a further advance of sculpture and of the
+cave-dwellers' worship in the period of the "Five Dynasties" (906-960;
+three of these dynasties were Turkish) and in the Mongol period.</p>
+
+<p>But not all Buddhists joined the "Church", just as not all Taoists had
+joined the Church of Chang Ling's Taoism. Some Buddhists remained in the
+small towns and villages and suffered oppression from the central
+Church. These village Buddhist monks soon became instigators of a
+considerable series of attempts at revolution. Their Buddhism was of the
+so-called "Maitreya school", which promised the appearance on earth of a
+new Buddha who would do away with all suffering and introduce a Golden
+Age. The Chinese peasantry, exploited by the gentry, came to the support
+of these monks whose Messianism gave the poor a hope in this world. The
+nomad tribes also, abandoned by their nobles in the capital and
+wandering in poverty with their now worthless herds, joined these monks.
+We know of many revolts of Hun and Toba tribes in this period, revolts
+that had a religious appearance but in reality were simply the result of
+the extreme impoverishment of these remaining tribes.</p>
+
+<p>In addition to these conflicts between state and popular Buddhism,
+clashes between Buddhists and representatives of organized Taoism
+occurred. Such fights, however, reflected more the power struggle
+between cliques than between religious groups. The most famous incident
+was the action against the Buddhists in 446 which brought destruction to
+many temples and monasteries and death to many monks. Here, a mighty
+Chinese gentry faction under the leadership of the Ts'ui family had
+united with the Taoist leader K'ou Ch'ien-chih against another faction
+under the leadership of the crown prince.<!-- Page 148 --><span class='pagenum'><a name="Page_148" id="Page_148">[Pg 148]</a></span></p>
+
+<p>With the growing influence of the Chinese gentry, however, Confucianism
+gained ground again, until with the transfer of the capital to Loyang it
+gained a complete victory, taking the place of Buddhism and becoming
+once more as in the past the official religion of the state. This
+process shows us once more how closely the social order of the gentry
+was associated with Confucianism.</p>
+
+
+
+<h3>(E) Succession States of the Toba (<span class="smcap">A.D.</span> 550-580): Northern Ch'i
+dynasty, Northern Chou dynasty</h3>
+
+
+<p class="sect">1 <i>Reasons for the splitting of the Toba empire</i></p>
+
+<p>Events now pursued their logical course. The contrast between the
+central power, now become entirely Chinese, and the remains of the
+tribes who were with their herds mainly in Shansi and the Ordos region
+and were hopelessly impoverished, grew more and more acute. From 530
+onward the risings became more and more formidable. A few Toba who still
+remained with their old tribes placed themselves at the head of the
+rebels and conquered not only the whole of Shansi but also the capital,
+where there was a great massacre of Chinese and pro-Chinese Toba. The
+rebels were driven back; in this a man of the Kao family distinguished
+himself, and all the Chinese and pro-Chinese gathered round him. The Kao
+family, which may have been originally a Hsien-pi family, had its
+estates in eastern China and so was closely associated with the eastern
+Chinese gentry, who were the actual rulers of the Toba State. In 534
+this group took the impotent emperor of their own creation to the city
+of Yeh in the east, where he reigned <i>de jure</i> for a further sixteen
+years. Then he was deposed, and Kao Yang made himself the first emperor
+of the Northern Ch'i dynasty (550-577).</p>
+
+<p>The national Toba group, on the other hand, found another man of the
+imperial family and established him in the west. After a short time this
+puppet was removed from the throne and a man of the Y&uuml;-wen family made
+himself emperor, founding the "Northern Chou dynasty" (557-580). The
+Hsien-pi family of Y&uuml;-wen was a branch of the Hsien-pi, but was closely
+connected with the Huns and probably of Turkish origin. All the still
+existing remains of Toba tribes who had eluded sinification moved into
+this western empire.</p>
+
+<p>The splitting of the Toba empire into these two separate realms was the
+result of the policy embarked on at the foundation of the empire. Once
+the tribal chieftains and nobles had been separated from their tribes
+and organized militarily, it was inevitable that the two elements should
+have different social destinies. The nobles <!-- Page 149 --><span class='pagenum'><a name="Page_149" id="Page_149">[Pg 149]</a></span>could not hold their own
+against the Chinese; if they were not actually eliminated in one way or
+another, they disappeared into Chinese families. The rest, the people of
+the tribe, became destitute and were driven to revolt. The northern
+peoples had been unable to perpetuate either their tribal or their
+military organization, and the Toba had been equally unsuccessful in
+their attempt to perpetuate the two forms of organization alongside each
+other.</p>
+
+<p>These social processes are of particular importance because the ethnical
+disappearance of the northern peoples in China had nothing to do with
+any racial inferiority or with any particular power of assimilation; it
+was a natural process resulting from the different economic, social, and
+cultural organizations of the northern peoples and the Chinese.</p>
+
+
+<p class="sect">2 <i>Appearance of the (G&ouml;k) Turks</i></p>
+
+<p>The Toba had liberated themselves early in the fifth century from the
+Juan-juan peril. None of the fighting that followed was of any great
+importance. The Toba resorted to the old means of defence against
+nomads&mdash;they built great walls. Apart from that, after their move
+southward to Loyang, their new capital, they were no longer greatly
+interested in their northern territories. When the Toba empire split
+into the Ch'i and the Northern Chou, the remaining Juan-juan entered
+into treaties first with one realm and then with the other: each realm
+wanted to secure the help of the Juan-juan against the other.</p>
+
+<p>Meanwhile there came unexpectedly to the fore in the north a people
+grouped round a nucleus tribe of Huns, the tribal union of the
+"T'u-ch&uuml;eh", that is to say the G&ouml;k Turks, who began to pursue a policy
+of their own under their khan. In 546 they sent a mission to the western
+empire, then in the making, of the Northern Chou, and created the first
+bonds with it, following which the Northern Chou became allies of the
+Turks. The eastern empire, Ch'i, accordingly made terms with the
+Juan-juan, but in 552 the latter suffered a crushing defeat at the hands
+of the Turks, their former vassals. The remains of the Juan-juan either
+fled to the Ch'i state or went reluctantly into the land of the Chou.
+Soon there was friction between the Juan-juan and the Ch'i, and in 555
+the Juan-juan in that state were annihilated. In response to pressure
+from the Turks, the Juan-juan in the western empire of the Northern Chou
+were delivered up to them and killed in the same year. The Juan-juan
+then disappeared from the history of the Far East. They broke up into
+their several tribes, some of which were admitted into the Turks' tribal
+league. A few years later the Turks <!-- Page 150 --><span class='pagenum'><a name="Page_150" id="Page_150">[Pg 150]</a></span>also annihilated the Ephthalites,
+who had been allied with the Juan-juan; this made the Turks the dominant
+power in Central Asia. The Ephthalites (Yeh-ta, Haytal) were a mixed
+group which contained elements of the old Y&uuml;eh-chih and spoke an
+Indo-European language. Some scholars regard them as a branch of the
+Tocharians of Central Asia. One menace to the northern states of China
+had disappeared&mdash;that of the Juan-juan. Their place was taken by a much
+more dangerous power, the Turks.</p>
+
+
+<p class="sect">3 <i>The Northern Ch'i dynasty; the Northern Chou dynasty</i></p>
+
+<p>In consequence of this development the main task of the Northern Chou
+state consisted in the attempt to come to some settlement with its
+powerful Turkish neighbours, and meanwhile to gain what it could from
+shrewd negotiations with its other neighbours. By means of intrigues and
+diplomacy it intervened with some success in the struggles in South
+China. One of the pretenders to the throne was given protection; he was
+installed in the present Hankow as a quasi-feudal lord depending on
+Chou, and there he founded the "Later Liang dynasty" (555-587). In this
+way Chou had brought the bulk of South China under its control without
+itself making any real contribution to that result.</p>
+
+<p>Unlike the Chinese state of Ch'i, Chou followed the old Toba tradition.
+Old customs were revived, such as the old sacrifice to Heaven and the
+lifting of the emperor on to a carpet at his accession to the throne;
+family names that had been sinified were turned into Toba names again,
+and even Chinese were given Toba names; but in spite of this the inner
+cohesion had been destroyed. After two centuries it was no longer
+possible to go back to the old nomad, tribal life. There were also too
+many Chinese in the country, with whom close bonds had been forged
+which, in spite of all attempts, could not be broken. Consequently there
+was no choice but to organize a state essentially similar to that of the
+great Toba empire.</p>
+
+<p>There is just as little of importance that can be said of the internal
+politics of the Ch'i dynasty. The rulers of that dynasty were thoroughly
+repulsive figures, with no positive achievements of any sort to their
+credit. Confucianism had been restored in accordance with the Chinese
+character of the state. It was a bad time for Buddhists, and especially
+for the followers of the popularized Taoism. In spite of this, about
+<span class="smcap">A.D.</span> 555 great new Buddhist cave-temples were created in
+Lung-men, near Loyang, in imitation of the famous temples of Y&uuml;n-kang.</p>
+
+<p>The fighting with the western empire, the Northern Chou state, <!-- Page 151 --><span class='pagenum'><a name="Page_151" id="Page_151">[Pg 151]</a></span>still
+continued, and Ch'i was seldom successful. In 563 Chou made preparations
+for a decisive blow against Ch'i, but suffered defeat because the Turks,
+who had promised aid, gave none and shortly afterwards began campaigns
+of their own against Ch'i. In 571 Ch'i had some success in the west
+against Chou, but then it lost parts of its territory to the South
+Chinese empire, and finally in 576-7 it was defeated by Chou in a great
+counter-offensive. Thus for some three years all North China was once
+more under a single rule, though of nothing approaching the strength of
+the Toba at the height of their power. For in all these campaigns the
+Turks had played an important part, and at the end they annexed further
+territory in the north of Ch'i, so that their power extended far into
+the east.</p>
+
+<p>Meanwhile intrigue followed intrigue at the court of Chou; the mutual
+assassinations within the ruling group were as incessant as in the last
+years of the great Toba empire, until the real power passed from the
+emperor and his Toba entourage to a Chinese family, the Yang. Yang
+Chien's daughter was the wife of a Chou emperor; his son was married to
+a girl of the Hun family Tu-ku; her sister was the wife of the father of
+the Chou emperor. Amid this tangled relationship in the imperial house
+it is not surprising that Yang Chien should attain great power. The
+Tu-ku were a very old family of the Hun nobility; originally the name
+belonged to the Hun house from which the <i>shan-y&uuml;</i> had to be descended.
+This family still observed the traditions of the Hun rulers, and
+relationship with it was regarded as an honour even by the Chinese.
+Through their centuries of association with aristocratically organized
+foreign peoples, some of the notions of nobility had taken root among
+the Chinese gentry; to be related with old ruling houses was a welcome
+means of evidencing or securing a position of special distinction among
+the gentry. Yang Chien gained useful prestige from his family
+connections. After the leading Chinese cliques had regained predominance
+in the Chou empire, much as had happened before in the Toba empire, Yang
+Chien's position was strong enough to enable him to massacre the members
+of the imperial family and then, in 581, to declare himself emperor.
+Thus began the Sui dynasty, the first dynasty that was once more to rule
+all China.</p>
+
+<p>But what had happened to the Toba? With the ending of the Chou empire
+they disappeared for all time, just as the Juan-juan had done a little
+earlier. So far as the tribes did not entirely disintegrate, the people
+of the tribes seem during the last years of Toba and Chou to have joined
+Turkish and other tribes. In any case, nothing more is heard of them as
+a people, and they themselves <!-- Page 152 --><span class='pagenum'><a name="Page_152" id="Page_152">[Pg 152]</a></span>lived on under the name of the tribe that
+led the new tribal league.</p>
+
+<p>Most of the Toba nobility, on the other hand, became Chinese. This
+process can be closely followed in the Chinese annals. The tribes that
+had disintegrated in the time of the Toba empire broke up into families
+of which some adopted the name of the tribe as their family name, while
+others chose Chinese family names. During the centuries that followed,
+in some cases indeed down to modern times, these families continue to
+appear, often playing an important part in Chinese history.</p>
+
+
+
+<h3>(F) The Southern Empires</h3>
+
+
+<p class="sect">1 <i>Economic and social situation in the south</i></p>
+
+<p>During the 260 years of alien rule in North China, the picture of South
+China also was full of change. When in 317 the Huns had destroyed the
+Chinese Chin dynasty in the north, a Chin prince who normally would not
+have become heir to the throne declared himself, under the name Y&uuml;an Ti,
+the first emperor of the "Eastern Chin dynasty" (317-419). The capital
+of this new southern empire adjoined the present Nanking. Countless
+members of the Chinese gentry had fled from the Huns at that time and
+had come into the southern empire. They had not done so out of loyalty
+to the Chinese dynasty or out of national feeling, but because they saw
+little prospect of attaining rank and influence at the courts of the
+alien rulers, and because it was to be feared that the aliens would turn
+the fields into pasturage, and also that they would make an end of the
+economic and monetary system which the gentry had evolved for their own
+benefit.</p>
+
+<p>But the south was, of course, not uninhabited. There were already two
+groups living there&mdash;the old autochthonous population, consisting of
+Yao, Tai and Y&uuml;eh, and the earlier Chinese immigrants from the north,
+who had mainly arrived in the time of the Three Kingdoms, at the
+beginning of the third century <span class="smcap">A.D.</span> The countless new
+immigrants now came into sharp conflict with the old-established earlier
+immigrants. Each group looked down on the other and abused it. The two
+immigrant groups in particular not only spoke different dialects but had
+developed differently in respect to manners and customs. A look for
+example at Formosa in the years after 1948 will certainly help in an
+understanding of this situation: analogous tensions developed between
+the new refugees, the old Chinese immigrants, and the native Formosan
+population. But let us return to the southern empires.</p>
+
+<p>The two immigrant groups also differed economically and <!-- Page 153 --><span class='pagenum'><a name="Page_153" id="Page_153">[Pg 153]</a></span>socially: the
+old immigrants were firmly established on the large properties they had
+acquired, and dominated their tenants, who were largely autochthones; or
+they had engaged in large-scale commerce. In any case, they possessed
+capital, and more capital than was usually possessed by the gentry of
+the north. Some of the new immigrants, on the other hand, were military
+people. They came with empty hands, and they had no land. They hoped
+that the government would give them positions in the military
+administration and so provide them with means; they tried to gain
+possession of the government and to exclude the old settlers as far as
+possible. The tension was increased by the effect of the influx of
+Chinese in bringing more land into cultivation, thus producing a boom
+period such as is produced by the opening up of colonial land. Everyone
+was in a hurry to grab as much land as possible. There was yet a further
+difference between the two groups of Chinese: the old settlers had long
+lost touch with the remainder of their families in the north. They had
+become South Chinese, and all their interests lay in the south. The new
+immigrants had left part of their families in the north under alien
+rule. Their interests still lay to some extent in the north. They were
+working for the reconquest of the north by military means; at times
+individuals or groups returned to the north, while others persuaded the
+rest of their relatives to come south. It would be wrong to suppose that
+there was no inter-communication between the two parts into which China
+had fallen. As soon as the Chinese gentry were able to regain any
+footing in the territories under alien rule, the official relations,
+often those of belligerency, proceeded alongside unofficial intercourse
+between individual families and family groupings, and these latter were,
+as a rule, in no way belligerent.</p>
+
+<p>The lower stratum in the south consisted mainly of the remains of the
+original non-Chinese population, particularly in border and southern
+territories which had been newly annexed from time to time. In the
+centre of the southern state the way of life of the non-Chinese was very
+quickly assimilated to that of the Chinese, so that the aborigines were
+soon indistinguishable from Chinese. The remaining part of the lower
+class consisted of impoverished Chinese peasants. This whole lower
+section of the population rarely took any active and visible part in
+politics, except at times in the form of great popular risings.</p>
+
+<p>Until the third century, the south had been of no great economic
+importance, in spite of the good climate and the extraordinary fertility
+of the Yangtze valley. The country had been too thinly settled, and the
+indigenous population had not become adapted to organized trade. After
+the move southward of the Chin dynasty <!-- Page 154 --><span class='pagenum'><a name="Page_154" id="Page_154">[Pg 154]</a></span>the many immigrants had made the
+country of the lower Yangtze more thickly populated, but not
+over-populated. The top-heavy court with more than the necessary number
+of officials (because there was still hope for a re-conquest of the
+north which would mean many new jobs for administrators) was a great
+consumer; prices went up and stimulated local rice production. The
+estates of the southern gentry yielded more than before, and naturally
+much more than the small properties of the gentry in the north where,
+moreover, the climate is far less favourable. Thus the southern
+landowners were able to acquire great wealth, which ultimately made
+itself felt in the capital.</p>
+
+<p>One very important development was characteristic in this period in the
+south, although it also occurred in the north. Already in pre-Han times,
+some rulers had gardens with fruit trees. The Han emperors had large
+hunting parks which were systematically stocked with rare animals; they
+also had gardens and hot-houses for the production of vegetables for the
+court. These "gardens" (<i>y&uuml;an</i>) were often called "manors" (<i>pieh-yeh</i>)
+and consisted of fruit plantations with luxurious buildings. We hear
+soon of water-cooled houses for the gentry, of artificial ponds for
+pleasure and fish breeding, artificial water-courses, artificial
+mountains, bamboo groves, and parks with parrots, ducks, and large
+animals. Here, the wealthy gentry of both north and south, relaxed from
+government work, surrounded by their friends and by women. These manors
+grew up in the hills, on the "village commons" where formerly the
+villagers had collected their firewood and had grazed their animals.
+Thus, the village commons begin to disappear. The original farm land was
+taxed, because it produced one of the two products subject to taxation,
+namely grain or mulberry leaves for silk production. But the village
+common had been and remained tax-free because it did not produce taxable
+things. While land-holdings on the farmland were legally restricted in
+their size, the "gardens" were unrestricted. Around <span class="smcap">A.D.</span> 500
+the ruler allowed high officials to have manors of three hundred mou
+size, while in the north a family consisting of husband and wife and
+children below fifteen years of age were allowed a farm of sixty mou
+only; but we hear of manors which were many times larger than the
+allowed size of three hundred. These manors began to play an important
+economic role, too: they were cultivated by tenants and produced fishes,
+vegetables, fruit and bamboo for the market, thus they gave more income
+than ordinary rice or wheat land.</p>
+
+<p>With the creation of manors the total amount of land under cultivation
+increased, though not the amount of grain-producing <!-- Page 155 --><span class='pagenum'><a name="Page_155" id="Page_155">[Pg 155]</a></span>land. We gain the
+impression that from <i>c.</i> the third century <span class="smcap">A.D.</span> on to the
+eleventh century the intensity of cultivation was generally lower than
+in the period before.</p>
+
+<p>The period from <i>c</i>. <span class="smcap">A.D.</span> 300 on also seems to be the time of
+the second change in Chinese dietary habits. The first change occurred
+probably between 400 and 100 <span class="smcap">B.C.</span> when the meat-eating Chinese
+reduced their meat intake greatly, gave up eating beef and mutton and
+changed over to some pork and dog meat. This first change was the result
+of increase of population and decrease of available land for pasturage.
+Cattle breeding in China was then reduced to the minimum of one cow or
+water-buffalo per farm for ploughing. Wheat was the main staple for the
+masses of the people. Between <span class="smcap">A.D.</span> 300 and 600 rice became the
+main staple in the southern states although, theoretically, wheat could
+have been grown and some wheat probably was grown in the south. The
+vitamin and protein deficiencies which this change from wheat to rice
+brought forth, were made up by higher consumption of vegetables,
+especially beans, and partially also by eating of fish and sea food. In
+the north, rice became the staple food of the upper class, while wheat
+remained the main food of the lower classes. However, new forms of
+preparation of wheat, such as dumplings of different types, were
+introduced. The foreign rulers consumed more meat and milk products.
+Chinese had given up the use of milk products at the time of the first
+change, and took to them to some extent only in periods of foreign rule.</p>
+
+
+<p class="sect">2 <i>Struggles between cliques under the Eastern Chin dynasty</i>
+(<span class="smcap">A.D.</span> 317-419)</p>
+
+<p>The officials immigrating from the north regarded the south as colonial
+country, and so as more or less uncivilized. They went into its
+provinces in order to get rich as quickly as possible, and they had no
+desire to live there for long: they had the same dislike of a provincial
+existence as had the families of the big landowners. Thus as a rule the
+bulk of the families remained in the capital, close to the court.
+Thither the products accumulated in the provinces were sent, and they
+found a ready sale, as the capital was also a great and long-established
+trading centre with a rich merchant class. Thus in the capital there was
+every conceivable luxury and every refinement of civilization. The
+people of the gentry class, who were maintained in the capital by
+relatives serving in the provinces as governors or senior officers,
+themselves held offices at court, though these gave them little to do.
+They had time at their disposal, and made use of it&mdash;in much worse
+intrigues than ever <!-- Page 156 --><span class='pagenum'><a name="Page_156" id="Page_156">[Pg 156]</a></span>before, but also in music and poetry and in the
+social life of the harems. There is no question at all that the highest
+refinement of the civilization of the Far East between the fourth and
+the sixth century was to be found in South China, but the accompaniments
+of this over-refinement were terrible.</p>
+
+<p>We cannot enter into all the intrigues recorded at this time. The
+details are, indeed, historically unimportant. They were concerned only
+with the affairs of the court and its entourage. Not a single ruler of
+the Eastern Chin dynasty possessed personal or political qualities of
+any importance. The rulers' power was extremely limited because, with
+the exception of the founder of the state, Y&uuml;an Ti, who had come rather
+earlier, they belonged to the group of the new immigrants, and so had no
+firm footing and were therefore caught at once in the net of the newly
+re-grouping gentry class.</p>
+
+<p>The emperor Y&uuml;an Ti lived to see the first great rising. This rising
+(under Wang Tun) started in the region of the present Hankow, a region
+that today is one of the most important in China; it was already a
+centre of special activity. To it lead all the trade routes from the
+western provinces of Szechwan and Kweichow and from the central
+provinces of Hupei, Hunan, and Kiangsi. Normally the traffic from those
+provinces comes down the Yangtze, and thus in practice this region is
+united with that of the lower Yangtze, the environment of Nanking, so
+that Hankow might just as well have been the capital as Nanking. For
+this reason, in the period with which we are now concerned the region of
+the present Hankow was several times the place of origin of great
+risings whose aim was to gain control of the whole of the southern
+empire.</p>
+
+<p>Wang Tun had grown rich and powerful in this region; he also had near
+relatives at the imperial court; so he was able to march against the
+capital. The emperor in his weakness was ready to abdicate but died
+before that stage was reached. His son, however, defeated Wang Tun with
+the aid of General Y&uuml; Liang (<span class="smcap">A.D.</span> 323). Y&uuml; Liang was the
+empress's brother; he, too, came from a northern family. Y&uuml;an Ti's
+successor also died early, and the young son of Y&uuml; Liang's sister came
+to the throne as Emperor Ch'eng (326-342); his mother ruled as regent,
+but Y&uuml; Liang carried on the actual business of government. Against this
+clique rose Su Ch&uuml;n, another member of the northern gentry, who had made
+himself leader of a bandit gang in <span class="smcap">A.D.</span> 300 but had then been
+given a military command by the dynasty. In 328 he captured the capital
+and kidnapped the emperor, but then fell before the counterthrust of the
+Y&uuml; Liang party. The domination of Y&uuml; Liang's clique continued after the
+death of the twenty-one-years-old emperor.<!-- Page 157 --><span class='pagenum'><a name="Page_157" id="Page_157">[Pg 157]</a></span> His twenty-year-old brother
+was set in his place; he, too, died two years later, and his
+two-year-old son became emperor (Mu Ti, 345-361).</p>
+
+<p>Meanwhile this clique was reinforced by the very important Huan family.
+This family came from the same city as the imperial house and was a very
+old gentry family of that city. One of the family attained a high post
+through personal friendship with Y&uuml; Liang: on his death his son Huan Wen
+came into special prominence as military commander.</p>
+
+<p>Huan Wen, like Wang Tun and others before him, tried to secure a firm
+foundation for his power, once more in the west. In 347 he reconquered
+Szechwan and deposed the local dynasty. Following this, Huan Wen and the
+Y&uuml; family undertook several joint campaigns against northern states&mdash;the
+first reaction of the south against the north, which in the past had
+always been the aggressor. The first fighting took place directly to the
+north, where the collapse of the "Later Chao" seemed to make
+intervention easy. The main objective was the regaining of the regions
+of eastern Honan, northern Anhwei and Kiangsu, in which were the family
+seats of Huan's and the emperor's families, as well as that of the Hsieh
+family which also formed an important group in the court clique. The
+purpose of the northern campaigns was not, of course, merely to defend
+private interests of court cliques: the northern frontier was the weak
+spot of the southern empire, for its plains could easily be overrun. It
+was then observed that the new "Earlier Ch'in" state was trying to
+spread from the north-west eastwards into this plain, and Ch'in was
+attacked in an attempt to gain a more favourable frontier territory.
+These expeditions brought no important practical benefit to the south;
+and they were not embarked on with full force, because there was only
+the one court clique at the back of them, and that not whole-heartedly,
+since it was too much taken up with the politics of the court.</p>
+
+<p>Huan Wen's power steadily grew in the period that followed. He sent his
+brothers and relatives to administer the regions along the upper
+Yangtze; those fertile regions were the basis of his power. In 371 he
+deposed the reigning emperor and appointed in his place a frail old
+prince who died a year later, as required, and was replaced by a child.
+The time had now come when Huan Wen might have ascended the throne
+himself, but he died. None of his family could assemble as much power as
+Huan Wen had done. The equality of strength of the Huan and the Hsieh
+saved the dynasty for a time.</p>
+
+<p>In 383 came the great assault of the Tibetan Fu Chien against <!-- Page 158 --><span class='pagenum'><a name="Page_158" id="Page_158">[Pg 158]</a></span>the
+south. As we know, the defence was carried out more by the methods of
+diplomacy and intrigue than by military means, and it led to the
+disaster in the north already described. The successes of the southern
+state especially strengthened the Hsieh family, whose generals had come
+to the fore. The emperor (Hsiao Wu Ti, 373-396), who had come to the
+throne as a child, played no part in events at any time during his
+reign. He occupied himself occasionally with Buddhism, and otherwise
+only with women and wine. He was followed by his five-year-old son. At
+this time there were some changes in the court clique. In the Huan
+family Huan Hs&uuml;an, a son of Huan Wen, came especially into prominence.
+He parted from the Hsieh family, which had been closest to the emperor,
+and united with the Wang (the empress's) and Yin families. The Wang, an
+old Shansi family, had already provided two empresses, and was therefore
+strongly represented at court. The Yin had worked at first with the
+Hsieh, especially as the two families came from the same region, but
+afterwards the Yin went over to Huan Hs&uuml;an. At first this new clique had
+success, but later one of its generals, Liu Lao-chih, went over to the
+Hsieh clique, and its power declined. Wang Kung was killed, and Yin
+Chung-k'an fell away from Huan Hs&uuml;an and was killed by him in 399. Huan
+Hs&uuml;an himself, however, held his own in the regions loyal to him. Liu
+Lao-chih had originally belonged to the Hsieh clique, and his family
+came from a region not far from that of the Hsieh. He was very
+ambitious, however, and always took the side which seemed most to his
+own interest. For a time he joined Huan Hs&uuml;an; then he went over to the
+Hsieh, and finally returned to Huan Hs&uuml;an in 402 when the latter reached
+the height of his power. At that moment Liu Lao-chih was responsible for
+the defence of the capital from Huan Hs&uuml;an, but instead he passed over
+to him. Thus Huan Hs&uuml;an conquered the capital, deposed the emperor, and
+began a dynasty of his own. Then came the reaction, led by an earlier
+subordinate of Liu Lao-chih, Liu Y&uuml;. It may be assumed that these two
+army commanders were in some way related, though the two branches of
+their family must have been long separated. Liu Y&uuml; had distinguished
+himself especially in the suppression of a great popular rising which,
+around the year 400, had brought wide stretches of Chinese territory
+under the rebels' power, beginning with the southern coast. This rising
+was the first in the south. It was led by members of a secret society
+which was a direct continuation of the "Yellow Turbans" of the latter
+part of the second century <span class="smcap">A.D.</span> and of organized church-Taoism.
+The whole course of this rising of the exploited and ill-treated lower
+classes was very similar to that of the popular rising of the "Yellow
+Turbans". The movement <!-- Page 159 --><span class='pagenum'><a name="Page_159" id="Page_159">[Pg 159]</a></span>spread as far as the neighbourhood of Canton,
+but in the end it was suppressed, mainly by Liu Y&uuml;.</p>
+
+<p>Through these achievements Liu Y&uuml;'s military power and political
+influence steadily increased; he became the exponent of all the cliques
+working against the Huan clique. He arranged for his supporters to
+dispose of Huan Hs&uuml;an's chief collaborators; and then, in 404, he
+himself marched on the capital. Huan Hs&uuml;an had to flee, and in his
+flight he was killed in the upper Yangtze region. The emperor was
+restored to his throne, but he had as little to say as ever, for the
+real power was Liu Y&uuml;'s.</p>
+
+<p>Before making himself emperor, Liu Y&uuml; began his great northern campaign,
+aimed at the conquest of the whole of western China. The Toba had
+promised to remain neutral, and in 415 he was able to conquer the "Later
+Ch'in" in Shensi. The first aim of this campaign was to make more
+accessible the trade routes to Central Asia, which up to now had led
+through the difficult mountain passes of Szechwan; to this end treaties
+of alliance had been concluded with the states in Kansu against the
+"Later Ch'in". In the second place, this war was intended to increase
+Liu Y&uuml;'s military strength to such an extent that the imperial crown
+would be assured to him; and finally he hoped to cut the claws of
+pro-Huan Hs&uuml;an elements in the "Later Ch'in" kingdom who, for the sake
+of the link with Turkestan, had designs on Szechwan.</p>
+
+
+<p class="sect">3 <i>The Liu-Sung dynasty (<span class="smcap">A.D.</span> 420-478) and the Southern Ch'i
+dynasty (479-501)</i></p>
+
+<p>After his successes in 416-17 in Shensi, Liu Y&uuml; returned to the capital,
+and shortly after he lost the chief fruits of his victory to Ho-lien
+P'o-p'o, the Hun ruler in the north, while Liu Y&uuml; himself was occupied
+with the killing of the emperor (419) and the installation of a puppet.
+In 420 the puppet had to abdicate and Liu Y&uuml; became emperor. He called
+his dynasty the Sung dynasty, but to distinguish it from another and
+more famous Sung dynasty of later time his dynasty is also called the
+Liu-Sung dynasty.</p>
+
+<p>The struggles and intrigues of cliques against each other continued as
+before. We shall pass quickly over this period after a glance at the
+nature of these internal struggles.</p>
+
+<p>Part of the old imperial family and its following fled northwards from
+Liu Y&uuml; and surrendered to the Toba. There they agitated for a campaign
+of vengeance against South China, and they were supported at the court
+of the Toba by many families of the gentry with landed interests in the
+south. Thus long-continued fighting started between Sung and Toba,
+concerned mainly with the <!-- Page 160 --><span class='pagenum'><a name="Page_160" id="Page_160">[Pg 160]</a></span>domains of the deposed imperial family and
+its following. This fighting brought little success to south China, and
+about 450 it produced among the Toba an economic and social crisis that
+brought the wars to a temporary close. In this pause the Sung turned to
+the extreme south, and tried to gain influence there and in Annam. The
+merchant class and the gentry families of the capital who were allied
+with it were those chiefly interested in this expansion.</p>
+
+<p>About 450 began the Toba policy of shifting the central government to
+the region of the Yellow River, to Loyang; for this purpose the frontier
+had to be pushed farther south. Their great campaign brought the Toba in
+450 down to the Yangtze. The Sung suffered a heavy defeat; they had to
+pay tribute, and the Toba annexed parts of their northern territory.</p>
+
+<p>The Sung emperors who followed were as impotent as their predecessors
+and personally much more repulsive. Nothing happened at court but
+drinking, licentiousness, and continual murders.</p>
+
+<p>From 460 onward there were a number of important risings of princes; in
+some of them the Toba had a hand. They hoped by supporting one or
+another of the pretenders to gain overlordship over the whole of the
+southern empire. In these struggles in the south the Hsiao family,
+thanks mainly to General Hsiao Tao-ch'eng, steadily gained in power,
+especially as the family was united by marriage with the imperial house.
+In 477 Hsiao Tao-ch'eng finally had the emperor killed by an accomplice,
+the son of a shamaness; he set a boy on the throne and made himself
+regent. Very soon after this the boy emperor and all the members of the
+imperial family were murdered, and Hsiao Tao-ch'eng created the
+"Southern Ch'i" dynasty (479-501). Once more the remaining followers of
+the deposed dynasty fled northward to the Toba, and at once fighting
+between Toba and the south began again.</p>
+
+<p>This fighting ended with a victory for the Toba and with the final
+establishment of the Toba in the new capital of Loyang. South China was
+heavily defeated again and again, but never finally conquered. There
+were intervals of peace. In the years between 480 and 490 there was less
+disorder in the south, at all events in internal affairs. Princes were
+more often appointed to governorships, and the influence of the cliques
+was thus weakened. In spite of this, a stable r&eacute;gime was not built up,
+and in 494 a prince rose against the youthful emperor. This prince, with
+the help of his clique including the Ch'en family, which later attained
+importance, won the day, murdered the emperor, and became emperor
+himself. All that is recorded about him is that he fought unsuccessfully
+against the Toba, and that he had the whole of his own family <!-- Page 161 --><span class='pagenum'><a name="Page_161" id="Page_161">[Pg 161]</a></span>killed
+out of fear that one of its members might act exactly as he had done.
+After his death there were conflicts between the emperor's few remaining
+relatives; in these the Toba again had a hand. The victor was a person
+named Hsiao Yen; he removed the reigning emperor in the usual way and
+made himself emperor. Although he belonged to the imperial family, he
+altered the name of the dynasty, and reigned from 502 as the first
+emperor of the "Liang dynasty".</p>
+
+<div class="center">
+<a name="image12" id="image12"></a>
+<img src="images/image12.jpg" width="448" height="600"
+alt="8 Detail from the Buddhist cave-reliefs of Lungmen."
+title="8 Detail from the Buddhist cave-reliefs of Lungmen." />
+<p class="caption">8 Detail from the Buddhist cave-reliefs of Lungmen.<br /><i>From
+a print in the author&#39;s possession.</i></p>
+</div>
+
+<div class="center">
+<a name="image13" id="image13"></a>
+<img src="images/image13.jpg" width="435" height="600"
+alt="9 Statue of Mi-lo."
+title="9 Statue of Mi-lo." />
+<p class="caption">9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the &#39;Great Buddha Temple&#39; at Chengting (Hopei). <br /><i>Photo H.&nbsp;
+Hammer-Morrisson.</i></p>
+</div>
+
+
+<p class="sect">4 <i>The Liang dynasty</i> (<span class="smcap">A.D.</span> 502-556)</p>
+
+<p>The fighting with the Toba continued until 515. As a rule the Toba were
+the more successful, not at least through the aid of princes of the
+deposed "Southern Ch'i dynasty" and their followers. Wars began also in
+the west, where the Toba tried to cut off the access of the Liang to the
+caravan routes to Turkestan. In 507, however, the Toba suffered an
+important defeat. The southern states had tried at all times to work
+with the Kansu states against the northern states; the Toba now followed
+suit and allied themselves with a large group of native chieftains of
+the south, whom they incited to move against the Liang. This produced
+great native unrest, especially in the provinces by the upper Yangtze.
+The natives, who were steadily pushed back by the Chinese peasants, were
+reduced to migrating into the mountain country or to working for the
+Chinese in semi-servile conditions; and they were ready for revolt and
+very glad to work with the Toba. The result of this unrest was not
+decisive, but it greatly reduced the strength of the regions along the
+upper Yangtze. Thus the main strength of the southern state was more
+than ever confined to the Nanking region.</p>
+
+<p>The first emperor of the Liang dynasty, who assumed the name Wu Ti
+(502-549), became well known in the Western world owing to his love of
+literature and of Buddhism. After he had come to the throne with the aid
+of his followers, he took no further interest in politics; he left that
+to his court clique. From now on, however, the political initiative
+really belonged to the north. At this time there began in the Toba
+empire the risings of tribal leaders against the government which we
+have fully described above. One of these leaders, Hou Ching, who had
+become powerful as a military leader in the north, tried in 547 to
+conclude a private alliance with the Liang to strengthen his own
+position. At the same time the ruler of the northern state of the
+"Northern Ch'i", then in process of formation, himself wanted to
+negotiate an alliance with the Liang, in order to be able to get rid of
+Hou Ching. There was indecision in Liang. Hou Ching, who had been
+getting into difficulties, now <!-- Page 162 --><span class='pagenum'><a name="Page_162" id="Page_162">[Pg 162]</a></span>negotiated with a dissatisfied prince in
+Liang, invaded the country in 548 with the prince's aid, captured the
+capital in 549, and killed Emperor Wu. Hou Ching now staged the usual
+spectacle: he put a puppet on the imperial throne, deposed him eighteen
+months later and made himself emperor.</p>
+
+<p>This man of the Toba on the throne of South China was unable, however,
+to maintain his position; he had not sufficient backing. He was at war
+with the new rulers in the northern empire, and his own army, which was
+not very large, melted away; above all, he proceeded with excessive
+harshness against the helpers who had gained access for him to the
+Liang, and thereafter he failed to secure a following from among the
+leading cliques at court. In 552 he was driven out by a Chinese army led
+by one of the princes and was killed.</p>
+
+<p>The new emperor had been a prince in the upper Yangtze region, and his
+closest associates were engaged there. They did not want to move to the
+distant capital, Nanking, because their private financial interests
+would have suffered. The emperor therefore remained in the city now
+called Hankow. He left the eastern territory in the hands of two
+powerful generals, one of whom belonged to the Ch'en family, which he no
+longer had the strength to remove. In this situation the generals in the
+east made themselves independent, and this naturally produced tension at
+once between the east and the west of the Liang empire; this tension was
+now exploited by the leaders of the Chou state then in the making in the
+north. On the invitation of a clique in the south and with its support,
+the Chou invaded the present province of Hupei and in 555 captured the
+Liang emperor's capital. They were now able to achieve their old
+ambition: a prince of the Chou dynasty was installed as a feudatory of
+the north, reigning until 587 in the present Hankow. He was permitted to
+call his quasi-feudal territory a kingdom and his dynasty, as we know
+already, the "Later Liang dynasty".</p>
+
+
+<p class="sect">5 <i>The Ch'en dynasty</i> (<span class="smcap">A.D.</span> 557-588) <i>and its ending by the
+Sui</i></p>
+
+<p>The more important of the independent generals in the east, Ch'en
+Pa-hsien, installed a shadow emperor, forced him to abdicate, and made
+himself emperor. The Ch'en dynasty which thus began was even feebler
+than the preceding dynasties. Its territory was confined to the lower
+Yangtze valley. Once more cliques and rival pretenders were at work and
+prevented any sort of constructive home policy. Abroad, certain
+advantages were gained in north China over the Northern Ch'i dynasty,
+but none of any great importance.<!-- Page 163 --><span class='pagenum'><a name="Page_163" id="Page_163">[Pg 163]</a></span></p>
+
+<p>Meanwhile in the north Yang Chien had brought into power the Chinese Sui
+dynasty. It began by liquidating the quasi-feudal state of the "Later
+Liang". Then followed, in 588-9, the conquest of the Ch'en empire,
+almost without any serious resistance. This brought all China once more
+under united rule, and a period of 360 years of division was ended.</p>
+
+
+<p class="sect">6 <i>Cultural achievements of the south</i></p>
+
+<p>For nearly three hundred years the southern empire had witnessed
+unceasing struggles between important cliques, making impossible any
+peaceful development within the country. Culturally, however, the period
+was rich in achievement. The court and the palaces of wealthy members of
+the gentry attracted scholars and poets, and the gentry themselves had
+time for artistic occupations. A large number of the best-known Chinese
+poets appeared in this period, and their works plainly reflect the
+conditions of that time: they are poems for the small circle of scholars
+among the gentry and for cultured patrons, spiced with quotations and
+allusions, elaborate in metre and construction, masterpieces of
+aesthetic sensitivity&mdash;but unintelligible except to highly educated
+members of the aristocracy. The works were of the most artificial type,
+far removed from all natural feeling.</p>
+
+<p>Music, too, was never so assiduously cultivated as at this time. But the
+old Chinese music disappeared in the south as in the north, where
+dancing troupes and women musicians in the Sogdian commercial colonies
+of the province of Kansu established the music of western Turkestan.
+Here in the south, native courtesans brought the aboriginal, non-Chinese
+music to the court; Chinese poets wrote songs in Chinese for this music,
+and so the old Chinese music became unfashionable and was forgotten. The
+upper class, the gentry, bought these girls, often in large numbers, and
+organized them in troupes of singers and dancers, who had to appear on
+festal occasions and even at the court. For merchants and other people
+who lacked full social recognition there were brothels, a quite natural
+feature wherever there were considerable commercial colonies or
+collections of merchants, including the capital of the southern empire.</p>
+
+<p>In their ideology, as will be remembered, the Chinese gentry were always
+in favour of Confucianism. Here in the south, however, the association
+with Confucianism was less serious, the southern gentry, with their
+relations with the merchant class, having acquired the character of
+"colonial" gentry. They were brought up as Confucians, but were
+interested in all sorts of <!-- Page 164 --><span class='pagenum'><a name="Page_164" id="Page_164">[Pg 164]</a></span>different religious movements, and
+especially in Buddhism. A different type of Buddhism from that in the
+north had spread over most of the south, a meditative Buddhism that was
+very close ideologically to the original Taoism, and so fulfilled the
+same social functions as Taoism. Those who found the official life with
+its intrigues repulsive, occupied themselves with meditative Buddhism.
+The monks told of the sad fate of the wicked in the life to come, and
+industriously filled the gentry with apprehension, so that they tried to
+make up for their evil deeds by rich gifts to the monasteries. Many
+emperors in this period, especially Wu Ti of the Liang dynasty, inclined
+to Buddhism. Wu Ti turned to it especially in his old age, when he was
+shut out entirely from the tasks of a ruler and was no longer satisfied
+with the usual pleasures of the court. Several times he instituted
+Buddhist ceremonies of purification on a large scale in the hope of so
+securing forgiveness for the many murders he had committed.</p>
+
+<p>Genuine Taoism also came to the fore again, and with it the popular
+religion with its magic, now amplified with the many local deities that
+had been taken over from the indigenous population of the south. For a
+time it became the fashion at court to pass the time in learned
+discussions between Confucians, Buddhists, and Taoists, which were quite
+similar to the debates between learned men centuries earlier at the
+wealthy little Indian courts. For the court clique this was more a
+matter of pastime than of religious controversy. It seems thoroughly in
+harmony with the political events that here, for the first time in the
+history of Chinese philosophy, materialist currents made their
+appearance, running parallel with Machiavellian theories of power for
+the benefit of the wealthiest of the gentry.</p>
+
+<h3>Principal dynasties of North and South China</h3>
+<h4><i>North and South</i></h4>
+<h4>Western Chin dynasty (<span class="smcap">A.D.</span> 265-317)</h4>
+
+<div class='center'>
+<table border="0" cellpadding="4" cellspacing="0" summary="Comparison of northern and southern dynasties">
+<tr><th align='center'><i>North</i></th><th></th><th align='center'><i>South</i></th><th></th></tr>
+<tr><td align='left'>&nbsp;&nbsp;1. Earlier Chao (Hsiung-nu)&nbsp;</td><td align='left'>304-329&nbsp; </td><td align='left'>1. Eastern Chin (Chinese) </td><td align='left'>317-419</td></tr>
+<tr><td align='left'>&nbsp;&nbsp;2. Later Chao (Hsiung-nu)&nbsp; &nbsp;</td><td align='left'>328-352</td><td></td><td></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;3. Earlier Ch'in (Tibetans)&nbsp;</td><td align='left'>351-394</td><td></td><td></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;4. Later Ch'in (Tibetans)&nbsp; &nbsp;</td><td align='left'>384-417</td><td></td><td></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;5. Western Ch'in (Hsiung-nu)&nbsp; </td><td align='left'>385-431</td><td></td><td></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;6. Earlier Yen (Hsien-pi)&nbsp; &nbsp;</td><td align='left'>352-370</td><td></td><td><!-- Page 165 --><span class='pagenum'><a name="Page_165" id="Page_165">[Pg 165]</a></span></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;7. Later Yen (Hsien-pi)&nbsp; &nbsp; &nbsp;</td><td align='left'>384-409</td><td></td><td></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;8. Western Yen (Hsien-pi)&nbsp; &nbsp;</td><td align='left'>384-395</td><td></td><td></td></tr>
+<tr><td align='left'>&nbsp;&nbsp;9. Southern Yen (Hsien-pi)&nbsp; &nbsp; </td><td align='left'>398-410</td><td></td><td></td></tr>
+<tr><td align='left'>10. Northern Yen (Hsien-pi)</td><td align='left'>409-436</td><td></td><td></td></tr>
+<tr><td align='left'>11. Tai (Toba)</td><td align='left'>338-376</td><td></td><td></td></tr>
+<tr><td align='left'>12. Earlier Liang (Chinese)</td><td align='left'>313-376</td><td></td><td></td></tr>
+<tr><td align='left'>13. Northern Liang (Hsiung-nu) </td><td align='left'>397-439</td><td></td><td></td></tr>
+<tr><td align='left'>14. Western Liang (Chinese?)</td><td align='left'>400-421</td><td></td><td></td></tr>
+<tr><td align='left'>15. Later Liang (Tibetans)</td><td align='left'>386-403</td><td></td><td></td></tr>
+<tr><td align='left'>16. Southern Liang (Hsien-pi)</td><td align='left'>379-414</td><td></td><td></td></tr>
+<tr><td align='left'>17. Hsia (Hsiung-nu)</td><td align='left'>407-431</td><td></td><td></td></tr>
+<tr><td align='left'>18. Toba (Turks)</td><td align='left'>385-550</td><td></td><td></td></tr>
+<tr><td align='left'></td><td align='left'></td><td align='left'>2. Liu-Sung</td><td align='left'>420-478</td></tr>
+<tr><td align='left'></td><td align='left'></td><td align='left'>3. Southern Ch'i</td><td align='left'> 479-501</td></tr>
+<tr><td align='left'>19. Northern Ch'i (Chinese?)</td><td align='left'>550-576</td><td align='left'>4. Liang</td><td align='left'>502-556</td></tr>
+<tr><td align='left'>20. Northern Chou (Toba)</td><td align='left'>557-579</td><td align='left'>5. Ch'en</td><td align='left'>557-588</td></tr>
+<tr><td align='left'>21. Sui (Chinese)</td><td align='left'>580-618</td><td align='left'>6. Sui</td><td align='left'>580-618<!-- Page 166 --><span class='pagenum'><a name="Page_166" id="Page_166">[Pg 166]</a></span></td></tr>
+</table></div>
+
+<hr />
+<h2><a name="Chapter_Eight" id="Chapter_Eight"></a>Chapter Eight</h2>
+
+<h2 class="ln2">THE EMPIRES OF THE SUI AND THE T'ANG</h2>
+
+
+
+<h3>(A) The Sui dynasty (<span class="smcap">A.D.</span> 580-618)</h3>
+
+
+<p class="sect">1 <i>Internal situation in the newly unified empire</i></p>
+
+<p>The last of the northern dynasties, the Northern Chou, had been brought
+to an end by Yang Chien: rapid campaigns had made an end of the
+remaining petty states, and thus the Sui dynasty had come into power.
+China, reunited after 360 years, was again under Chinese rule. This
+event brought about a new epoch in the history of the Far East. But the
+happenings of 360 years could not be wiped out by a change of dynasty.
+The short Sui period can only be described as a period of transition to
+unified forms.</p>
+
+<p>In the last resort the union of the various parts of China proceeded
+from the north. The north had always, beyond question, been militarily
+superior, because its ruling class had consisted of warlike peoples. Yet
+it was not a northerner who had united China but a Chinese though, owing
+to mixed marriages, he was certainly not entirely unrelated to the
+northern peoples. The rule, however, of the actual northern peoples was
+at an end. The start of the Sui dynasty, while the Chou still held the
+north, was evidence, just like the emergence in the north-east some
+thirty years earlier of the Northern Ch'i dynasty, that the Chinese
+gentry with their landowning basis had gained the upper hand over the
+warrior nomads.</p>
+
+<p>The Chinese gentry had not come unchanged out of that struggle.
+Culturally they had taken over many things from the foreigners,
+beginning with music and the style of their clothing, in which they had
+entirely adopted the northern pattern, and including other elements of
+daily life. Among the gentry were now many formerly alien families who
+had gradually become entirely Chinese. On the other hand, the
+foreigners' feudal outlook had influenced <!-- Page 167 --><span class='pagenum'><a name="Page_167" id="Page_167">[Pg 167]</a></span>the gentry, so that a sense
+of distinctions of rank had developed among them. There were Chinese
+families who regarded themselves as superior to the rest, just as had
+been the case among the northern peoples, and who married only among
+themselves or with the ruling house and not with ordinary families of
+the gentry. They paid great attention to their genealogies, had the
+state keep records of them and insisted that the dynastic histories
+mentioned their families and their main family members. Lists of
+prominent gentry families were set up which mentioned the home of each
+clan, so that pretenders could easily be detected. The rules of giving
+personal names were changed so that it became possible to identify a
+person's genealogical position within the family. At the same time the
+contempt of the military underwent modification; the gentry were even
+ready to take over high military posts, and also to profit by them.</p>
+
+<p>The new Sui empire found itself faced with many difficulties. During the
+three and a half centuries of division, north and south had developed in
+different ways. They no longer spoke the same language in everyday life
+(we distinguish to this day between a Nanking and Peking "High Chinese",
+to say nothing of dialects). The social and economic structures were
+very different in the two parts of the country. How could unity be
+restored in these things?</p>
+
+<p>Then there was the problem of population. The north-eastern plain had
+always been thickly populated; it had early come under Toba rule and had
+been able to develop further. The region round the old northern capital
+Ch'ang-an, on the other hand, had suffered greatly from the struggles
+before the Toba period and had never entirely recovered. Meanwhile, in
+the south the population had greatly increased in the region north of
+Nanking, while the regions south of the Yangtze and the upper Yangtze
+valley were more thinly peopled. The real South, i.e. the modern
+provinces of Fukien, Kwangtung and Kwangsi, was still underdeveloped,
+mainly because of the malaria there. In the matter of population the
+north unquestionably remained prominent.</p>
+
+<p>The founder of the Sui dynasty, known by his reign name of Wen Ti
+(589-604), came from the west, close to Ch'ang-an. There he and his
+following had their extensive domains. Owing to the scanty population
+there and the resulting shortage of agricultural labourers, these
+properties were very much less productive than the small properties in
+the north-east. This state of things was well known in the south, and it
+was expected, with good reason, that the government would try to
+transfer parts of the population to the north-west, in order to settle a
+peasantry round the capital for the support of its greatly increasing
+staff of officials, and to satisfy <!-- Page 168 --><span class='pagenum'><a name="Page_168" id="Page_168">[Pg 168]</a></span>the gentry of the region. This
+produced several revolts in the south.</p>
+
+<p>As an old soldier who had long been a subject of the Toba, Wen Ti had no
+great understanding of theory: he was a practical man. He was
+anti-intellectual and emotionally attached to Buddhism; he opposed
+Confucianism for emotional reasons and believed that it could give him
+no serviceable officials of the sort he wanted. He demanded from his
+officials the same obedience and sense of duty as from his soldiers; and
+he was above all thrifty, almost miserly, because he realized that the
+finances of his state could only be brought into order by the greatest
+exertions. The budget had to be drawn up for the vast territory of the
+empire without any possibility of saying in advance whether the revenues
+would come in and whether the transport of dues to the capital would
+function.</p>
+
+<p>This cautious calculation was entirely justified, but it aroused great
+opposition. Both east and south were used to a much better style of
+living; yet the gentry of both regions were now required to cut down
+their consumption. On top of this they were excluded from the conduct of
+political affairs. In the past, under the Northern Ch'i empire in the
+north-east and under the Ch'en empire in the south, there had been
+thousands of positions at court in which the whole of the gentry could
+find accommodation of some kind. Now the central government was far in
+the west, and other people were its administrators. In the past the
+gentry had had a profitable and easily accessible market for their
+produce in the neighbouring capital; now the capital was far away,
+entailing long-distance transport at heavy risk with little profit.</p>
+
+<p>The dissatisfied circles of the gentry in the north-east and in the
+south incited Prince Kuang to rebellion. The prince and his followers
+murdered the emperor and set aside the heir-apparent; and Kuang came to
+the throne, assuming the name of Yang Ti. His first act was to transfer
+the capital back to the east, to Loyang, close to the grain-producing
+regions. His second achievement was to order the construction of great
+canals, to facilitate the transport of grain to the capital and to
+provide a valuable new market for the producers in the north-east and
+the south. It was at this time that the first forerunner of the famous
+"Imperial Canal" was constructed, the canal that connects the Yangtze
+with the Yellow River. Small canals, connecting various streams, had
+long been in existence, so that it was possible to travel from north to
+south by water, but these canals were not deep enough or broad enough to
+take large freight barges. There are records of lighters of 500 and even
+800 tons capacity! These are dimensions unheard of in the West in those
+times. In addition to a serviceable canal to the south,<!-- Page 169 --><span class='pagenum'><a name="Page_169" id="Page_169">[Pg 169]</a></span> Yang Ti made
+another that went north almost to the present Peking.</p>
+
+<p>Hand in hand with these successes of the north-eastern and southern
+gentry went strong support for Confucianism, and a reorganization of the
+Confucian examination system. As a rule, however, the examinations were
+circumvented as an unimportant formality; the various governors were
+ordered each to send annually to the capital three men with the required
+education, for whose quality they were held personally responsible;
+merchants and artisans were expressly excluded.</p>
+
+
+<p class="sect">2 <i>Relations with Turks and with Korea</i></p>
+
+<p>In foreign affairs an extraordinarily fortunate situation for the Sui
+dynasty had come into existence. The T'u-ch&uuml;eh, the Turks, much the
+strongest people of the north, had given support now to one and now to
+another of the northern kingdoms, and this, together with their many
+armed incursions, had made them the dominant political factor in the
+north. But in the first year of the Sui period (581) they split into two
+sections, so that the Sui had hopes of gaining influence over them. At
+first both sections of the Turks had entered into alliance with China,
+but this was not a sufficient safeguard for the Sui, for one of the
+Turkish khans was surrounded by Toba who had fled from the vanished
+state of the Northern Chou, and who now tried to induce the Turks to
+undertake a campaign for the reconquest of North China. The leader of
+this agitation was a princess of the Y&uuml;-wen family, the ruling family of
+the Northern Chou. The Chinese fought the Turks several times; but much
+more effective results were gained by their diplomatic missions, which
+incited the eastern against the western Turks and vice versa, and also
+incited the Turks against the Toba clique. In the end one of the
+sections of Turks accepted Chinese overlordship, and some tribes of the
+other section were brought over to the Chinese side; also, fresh
+disunion was sown among the Turks.</p>
+
+<p>Under the emperor Yang Ti, P'ei Ch&uuml; carried this policy further. He
+induced the T&ouml;l&ouml;s tribes to attack the T'u-y&uuml;-hun, and then himself
+attacked the latter, so destroying their power. The T'u-y&uuml;-hun were a
+people living in the extreme north of Tibet, under a ruling class
+apparently of Hsien-pi origin; the people were largely Tibetan. The
+purpose of the conquest of the T'u-y&uuml;-hun was to safeguard access to
+Central Asia. An effective Turkestan policy was, however, impossible so
+long as the Turks were still a formidable power. Accordingly, the
+intrigues that aimed at keeping the two sections of Turks apart were
+continued. In 615 came a decisive <!-- Page 170 --><span class='pagenum'><a name="Page_170" id="Page_170">[Pg 170]</a></span>counter-attack from the Turks. Their
+khan, Shih-pi, made a surprise assault on the emperor himself, with all
+his following, in the Ordos region, and succeeded in surrounding them.
+They were in just the same desperate situation as when, eight centuries
+earlier, the Chinese emperor had been beleaguered by Mao Tun. But the
+Chinese again saved themselves by a trick. The young Chinese commander,
+Li Shih-min, succeeded in giving the Turks the impression that large
+reinforcements were on the way; a Chinese princess who was with the
+Turks spread the rumour that the Turks were to be attacked by another
+tribe&mdash;and Shih-pi raised the siege, although the Chinese had been
+entirely defeated.</p>
+
+<p>In the Sui period the Chinese were faced with a further problem. Korea
+or, rather, the most important of the three states in Korea, had
+generally been on friendly terms with the southern state during the
+period of China's division, and for this reason had been more or less
+protected from its North Chinese neighbours. After the unification of
+China, Korea had reason for seeking an alliance with the Turks, in order
+to secure a new counterweight against China.</p>
+
+<p>A Turco-Korean alliance would have meant for China a sort of
+encirclement that might have grave consequences. The alliance might be
+extended to Japan, who had certain interests in Korea. Accordingly the
+Chinese determined to attack Korea, though at the same time negotiations
+were set on foot. The fighting, which lasted throughout the Sui period,
+involved technical difficulties, as it called for combined land and sea
+attacks; in general it brought little success.</p>
+
+
+<p class="sect">3 <i>Reasons for collapse</i></p>
+
+<p>The continual warfare entailed great expense, and so did the intrigues,
+because they depended for their success on bribery. Still more expensive
+were the great canal works. In addition to this, the emperor Yang Ti,
+unlike his father, was very extravagant. He built enormous palaces and
+undertook long journeys throughout the empire with an immense following.
+All this wrecked the prosperity which his father had built up and had
+tried to safeguard. The only productive expenditure was that on the
+canals, and they could not begin to pay in so short a period. The
+emperor's continual journeys were due, no doubt, in part simply to the
+pursuit of pleasure, though they were probably intended at the same time
+to hinder risings and to give the emperor direct control over every part
+of the country. But the empire was too large and too complex for its
+administration to be possible in the midst of journeying.<a name="Page_171" id="Page_171"></a><!-- Page 172 --><span class='pagenum'><a name="Page_172" id="Page_172">[Pg 172]</a></span> The whole of
+the chancellery had to accompany the emperor, and all the transport
+necessary for the feeding of the emperor and his government had
+continually to be diverted to wherever he happened to be staying. All
+this produced disorder and unrest. The gentry, who at first had so
+strongly supported the emperor and had been able to obtain anything they
+wanted from him, now began to desert him and set up pretenders. From 615
+onward, after the defeat at the hands of the Turks, risings broke out
+everywhere. The emperor had to establish his government in the south,
+where he felt safer. There, however, in 618, he was assassinated by
+conspirators led by Toba of the Y&uuml;-wen family. Everywhere now
+independent governments sprang up, and for five years China was split up
+into countless petty states.</p>
+
+<div class="center">
+<a name="image14" id="image14"></a>
+<img src="images/image14.png" width="600" height="352"
+alt="Map 5: The T&#39;ang realm (about A.D. 750)"
+title="Map 5: The T&#39;ang realm (about A.D. 750)" />
+<p class="caption">Map 5: The T&#39;ang realm (about A.D. 750)</p>
+</div>
+
+
+
+<h3>(B) The T'ang dynasty (<span class="smcap">A.D. </span>618-906)</h3>
+
+
+<p class="sect">1 <i>Reforms and decentralization</i></p>
+
+<p>The hero of the Turkish siege, Li Shih-min, had allied himself with the
+Turks in 615-16. There were special reasons for his ability to do this.
+In his family it had been a regular custom to marry women belonging to
+Toba families, so that he naturally enjoyed the confidence of the Toba
+party among the Turks. There are various theories as to the origin of
+his family, the Li. The family itself claimed to be descended from the
+ruling family of the Western Liang. It is doubtful whether that family
+was purely Chinese, and in any case Li Shih-min's descent from it is a
+matter of doubt. It is possible that his family was a sinified Toba
+family, or at least came from a Toba region. However this may be, Li
+Shih-min continued the policy which had been pursued since the beginning
+of the Sui dynasty by the members of the deposed Toba ruling family of
+the Northern Chou&mdash;the policy of collaboration with the Turks in the
+effort to remove the Sui.</p>
+
+<p>The nominal leadership in the rising that now began lay in the hands of
+Li Shih-min's father, Li Y&uuml;an; in practice Li Shih-min saw to
+everything. At the end of 617 he was outside the first capital of the
+Sui, Ch'ang-an, with a Turkish army that had come to his aid on the
+strength of the treaty of alliance. After capturing Ch'ang-an he
+installed a puppet emperor there, a grandson of Yang Ti. In 618 the
+puppet was dethroned and Li Y&uuml;an, the father, was made emperor, in the
+T'ang dynasty. Internal fighting went on until 623, and only then was
+the whole empire brought under the rule of the T'ang.</p>
+
+<p>Great reforms then began. A new land law aimed at equalizing <!-- Page 173 --><span class='pagenum'><a name="Page_173" id="Page_173">[Pg 173]</a></span>ownership,
+so that as far as possible all peasants should own the same amount of
+land and the formation of large estates be prevented. The law aimed also
+at protecting the peasants from the loss of their land. The law was,
+however, nothing but a modification of the Toba land law (<i>ch&uuml;n-t'ien</i>),
+and it was hoped that now it would provide a sound and solid economic
+foundation for the empire. From the first, however, members of the
+gentry who were connected with the imperial house were given a
+privileged position; then officials were excluded from the prohibition
+of leasing, so that there continued to be tenant farmers in addition to
+the independent peasants. Moreover, the temples enjoyed special
+treatment, and were also exempted from taxation. All these exceptions
+brought grist to the mills of the gentry, and so did the failure to
+carry into effect many of the provisions of the law. Before long a new
+gentry had been formed, consisting of the old gentry together with those
+who had directly aided the emperor's ascent to the throne. From the
+beginning of the eighth century there were repeated complaints that
+peasants were "disappearing". They were entering the service of the
+gentry as tenant farmers or farm workers, and owing to the privileged
+position of the gentry in regard to taxation, the revenue sank in
+proportion as the number of independent peasants decreased. One of the
+reasons for the flight of farmers may have been the corv&eacute;e laws
+connected with the "equal land" system: small families were much less
+affected by the corv&eacute;e obligation than larger families with many sons.
+It may be, therefore, that large families or at least sons of the sons
+in large families moved away in order to escape these obligations. In
+order to prevent irregularities, the T'ang renewed the old "<i>pao-chia</i>"
+system, as a part of a general reform of the administration in 624. In
+this system groups of five families were collectively responsible for
+the payment of taxes, the corv&eacute;e, for crimes committed by individuals
+within one group, and for loans from state agencies. Such a system is
+attested for pre-Christian times already; it was re-activated in the
+eleventh century and again from time to time, down to the present.</p>
+
+<p>Yet the system of land equalization soon broke down and was abolished
+officially around <span class="smcap">A.D.</span> 780. But the classification of citizens
+into different classes, first legalized under the Toba, was retained and
+even more refined.</p>
+
+<p>As early as in the Han period there had been a dual administration&mdash;the
+civil and, independent of it, the military administration. One and the
+same area would belong to a particular administrative prefecture
+(<i>ch&uuml;n</i>) and at the same time to a particular military prefecture
+(<i>chou</i>). This dual organization had persisted during the<!-- Page 174 --><span class='pagenum'><a name="Page_174" id="Page_174">[Pg 174]</a></span> Toba period
+and, at first, remained unchanged in the beginning of the T'ang.</p>
+
+<p>The backbone of the military power in the seventh century was the
+militia, some six hundred units of an average of a thousand men,
+recruited from the general farming population for short-term service:
+one month in five in the areas close to the capital. These men formed a
+part of the emperor's guards and were under the command of members of
+the Shensi gentry. This system which had its direct parallels in the Han
+time and evolved out of a Toba system, broke down when short offensive
+wars were no longer fought. Other imperial guards were staffed with
+young sons of the gentry who were stationed in the most delicate parts
+of the palaces. The emperor T'ai-tsung had his personal bodyguard, a
+part of his own army of conquest, consisting of his former bondsmen
+(<i>pu-ch'&uuml;</i>). The ranks of the Army of conquest were later filled by
+descendants of the original soldiers and by orphans.</p>
+
+<p>In the provinces, the armies of the military prefectures gradually lost
+their importance when wars became longer and militiamen proved
+insufficient. Many of the soldiers here were convicts and exiles. It is
+interesting to note that the title of the commander of these armies,
+<i>tu-tu</i>, in the fourth century meant a commander in the church-Taoist
+organization; it was used by the Toba and from the seventh century on
+became widely accepted as title among the Uigurs, Tibetans, Sogdians,
+Turks and Khotanese.</p>
+
+<p>When the prefectural armies and the militia forces weakened, special
+regional armies were created (from 678 on); this institution had existed
+among the Toba, but they had greatly reduced these armies after 500. The
+commanders of these new T'ang armies soon became more important than the
+civil administrators, because they commanded a number of districts
+making up a whole province. This assured a better functioning of the
+military machine, but put the governors-general in a position to pursue
+a policy of their own, even against the central government. In addition
+to this, the financial administration of their commands was put under
+them, whereas in the past it had been in the hands of the civil
+administration of the various provinces. The civil administration was
+also reorganized (see the table on pages 83-84).</p>
+
+<p>Towards the end of the T'ang period the state secretariat was set up in
+two parts: it was in possession of all information about the economic
+and political affairs of the empire, and it made the actual decisions.
+Moreover, a number of technical departments had been created&mdash;in all, a
+system that might compare favourably with European systems of the
+eighteenth century. At the end of the T'ang period there was added to
+this system a section for economic <!-- Page 175 --><span class='pagenum'><a name="Page_175" id="Page_175">[Pg 175]</a></span>affairs, working quite independently
+of it and directly under the emperor; it was staffed entirely with
+economic or financial experts, while for the staffing of the other
+departments no special qualification was demanded besides the passing of
+the state examinations. In addition to these, at the end of the T'ang
+period a new department was in preparation, a sort of Privy Council, a
+mainly military organization, probably intended to control the generals
+(section 3 of the table on page 83), just as the state secretariat
+controlled the civil officials. The Privy Council became more and more
+important in the tenth century and especially in the Mongol epoch. Its
+absence in the early T'ang period gave the military governors much too
+great freedom, ultimately with baneful results.</p>
+
+<p>At first, however, the reforms of <span class="smcap">A.D.</span> 624 worked well. The
+administration showed energy, and taxes flowed in. In the middle of the
+eighth century the annual budget of the state included the following
+items: over a million tons of grain for the consumption of the capital
+and the palace and for salaries of civil and military officials;
+twenty-seven million pieces of textiles, also for the consumption of
+capital and palace and army, and for supplementary purchases of grain;
+two million strings of money (a string nominally held a thousand copper
+coins) for salaries and for the army. This was much more than the state
+budget of the Han period. The population of the empire had also
+increased; it seems to have amounted to some fifty millions. In the
+capital a large staff of officials had been created to meet all
+administrative needs. The capital grew enormously, at times containing
+two million people. Great numbers of young members of the gentry
+streamed into the capital for the examinations held under the Confucian
+system.</p>
+
+<p>The crowding of people into the capital and the accumulation of
+resources there promoted a rich cultural life. We know of many poets of
+that period whose poems were real masterpieces; and artists whose works
+were admired centuries later. These poets and artists were the pioneers
+of the flourishing culture of the later T'ang period. Hand in hand with
+this went luxury and refinement of manners. For those who retired from
+the bustle of the capital to work on their estates and to enjoy the
+society of their friends, there was time to occupy themselves with
+Taoism and Buddhism, especially meditative Buddhism. Everyone, of
+course, was Confucian, as was fitting for a member of the gentry, but
+Confucianism was so taken for granted that it was not discussed. It was
+the basis of morality for the gentry, but held no problems. It no longer
+contained anything of interest.</p>
+
+<p>Conditions had been much the same once before, at the court of the Han
+emperors, but with one great difference: at that time <!-- Page 176 --><span class='pagenum'><a name="Page_176" id="Page_176">[Pg 176]</a></span>everything of
+importance took place in the capital; now, in addition to the actual
+capital, Ch'ang-an, there was the second capital, Loyang, in no way
+inferior to the other in importance; and the great towns in the south
+also played their part as commercial and cultural centres that had
+developed in the 360 years of division between north and south. There
+the local gentry gathered to lead a cultivated life, though not quite in
+the grand style of the capital. If an official was transferred to the
+Yangtze, it no longer amounted to a punishment as in the past; he would
+not meet only uneducated people, but a society resembling that of the
+capital. The institution of governors-general further promoted this
+decentralization: the governor-general surrounded himself with a little
+court of his own, drawn from the local gentry and the local
+intelligentsia. This placed the whole edifice of the empire on a much
+broader foundation, with lasting results.</p>
+
+
+<p class="sect">2 <i>Turkish policy</i></p>
+
+<p>The foreign policy of this first period of the T'ang, lasting until
+about 690, was mainly concerned with the Turks and Turkestan. There were
+still two Turkish realms in the Far East, both of considerable strength
+but in keen rivalry with each other. The T'ang had come into power with
+the aid of the eastern Turks, but they admitted the leader of the
+western Turks to their court; he had been at Ch'ang-an in the time of
+the Sui. He was murdered, however, by Chinese at the instigation of the
+eastern Turks. The next khan of the eastern Turks nevertheless turned
+against the T'ang, and gave his support to a still surviving pretender
+to the throne representing the Sui dynasty; the khan contended that the
+old alliance of the eastern Turks had been with the Sui and not with the
+T'ang. The T'ang therefore tried to come to terms once more with the
+western Turks, who had been affronted by the assassination; but the
+negotiations came to nothing in face of an approach made by the eastern
+Turks to the western, and of the distrust of the Chinese with which all
+the Turks were filled. About 624 there were strong Turkish invasions,
+carried right up to the capital. Suddenly, however, for reasons not
+disclosed by the Chinese sources, the Turks withdrew, and the T'ang were
+able to conclude a fairly honourable peace. This was the time of the
+maximum power of the eastern Turks. Shortly afterwards disturbances
+broke out (627), under the leadership of Turkish Uighurs and their
+allies. The Chinese took advantage of these disturbances, and in a great
+campaign in 629-30 succeeded in overthrowing the eastern Turks; the khan
+was taken to the imperial court in Ch'ang-an, and the<!-- Page 177 --><span class='pagenum'><a name="Page_177" id="Page_177">[Pg 177]</a></span> Chinese emperor
+made himself "Heavenly Khan" of the Turks. In spite of the protest of
+many of the ministers, who pointed to the result of the settlement
+policy of the Later Han dynasty, the eastern Turks were settled in the
+bend of the upper Hwang-ho and placed more or less under the
+protectorate of two governors-general. Their leaders were admitted into
+the Chinese army, and the sons of their nobles lived at the imperial
+court. No doubt it was hoped in this way to turn the Turks into Chinese,
+as had been done with the Toba, though for entirely different reasons.
+More than a million Turks were settled in this way, and some of them
+actually became Chinese later and gained important posts.</p>
+
+<p>In general, however, this in no way broke the power of the Turks. The
+great Turkish empire, which extended as far as Byzantium, continued to
+exist. The Chinese success had done no more than safeguard the frontier
+from a direct menace and frustrate the efforts of the supporters of the
+Sui dynasty and the Toba dynasty, who had been living among the eastern
+Turks and had built on them. The power of the western Turks remained a
+lasting menace to China, especially if they should succeed in
+co-operating with the Tibetans. After the annihilation of the T'u-y&uuml;-hun
+by the Sui at the very beginning of the seventh century, a new political
+unit had formed in northern Tibet, the T'u-fan, who also seem to have
+had an upper class of Turks and Mongols and a Tibetan lower class. Just
+as in the Han period, Chinese policy was bound to be directed to
+preventing a union between Turks and Tibetans. This, together with
+commercial interests, seems to have been the political motive of the
+Chinese Turkestan policy under the T'ang.</p>
+
+
+<p class="sect">3 <i>Conquest of Turkestan and Korea. Summit of power</i></p>
+
+<p>The Turkestan wars began in 639 with an attack on the city-state of
+Kao-ch'ang (Khocho). This state had been on more or less friendly terms
+with North China since the Toba period, and it had succeeded again and
+again in preserving a certain independence from the Turks. Now, however,
+Kao-ch'ang had to submit to the western Turks, whose power was
+constantly increasing. China made that submission a pretext for war. By
+640 the whole basin of Turkestan was brought under Chinese dominance.
+The whole campaign was really directed against the western Turks, to
+whom Turkestan had become subject. The western Turks had been crippled
+by two internal events, to the advantage of the Chinese: there had been
+a tribal rising, and then came the rebellion and the rise of the Uighurs
+(640-650). These events belong to Turkish history, and we shall confine
+ourselves here to their effects on Chinese <!-- Page 178 --><span class='pagenum'><a name="Page_178" id="Page_178">[Pg 178]</a></span>history. The Chinese were
+able to rely on the Uighurs; above all, they were furnished by the T&ouml;l&ouml;s
+Turks with a large army, with which they turned once more against
+Turkestan in 647-48, and now definitely established their rule there.</p>
+
+<p>The active spirit at the beginning of the T'ang rule had not been the
+emperor but his son Li Shih-min, who was not, however, named as heir to
+the throne because he was not the eldest son. The result of this was
+tension between Li Shih-min and his father and brothers, especially the
+heir to the throne. When the brothers learned that Li Shih-min was
+claiming the succession, they conspired against him, and in 626, at the
+very moment when the western Turks had made a rapid incursion and were
+once more threatening the Chinese capital, there came an armed collision
+between the brothers, in which Li Shih-min was the victor. The brothers
+and their families were exterminated, the father compelled to abdicate,
+and Li Shih-min became emperor, assuming the name T'ai Tsung (627-649).
+His reign marked the zenith of the power of China and of the T'ang
+dynasty. Their inner struggles and the Chinese penetration of Turkestan
+had weakened the position of the Turks; the reorganization of the
+administration and of the system of taxation, the improved transport
+resulting from the canals constructed under the Sui, and the useful
+results of the creation of great administrative areas under strong
+military control, had brought China inner stability and in consequence
+external power and prestige. The reputation which she then obtained as
+the most powerful state of the Far East endured when her inner stability
+had begun to deteriorate. Thus in 638 the Sassanid ruler Jedzgerd sent a
+mission to China asking for her help against the Arabs. Three further
+missions came at intervals of a good many years. The Chinese declined,
+however, to send a military expedition to such a distance; they merely
+conferred on the ruler the title of a Chinese governor; this was of
+little help against the Arabs, and in 675 the last ruler, Peruz, fled to
+the Chinese court.</p>
+
+<p>The last years of T'ai Tsung's reign were filled with a great war
+against Korea, which represented a continuation of the plans of the Sui
+emperor Yang Ti. This time Korea came firmly into Chinese possession. In
+661, under T'ai Tsung's son, the Korean fighting was resumed, this time
+against Japanese who were defending their interests in Korea. This was
+the period of great Japanese enthusiasm for China. The Chinese system of
+administration was copied, and Buddhism was adopted, together with every
+possible element of Chinese culture. This meant increased trade with
+Japan, bringing in large profits to China, and so the Korean middleman
+was to be eliminated.<!-- Page 179 --><span class='pagenum'><a name="Page_179" id="Page_179">[Pg 179]</a></span></p>
+
+<p>T'ai Tsung's son, Kao Tsung (650-683), merely carried to a conclusion
+what had been begun. Externally China's prestige continued at its
+zenith. The caravans streamed into China from western and central Asia,
+bringing great quantities of luxury goods. At this time, however, the
+foreign colonies were not confined to the capital but were installed in
+all the important trading ports and inland trade centres. The whole
+country was covered by a commercial network; foreign merchants who had
+come overland to China met others who had come by sea. The foreigners
+set up their own counting-houses and warehouses; whole quarters of the
+capital were inhabited entirely by foreigners who lived as if they were
+in their own country. They brought with them their own religions:
+Manichaeism, Mazdaism, and Nestorian Christianity. The first Jews came
+into China, apparently as dealers in fabrics, and the first Arabian
+Mohammedans made their appearance. In China the the foreigners bought
+silkstuffs and collected everything of value that they could find,
+especially precious metals. Culturally this influx of foreigners
+enriched China; economically, as in earlier periods, it did not; its
+disadvantages were only compensated for a time by the very beneficial
+results of the trade with Japan, and this benefit did not last long.</p>
+
+
+<p class="sect">4 <i>The reign of the empress Wu: Buddhism and capitalism</i></p>
+
+<p>The pressure of the western Turks had been greatly weakened in this
+period, especially as their attention had been diverted to the west,
+where the advance of Islam and of the Arabs was a new menace for them.
+On the other hand, from 650 onward the Tibetans gained immensely in
+power, and pushed from the south into the Tarim basin. In 678 they
+inflicted a heavy defeat on the Chinese, and it cost the T'ang decades
+of diplomatic effort before they attained, in 699, their aim of breaking
+up the Tibetans' realm and destroying their power. In the last year of
+Kao Tsung's reign, 683, came the first of the wars of liberation of the
+northern Turks, known until then as the western Turks, against the
+Chinese. And with the end of Kao Tsung's reign began the decline of the
+T'ang regime. Most of the historians attribute it to a woman, the later
+empress Wu. She had been a concubine of T'ai Tsung, and after his death
+had become a Buddhist nun&mdash;a frequent custom of the time&mdash;until Kao
+Tsung fell in love with her and made her a concubine of his own. In the
+end he actually divorced the empress and made the concubine empress
+(655). She gained more and more influence, being placed on a par with
+the emperor and soon entirely eliminating him in practice; in 680 she
+removed the rightful heir to <!-- Page 180 --><span class='pagenum'><a name="Page_180" id="Page_180">[Pg 180]</a></span>the throne and put her own son in his
+place; after Kao Tsung's death in 683 she became regent for her son.
+Soon afterward she dethroned him in favour of his twenty-two-year-old
+brother; in 690 she deposed him too and made herself empress in the
+"Chou dynasty" (690-701). This officially ended the T'ang dynasty.</p>
+
+<p>Matters, however, were not so simple as this might suggest. For
+otherwise on the empress's deposition there would not have been a mass
+of supporters moving heaven and earth to treat the new empress Wei
+(705-712) in the same fashion. There is every reason to suppose that
+behind the empress Wu there was a group opposing the ruling clique. In
+spite of everything, the T'ang government clique was very pro-Turkish,
+and many Turks and members of Toba families had government posts and,
+above all, important military commands. No campaign of that period was
+undertaken without Turkish auxiliaries. The fear seems to have been felt
+in some quarters that this T'ang group might pursue a military policy
+hostile to the gentry. The T'ang group had its roots mainly in western
+China; thus the eastern Chinese gentry were inclined to be hostile to
+it. The first act of the empress Wu had been to transfer the capital to
+Loyang in the east. Thus, she tried to rely upon the co-operation of the
+eastern gentry which since the Northern Chou and Sui dynasties had been
+out of power. While the western gentry brought their children into
+government positions by claiming family privileges (a son of a high
+official had the right to a certain position without having passed the
+regular examinations), the sons of the eastern gentry had to pass
+through the examinations. Thus, there were differences in education and
+outlook between both groups which continued long after the death of the
+empress. In addition, the eastern gentry, who supported the empress Wu
+and later the empress Wei, were closely associated with the foreign
+merchants of western Asia and the Buddhist Church to which they adhered.
+In gratitude for help from the Buddhists, the empress Wu endowed them
+with enormous sums of money, and tried to make Buddhism a sort of state
+religion. A similar development had taken place in the Toba and also in
+the Sui period. Like these earlier rulers, the empress Wu seems to have
+aimed at combining spiritual leadership with her position as ruler of
+the empire.</p>
+
+<p>In this epoch Buddhism helped to create the first beginnings of
+large-scale capitalism. In connection with the growing foreign trade,
+the monasteries grew in importance as repositories of capital; the
+temples bought more and more land, became more and more wealthy, and so
+gained increasing influence over economic affairs. They accumulated
+large quantities of metal, which they stored in the form of bronze
+figures of Buddha, and with these stocks they <!-- Page 181 --><span class='pagenum'><a name="Page_181" id="Page_181">[Pg 181]</a></span>exercised controlling
+influence over the money market. There is a constant succession of
+records of the total weight of the bronze figures, as an indication of
+the money value they represented. It is interesting to observe that
+temples and monasteries acquired also shops and had rental income from
+them. They further operated many mills, as did the owners of private
+estates (now called "<i>chuang</i>") and thus controlled the price of flour,
+and polished rice.</p>
+
+<p>The cultural influence of Buddhism found expression in new and improved
+translations of countless texts, and in the passage of pilgrims along
+the caravan routes, helped by the merchants, as far as western Asia and
+India, like the famous Hs&uuml;an-tsang. Translations were made not only from
+Indian or other languages into Chinese, but also, for instance, from
+Chinese into the Uighur and other Turkish tongues, and into Tibetan,
+Korean, and Japanese.</p>
+
+<p>The attitude of the Turks can only be understood when we realize that
+the background of events during the time of empress Wu was formed by the
+activities of groups of the eastern Chinese gentry. The northern Turks,
+who since 630 had been under Chinese overlordship, had fought many wars
+of liberation against the Chinese; and through the conquest of
+neighbouring Turks they had gradually become once more, in the
+decade-and-a-half after the death of Kao Tsung, a great Turkish realm.
+In 698 the Turkish khan, at the height of his power, demanded a Chinese
+prince for his daughter&mdash;not, as had been usual in the past, a princess
+for his son. His intention, no doubt, was to conquer China with the
+prince's aid, to remove the empress Wu, and to restore the T'ang
+dynasty&mdash;but under Turkish overlordship! Thus, when the empress Wu sent
+a member of her own family, the khan rejected him and demanded the
+restoration of the deposed T'ang emperor. To enforce this demand, he
+embarked on a great campaign against China. In this the Turks must have
+been able to rely on the support of a strong group inside China, for
+before the Turkish attack became dangerous the empress Wu recalled the
+deposed emperor, at first as "heir to the throne"; thus she yielded to
+the khan's principal demand.</p>
+
+<p>In spite of this, the Turkish attacks did not cease. After a series of
+imbroglios within the country in which a group under the leadership of
+the powerful Ts'ui gentry family had liquidated the supporters of the
+empress Wu shortly before her death, a T'ang prince finally succeeded in
+killing empress Wei and her clique. At first, his father ascended the
+throne, but was soon persuaded to abdicate in favour of his son, now
+called emperor Hs&uuml;ang Tsung (713-755), just as the first ruler of the
+T'ang dynasty had done.<!-- Page 182 --><span class='pagenum'><a name="Page_182" id="Page_182">[Pg 182]</a></span> The practice of abdicating&mdash;in contradiction
+with the Chinese concept of the ruler as son of Heaven and the duties of
+a son towards his father&mdash;seems to have impressed Japan where similar
+steps later became quite common. With Hs&uuml;an Tsung there began now a
+period of forty-five years, which the Chinese describe as the second
+blossoming of T'ang culture, a period that became famous especially for
+its painting and literature.</p>
+
+
+<p class="sect">5 <i>Second blossoming of T'ang culture</i></p>
+
+<p>The T'ang literature shows the co-operation of many favourable factors.
+The ancient Chinese classical style of official reports and decrees
+which the Toba had already revived, now led to the clear prose style of
+the essayists, of whom Han Y&uuml; (768-825) and Liu Tsung-y&uuml;an (747-796)
+call for special mention. But entirely new forms of sentences make their
+appearance in prose writing, with new pictures and similes brought from
+India through the medium of the Buddhist translations. Poetry was also
+enriched by the simple songs that spread in the north under Turkish
+influence, and by southern influences. The great poets of the T'ang
+period adopted the rules of form laid down by the poetic art of the
+south in the fifth century; but while at that time the writing of poetry
+was a learned pastime, precious and formalistic, the T'ang poets brought
+to it genuine feeling. Widespread fame came to Li T'ai-po (701-762) and
+Tu Fu (712-770); in China two poets almost equal to these two in
+popularity were Po Ch&uuml;-i (772-846) and Y&uuml;an Chen (779-831), who in their
+works kept as close as possible to the vernacular.</p>
+
+<p>New forms of poetry rarely made their appearance in the T'ang period,
+but the existing forms were brought to the highest perfection. Not until
+the very end of the T'ang period did there appear the form of a "free"
+versification, with lines of no fixed length. This form came from the
+indigenous folk-songs of south-western China, and was spread through the
+agency of the <i>filles de joie</i> in the tea-houses. Before long it became
+the custom to string such songs together in a continuous series&mdash;the
+first step towards opera. For these song sequences were sung by way of
+accompaniment to the theatrical productions. The Chinese theatre had
+developed from two sources&mdash;from religious games, bullfights and
+wrestling, among Turkish and Mongol peoples, which developed into
+dancing displays; and from sacrificial games of South Chinese origin.
+Thus the Chinese theatre, with its union with music, should rather be
+called opera, although it offers a sort of pantomimic show. What
+amounted to a court conservatoire trained actors and musicians as <!-- Page 183 --><span class='pagenum'><a name="Page_183" id="Page_183">[Pg 183]</a></span>early
+as in the T'ang period for this court opera. These actors and musicians
+were selected from the best-looking "commoners", but they soon tended to
+become a special caste with a legal status just below that of
+"burghers".</p>
+
+<p>In plastic art there are fine sculptures in stone and bronze, and we
+have also technically excellent fabrics, the finest of lacquer, and
+remains of artistic buildings; but the principal achievement of the
+T'ang period lies undoubtedly in the field of painting. As in poetry, in
+painting there are strong traces of alien influences; even before the
+T'ang period, the painter Hsieh Ho laid down the six fundamental laws of
+painting, in all probability drawn from Indian practice. Foreigners were
+continually brought into China as decorators of Buddhist temples, since
+the Chinese could not know at first how the new gods had to be
+presented. The Chinese regarded these painters as craftsmen, but admired
+their skill and their technique and learned from them.</p>
+
+<p>The most famous Chinese painter of the T'ang period is Wu Tao-tz&#365;, who
+was also the painter most strongly influenced by Central Asian works. As
+a pious Buddhist he painted pictures for temples among others. Among the
+landscape painters, Wang Wei (721-759) ranks first; he was also a famous
+poet and aimed at uniting poem and painting into an integral whole. With
+him begins the great tradition of Chinese landscape painting, which
+attained its zenith later, in the Sung epoch.</p>
+
+<p>Porcelain had been invented in China long ago. There was as yet none of
+the white porcelain that is preferred today; the inside was a
+brownish-yellow; but on the whole it was already technically and
+artistically of a very high quality. Since porcelain was at first
+produced only for the requirements of the court and of high
+dignitaries&mdash;mostly in state factories&mdash;a few centuries later the T'ang
+porcelain had become a great rarity. But in the centuries that followed,
+porcelain became an important new article of Chinese export. The Chinese
+prisoners taken by the Arabs in the great battle of Samarkand (751), the
+first clash between the world of Islam and China, brought to the West
+the knowledge of Chinese culture, of several Chinese crafts, of the art
+of papermaking, and also of porcelain.</p>
+
+<p>The emperor Hs&uuml;an Tsung gave active encouragement to all things
+artistic. Poets and painters contributed to the elegance of his
+magnificent court ceremonial. As time went on he showed less and less
+interest in public affairs, and grew increasingly inclined to Taoism and
+mysticism in general&mdash;an outcome of the fact that the conduct of matters
+of state was gradually taken out of his hands. On the whole, however,
+Buddhism was pushed into the <!-- Page 184 --><span class='pagenum'><a name="Page_184" id="Page_184">[Pg 184]</a></span>background in favour of Confucianism, as a
+reaction from the unusual privileges that had been accorded to the
+Buddhists in the past fifteen years under the empress Wu.</p>
+
+
+<p class="sect">6 <i>Revolt of a military governor</i></p>
+
+<p>At the beginning of Hs&uuml;an Tsung's reign the capital had been in the east
+at Loyang; then it was transferred once more to Ch'ang-an in the west
+due to pressure of the western gentry. The emperor soon came under the
+influence of the unscrupulous but capable and energetic Li Lin-fu, a
+distant relative of the ruler. Li was a virtual dictator at the court
+from 736 to 752, who had first advanced in power by helping the
+concubine Wu, a relative of the famous empress Wu, and by continually
+playing the eastern against the western gentry. After the death of the
+concubine Wu, he procured for the emperor a new concubine named Yang, of
+a western family. This woman, usually called "Concubine Yang" (Yang
+Kui-fei), became the heroine of countless stage-plays and stories and
+even films; all the misfortunes that marked the end of Hs&uuml;an Tsung's
+reign were attributed solely to her. This is incorrect, as she was but a
+link in the chain of influences that played upon the emperor. Naturally
+she found important official posts for her brothers and all her
+relatives; but more important than these was a military governor named
+An Lu-shan (703-757). His mother was a Turkish shamaness, his father, a
+foreigner probably of Sogdian origin. An Lu-shan succeeded in gaining
+favour with the Li clique, which hoped to make use of him for its own
+ends. Chinese sources describe him as a prodigy of evil, and it will be
+very difficult today to gain a true picture of his personality. In any
+case, he was certainly a very capable officer. His rise started from a
+victory over the Kitan in 744. He spent some time establishing relations
+with the court and then went back to resume operations against the
+Kitan. He made so much of the Kitan peril that he was permitted a larger
+army than usual, and he had command of 150,000 troops in the
+neighbourhood of Peking. Meanwhile Li Lin-fu died. He had sponsored An
+as a counterbalance against the western gentry. When now, within the
+clique of Li Lin-fu, the Yang family tried to seize power, they turned
+against An Lu-shan. But he marched against the capital, Ch'ang-an, with
+200,000 men; on his way he conquered Loyang and made himself emperor
+(756: Yen dynasty). T'ang troops were sent against him under the
+leadership of the Chinese Kuo Tz&#365;-i, a Kitan commander, and a Turk,
+Ko-shu Han.</p>
+
+<p>The first two generals had considerable success, but Ko-shu<!-- Page 185 --><span class='pagenum'><a name="Page_185" id="Page_185">[Pg 185]</a></span> Han, whose
+task was to prevent access to the western capital, was quickly defeated
+and taken prisoner. The emperor fled betimes, and An Lu-shan captured
+Ch'ang-an. The emperor now abdicated; his son, emperor Su Tsung
+(756-762), also fled, though not with him into Szechwan, but into
+north-western Shensi. There he defended himself against An Lu-shan and
+his capable general Shih Ss&#365;-ming (himself a Turk), and sought aid in
+Central Asia. A small Arab troop came from the caliph Abu-Jafar, and
+also small bands from Turkestan; of more importance was the arrival of
+Uighur cavalry in substantial strength. At the end of 757 there was a
+great battle in the neighbourhood of the capital, in which An Lu-shan
+was defeated by the Uighurs; shortly afterwards he was murdered by one
+of his eunuchs. His followers fled; Loyang was captured and looted by
+the Uighurs. The victors further received in payment from the T'ang
+government 10,000 rolls of silk with a promise of 20,000 rolls a year;
+the Uighur khan was given a daughter of the emperor as his wife. An
+Lu-shan's general, the Turk Shih Ss&#365;-ming, entered into An Lu-shan's
+heritage, and dominated so large a part of eastern China that the
+Chinese once more made use of the Uighurs to bring him down. The
+commanders in the fighting against Shih Ss&#365;-ming this time were once
+more Kuo Tz&#365;-i and the Kitan general, together with P'u-ku Huai-en, a
+member of a T&ouml;l&ouml;s family that had long been living in China. At first
+Shih Ss&#365;-ming was victorious, and he won back Loyang, but then he was
+murdered by his own son, and only by taking advantage of the
+disturbances that now arose were the government troops able to quell the
+dangerous rising.</p>
+
+<p>In all this, two things seem interesting and important. To begin with,
+An Lu-shan had been a military governor. His rising showed that while
+this new office, with its great command of power, was of value in
+attacking external enemies, it became dangerous, especially if the
+central power was weak, the moment there were no external enemies of any
+importance. An Lu-shan's rising was the first of many similar ones in
+the later T'ang period. The gentry of eastern China had shown themselves
+entirely ready to support An Lu-shan against the government, because
+they had hoped to gain advantage as in the past from a realm with its
+centre once more in the east. In the second place, the important part
+played by aliens in events within China calls for notice: not only were
+the rebels An Lu-shan and Shih Ss&#365;-ming non-Chinese, but so also were
+most of the generals opposed to them. But they regarded themselves as
+Chinese, not as members of another national group. The Turkish Uighurs
+brought in to help against them were fighting actually against Turks,
+though they regarded those Turks as<!-- Page 186 --><span class='pagenum'><a name="Page_186" id="Page_186">[Pg 186]</a></span> Chinese. We must not bring to the
+circumstances of those times the present-day notions with regard to
+national feeling.</p>
+
+
+<p class="sect">7 <i>The role of the Uighurs. Confiscation of the capital of the
+monasteries</i></p>
+
+<p>This rising and its sequels broke the power of the dynasty, and also of
+the empire. The extremely sanguinary wars had brought fearful suffering
+upon the population. During the years of the rising, no taxes came in
+from the greater part of the empire, but great sums had to be paid to
+the peoples who had lent aid to the empire. And the looting by
+government troops and by the auxiliaries injured the population as much
+as the war itself did.</p>
+
+<p>When the emperor Su Tsung died, in 762, Tengri, the khan of the Uighurs,
+decided to make himself ruler over China. The events of the preceding
+years had shown him that China alone was entirely defenceless. Part of
+the court clique supported him, and only by the intervention of P'u-ku
+Huai-en, who was related to Tengri by marriage, was his plan frustrated.
+Naturally there were countless intrigues against P'u-ku Huai-en. He
+entered into alliance with the Tibetan T'u-fan, and in this way the
+union of Turks and Tibetans, always feared by the Chinese, had come into
+existence. In 763 the Tibetans captured and burned down the western
+capital, while P'u-ku Huai-en with the Uighurs advanced from the north.
+Undoubtedly this campaign would have been successful, giving an entirely
+different turn to China's destiny, if P'u-ku Huai-en had not died in 765
+and the Chinese under Kuo Tz&#365;-i had not succeeded in breaking up the
+alliance. The Uighurs now came over into an alliance with the Chinese,
+and the two allies fell upon the Tibetans and robbed them of their
+booty. China was saved once more.</p>
+
+<p>Friendship with the Uighurs had to be paid for this time even more
+dearly. They crowded into the capital and compelled the Chinese to buy
+horses, in payment for which they demanded enormous quantities of
+silkstuffs. They behaved in the capital like lords, and expected to be
+maintained at the expense of the government. The system of military
+governors was adhered to in spite of the country's experience of them,
+while the difficult situation throughout the empire, and especially
+along the western and northern frontiers, facing the Tibetans and the
+more and more powerful Kitan, made it necessary to keep considerable
+numbers of soldiers permanently with the colours. This made the military
+governors stronger and stronger; ultimately they no longer remitted any
+taxes to the central government, but spent them mainly on <!-- Page 187 --><span class='pagenum'><a name="Page_187" id="Page_187">[Pg 187]</a></span>their armies.
+Thus from 750 onward the empire consisted of an impotent central
+government and powerful military governors, who handed on their
+positions to their sons as a further proof of their independence. When
+in 781 the government proposed to interfere with the inheriting of the
+posts, there was a great new rising, which in 783 again extended as far
+as the capital; in 784 the T'ang government at last succeeded in
+overcoming it. A compromise was arrived at between the government and
+the governors, but it in no way improved the situation. Life became more
+and more difficult for the central government. In 780, the "equal land"
+system was finally officially given up and with it a tax system which
+was based upon the idea that every citizen had the same amount of land
+and, therefore, paid the same amount of taxes. The new system tried to
+equalize the tax burden and the corv&eacute;e obligation, but not the land.
+This change may indicate a step towards greater freedom for private
+enterprise. Yet it did not benefit the government, as most of the tax
+income was retained by the governors and was used for their armies and
+their own court.</p>
+
+<p>In the capital, eunuchs ruled in the interests of various cliques.
+Several emperors fell victim to them or to the drinking of "elixirs of
+long life".</p>
+
+<p>Abroad, the Chinese lost their dominion over Turkestan, for which
+Uighurs and Tibetans competed. There is nothing to gain from any full
+description of events at court. The struggle between cliques soon became
+a struggle between eunuchs and literati, in much the same way as at the
+end of the second Han dynasty. Trade steadily diminished, and the state
+became impoverished because no taxes were coming in and great armies had
+to be maintained, though they did not even obey the government.</p>
+
+<p>Events that exerted on the internal situation an influence not to be
+belittled were the break-up of the Uighurs (from 832 onward) the
+appearance of the Turkish Sha-t'o, and almost at the same time, the
+dissolution of the Tibetan empire (from 842). Many other foreigners had
+placed themselves under the Uighurs living in China, in order to be able
+to do business under the political protection of the Uighur embassy, but
+the Uighurs no longer counted, and the T'ang government decided to seize
+the capital sums which these foreigners had accumulated. It was hoped in
+this way especially to remedy the financial troubles of the moment,
+which were partly due to a shortage of metal for minting. As the trading
+capital was still placed with the temples as banks, the government
+attacked the religion of the Uighurs, Manichaeism, and also the
+religions of the other foreigners, Mazdaism, Nestorianism, <!-- Page 188 --><span class='pagenum'><a name="Page_188" id="Page_188">[Pg 188]</a></span>and
+apparently also Islam. In 843 alien religions were prohibited; aliens
+were also ordered to dress like Chinese. This gave them the status of
+Chinese citizens and no longer of foreigners, so that Chinese justice
+had a hold over them. That this law abolishing foreign religions was
+aimed solely at the foreigners' capital is shown by the proceedings at
+the same time against Buddhism which had long become a completely
+Chinese Church. Four thousand, six hundred Buddhist temples, 40,000
+shrines and monasteries were secularized, and all statues were required
+to be melted down and delivered to the government, even those in private
+possession. Two hundred and sixty thousand, five hundred monks were to
+become ordinary citizens once more. Until then monks had been free of
+taxation, as had millions of acres of land belonging to the temples and
+leased to tenants or some 150,000 temple slaves.</p>
+
+<p>Thus the edict of 843 must not be described as concerned with religion:
+it was a measure of compulsion aimed at filling the government coffers.
+All the property of foreigners and a large part of the property of the
+Buddhist Church came into the hands of the government. The law was not
+applied to Taoism, because the ruling gentry of the time were, as so
+often before, Confucianist and at the same time Taoist. As early as 846
+there came a reaction: with the new emperor, Confucians came into power
+who were at the same time Buddhists and who now evicted some of the
+Taoists. From this time one may observe closer co-operation between
+Confucianism and Buddhism; not only with meditative Buddhism (Dhyana) as
+at the beginning of the T'ang epoch and earlier, but with the main
+branch of Buddhism, monastery Buddhism (Vinaya). From now onward the
+Buddhist doctrines of transmigration and retribution, which had been
+really directed against the gentry and in favour of the common people,
+were turned into an instrument serving the gentry: everyone who was
+unfortunate in this life must show such amenability to the government
+and the gentry that he would have a chance of a better existence at
+least in the next life. Thus the revolutionary Buddhist doctrine of
+retribution became a reactionary doctrine that was of great service to
+the gentry. One of the Buddhist Confucians in whose works this revised
+version makes its appearance most clearly was Niu Seng-yu, who was at
+once summoned back to court in 846 by the new emperor. Three new large
+Buddhist sects came into existence in the T'ang period. One of them, the
+school of the Pure Land (<i>Ching-t'u tsung</i>, since 641) required of its
+mainly lower class adherents only the permanent invocation of the Buddha
+Amithabha who would secure them a place in the "Western Paradise"&mdash;a
+place without social <!-- Page 189 --><span class='pagenum'><a name="Page_189" id="Page_189">[Pg 189]</a></span>classes and economic troubles. The cult of
+Maitreya, which was always more revolutionary, receded for a while.</p>
+
+
+<p class="sect">8 <i>First successful peasant revolt. Collapse of the empire</i></p>
+
+<p>The chief sufferers from the continual warfare of the military
+governors, the sanguinary struggles between the cliques, and the
+universal impoverishment which all this fighting produced, were, of
+course, the common people. The Chinese annals are filled with records of
+popular risings, but not one of these had attained any wide extent, for
+want of organization. In 860 began the first great popular rising, a
+revolt caused by famine in the province of Chekiang. Government troops
+suppressed it with bloodshed. Further popular risings followed. In 874
+began a great rising in the south of the present province of Hopei, the
+chief agrarian region.</p>
+
+<p>The rising was led by a peasant, Wang Hsien-chih, together with Huang
+Ch'ao, a salt merchant, who had fallen into poverty and had joined the
+hungry peasants, forming a fighting group of his own. It is important to
+note that Huang was well educated. It is said that he failed in the
+state examination. Huang is not the first merchant who became rebel. An
+Lu-shan, too, had been a businessman for a while. It was pointed out
+that trade had greatly developed in the T'ang period; of the lower
+Yangtze region people it was said that "they were so much interested in
+business that they paid no attention to agriculture". Yet merchants were
+subject to many humiliating conditions. They could not enter the
+examinations, except by illegal means. In various periods, from the Han
+time on, they had to wear special dress. Thus, a law from <i>c</i>.
+<span class="smcap">A.D.</span> 300 required them to wear a white turban on which name and
+type of business was written, and to wear one white and one black shoe.
+They were subject to various taxes, but were either not allowed to own
+land, or were allotted less land than ordinary citizens. Thus they could
+not easily invest in land, the safest investment at that time. Finally,
+the government occasionally resorted to the method which was often used
+in the Near East: when in 782 the emperor ran out of money, he requested
+the merchants of the capital to "loan" him a large sum&mdash;a request which
+in fact was a special tax.</p>
+
+<p>Wang and Huang both proved good organizers of the peasant masses, and in
+a short time they had captured the whole of eastern China, without the
+military governors being able to do anything against them, for the
+provincial troops were more inclined to show sympathy to the peasant
+armies than to fight them. The terrified government issued an order to
+arm the people of the other parts of the country against the rebels;
+naturally this helped the rebels <!-- Page 190 --><span class='pagenum'><a name="Page_190" id="Page_190">[Pg 190]</a></span>more than the government, since the
+peasants thus armed went over to the rebels. Finally Wang was offered a
+high office. But Huang urged him not to betray his own people, and Wang
+declined the offer. In the end the government, with the aid of the
+troops of the Turkish Sha-t'o, defeated Wang and beheaded him (878).
+Huang Ch'ao now moved into the south-east and the south, where in 879 he
+captured and burned down Canton; according to an Arab source, over
+120,000 foreign merchants lost their lives in addition to the Chinese.
+From Canton Huang Ch'ao returned to the north, laden with loot from that
+wealthy commercial city. His advance was held up again by the Sha-t'o
+troops; he turned away to the lower Yangtze, and from there marched
+north again. At the end of 880 he captured the eastern capital. The
+emperor fled from the western capital, Ch'ang-an, into Szechwan, and
+Huang Ch'ao now captured with ease the western capital as well, and
+removed every member of the ruling family on whom he could lay hands. He
+then made himself emperor, in a Ch'i dynasty. It was the first time that
+a peasant rising had succeeded against the gentry.</p>
+
+<p>There was still, however, the greatest disorder in the empire. There
+were other peasant armies on the move, armies that had deserted their
+governors and were fighting for themselves; finally, there were still a
+few supporters of the imperial house and, above all, the Turkish
+Sha-t'o, who had a competent commander with the sinified name of Li
+K'o-yung. The Sha-t'o, who had remained loyal to the government,
+revolted the moment the government had been overthrown. They ran the
+risk, however, of defeat at the hands of an alien army of the Chinese
+government's, commanded by an Uighur, and they therefore fled to the
+Tatars. In spite of this, the Chinese entered again into relations with
+the Sha-t'o, as without them there could be no possibility of getting
+rid of Huang Ch'ao. At the end of 881 Li K'o-yung fell upon the capital;
+there was a fearful battle. Huang Ch'ao was able to hold out, but a
+further attack was made in 883 and he was defeated and forced to flee;
+in 884 he was killed by the Sha-t'o.</p>
+
+<p>This popular rising, which had only been overcome with the aid of
+foreign troops, brought the end of the T'ang dynasty. In 885 the T'ang
+emperor was able to return to the capital, but the only question now was
+whether China should be ruled by the Sha-t'o under Li K'o-yung or by
+some other military commander. In a short time Chu Ch'&uuml;an-chung, a
+former follower of Huang Ch'ao, proved to be the strongest of the
+commanders. In 890 open war began between the two leaders. Li K'o-yung
+was based on Shansi; Chu Ch'&uuml;an-chung had control of the plains in the
+east. Meanwhile the governors of Szechwan in the west and Chekiang in
+the <!-- Page 191 --><span class='pagenum'><a name="Page_191" id="Page_191">[Pg 191]</a></span>south-east made themselves independent. Both declared themselves
+kings or emperors and set up dynasties of their own (from 895).</p>
+
+<p>Within the capital, the emperor was threatened several times by revolts,
+so that he had to flee and place himself in the hands of Li K'o-yung as
+the only leader on whose loyalty he could count. Soon after this,
+however, the emperor fell into the hands of Chu Ch'&uuml;an-chung, who killed
+the whole entourage of the emperor, particularly the eunuchs; after a
+time he had the emperor himself killed, set a puppet&mdash;as had become
+customary&mdash;on the throne, and at the beginning of 907 took over the rule
+from him, becoming emperor in the "Later Liang dynasty".</p>
+
+<p>That was the end of the T'ang dynasty, at the beginning of which China
+had risen to unprecedented power. Its downfall had been brought about by
+the military governors, who had built up their power and had become
+independent hereditary satraps, exploiting the people for their own
+purposes, and by their continual mutual struggles undermining the
+economic structure of the empire. In addition to this, the empire had
+been weakened first by its foreign trade and then by the dependence on
+foreigners, especially Turks, into which it had fallen owing to internal
+conditions. A large part of the national income had gone abroad. Such is
+the explanation of the great popular risings which ultimately brought
+the dynasty to its end.<a name="Page_192" id="Page_192"></a><a name="Page_193" id="Page_193"></a></p>
+
+
+
+<hr />
+<h2><a name="MODERN_TIMES" id="MODERN_TIMES"></a>MODERN TIMES</h2>
+
+<p><a name="Page_194" id="Page_194"></a>
+
+
+<!-- Page 195 --><span class='pagenum'><a name="Page_195" id="Page_195">[Pg 195]</a></span></p>
+<hr />
+<h2><a name="Chapter_Nine" id="Chapter_Nine"></a>Chapter Nine</h2>
+
+<h2 class="ln2">THE EPOCH OF THE SECOND DIVISION OF CHINA</h2>
+
+
+
+<h3>(A) The period of transition: the Five Dynasties (<span class="smcap">A.D.</span> 906-960)</h3>
+
+<p class="sect">1 <i>Beginning of a new epoch</i></p>
+
+<p>The rebellion of Huang Ch'ao in fact meant the end of the T'ang dynasty
+and the division of China into a number of independent states. Only for
+reasons of convenience we keep the traditional division into dynasties
+and have our new period begin with the official end of the T'ang dynasty
+in 906. We decided to call the new thousand years of Chinese history
+"Modern Times" in order to indicate that from <i>c</i>. 860 on changes in
+China's social structure came about which set this epoch off from the
+earlier thousand years which we called "The Middle Ages". Any division
+into periods is arbitrary as changes do not happen from one year to the
+next. The first beginnings of the changes which lead to the "Modern
+Times" actually can be seen from the end of An Lu-shan's rebellion on,
+from <i>c</i>. <span class="smcap">A.D.</span> 780 on, and the transformation was more or less
+completed only in the middle of the eleventh century.</p>
+
+<p>If we want to characterize the "Modern Times" by one concept, we would
+have to call this epoch the time of the emergence of a middle class, and
+it will be remembered that the growth of the middle class in Europe was
+also the decisive change between the Middle Ages and Modern Times in
+Europe. The parallelism should, however, not be overdone. The gentry
+continued to play a role in China during the Modern Times, much more
+than the aristocracy did in Europe. The middle class did not ever really
+get into power during the whole period.</p>
+
+<p>While we will discuss the individual developments later in some detail,
+a few words about the changes in general might be given already here.
+The wars which followed Huang Ch'ao's rebellion <!-- Page 196 --><span class='pagenum'><a name="Page_196" id="Page_196">[Pg 196]</a></span>greatly affected the
+ruling gentry. A number of families were so strongly affected that they
+lost their importance and disappeared. Commoners from the followers of
+Huang Ch'ao or other armies succeeded to get into power, to acquire
+property and to enter the ranks of the gentry. At about <span class="smcap">A.D.</span>
+1000 almost half of the gentry families were new families of low origin.
+The state, often ruled by men who had just moved up, was no more
+interested in the aristocratic manners of the old gentry families,
+especially no more interested in their genealogies. When conditions
+began to improve after <span class="smcap">A.D.</span> 1000, and when the new families
+felt themselves as real gentry families, they tried to set up a
+mechanism to protect the status of their families. In the eleventh
+century private genealogies began to be kept, so that any claim against
+the clan could be checked. Clans set up rules of behaviour and procedure
+to regulate all affairs of the clan without the necessity of asking the
+state to interfere in case of conflict. Many such "clan rules" exist in
+China and also in Japan which took over this innovation. Clans set apart
+special pieces of land as clan land; the income of this land was to be
+used to secure a minimum of support for every clan member and his own
+family, so that no member ever could fall into utter poverty. Clan
+schools which were run by income from special pieces of clan land were
+established to guarantee an education for the members of the clan, again
+in order to make sure that the clan would remain a part of the <i>&eacute;lite</i>.
+Many clans set up special marriage rules for clan members, and after
+some time cross-cousin marriages between two or three families were
+legally allowed; such marriages tended to fasten bonds between clans and
+to prevent the loss of property by marriage. While on the one hand, a
+new "clan consciousness" grew up among the gentry families in order to
+secure their power, tax and corv&eacute;e legislation especially in the
+eleventh century induced many families to split up into small families.</p>
+
+<p>It can be shown that over the next centuries, the power of the family
+head increased. He was now regarded as owner of the property, not only
+mere administrator of family property. He got power over life and death
+of his children. This increase of power went together with a change of
+the position of the ruler. The period transition (until <i>c</i>.
+<span class="smcap">A.D.</span> 1000) was followed by a period of "moderate absolutism"
+(until 1278) in which emperors as persons played a greater role than
+before, and some emperors, such as Shen Tsung (in 1071), even declared
+that they regarded the welfare of the masses as more important than the
+profit of the gentry. After 1278, however, the personal influence of the
+emperors grew further towards absolutism and in times became pure
+despotism.<!-- Page 197 --><span class='pagenum'><a name="Page_197" id="Page_197">[Pg 197]</a></span></p>
+
+<p>Individuals, especially family heads, gained more freedom in "Modern
+Times". Not only the period of transition, but also the following period
+was a time of much greater social mobility than existed in the Middle
+Ages. By various legal and/or illegal means people could move up into
+positions of power and wealth: we know of many merchants who succeeded
+in being allowed to enter the state <ins class="corr" title="may be typo for examination">examina</ins> and thus got access to jobs
+in the administration. Large, influential gentry families in the capital
+protected sons from less important families and thus gave them a chance
+to move into the gentry. Thus, these families built up a clientele of
+lesser gentry families which assisted them and upon the loyalty of which
+they could count. The gentry can from now on be divided into two parts.
+First, there was a "big gentry" which consisted of much fewer families
+than in earlier times and which directed the policy in the capital; and
+secondly, there was a "small gentry" which was operating mainly in the
+provincial cities, directing local affairs and bound by ties of loyalty
+to big gentry families. Gentry cliques now extended into the provinces
+and it often became possible to identify a clique with a geographical
+area, which, however, usually did not indicate particularistic
+tendencies.</p>
+
+<p>Individual freedom did not show itself only in greater social mobility.
+The restrictions which, for instance, had made the craftsmen and
+artisans almost into serfs, were gradually lifted. From the early
+sixteenth century on, craftsmen were free and no more subject to forced
+labour services for the state. Most craftsmen in this epoch still had
+their shops in one lane or street and lived above their shops, as they
+had done in the earlier period. But from now on, they began to organize
+in guilds of an essentially religious character, as similar guilds in
+other parts of Asia at the same time also did. They provided welfare
+services for their members, made some attempts towards standardization
+of products and prices, imposed taxes upon their members, kept their
+streets clean and tried to regulate salaries. Apprentices were initiated
+in a kind of semi-religious ceremony, and often meetings took place in
+temples. No guild, however, connected people of the same craft living in
+different cities. Thus, they did not achieve political power.
+Furthermore, each trade had its own guild; in Peking in the nineteenth
+century there existed over 420 different guilds. Thus, guilds failed to
+achieve political influence even within individual cities.</p>
+
+<p>Probably at the same time, regional associations, the so-called
+"<i>hui-kuan</i>" originated. Such associations united people from one city
+or one area who lived in another city. People of different trades, but
+mainly businessmen, came together under elected chiefs and <!-- Page 198 --><span class='pagenum'><a name="Page_198" id="Page_198">[Pg 198]</a></span>councillors.
+Sometimes, such regional associations could function as pressure groups,
+especially as they were usually financially stronger than the guilds.
+They often owned city property or farm land. Not all merchants, however,
+were so organized. Although merchants remained under humiliating
+restrictions as to the colour and material of their dress and the
+prohibition to ride a horse, they could more often circumvent such
+restrictions and in general had much more freedom in this epoch.</p>
+
+<p>Trade, including overseas trade, developed greatly from now on. Soon we
+find in the coastal ports a special office which handled custom and
+registration affairs, supplied interpreters for foreigners, received
+them officially and gave good-bye dinners when they left. Down to the
+thirteenth century, most of this overseas trade was still in the hands
+of foreigners, mainly Indians. Entrepreneurs hired ships, if they were
+not ship-owners, hired trained merchants who in turn hired sailors
+mainly from the South-East Asian countries, and sold their own
+merchandise as well as took goods on commission. Wealthy Chinese gentry
+families invested money in such foreign enterprises and in some cases
+even gave their daughters in marriage to foreigners in order to profit
+from this business.</p>
+
+<p>We also see an emergence of industry from the eleventh century on. We
+find men who were running almost monopolistic enterprises, such as
+preparing charcoal for iron production and producing iron and steel at
+the same time; some of these men had several factories, operating under
+hired and qualified managers with more than 500 labourers. We find
+beginnings of a labour legislation and the first strikes (<span class="smcap">A.D.</span>
+782 the first strike of merchants in the capital; 1601 first strike of
+textile workers).</p>
+
+<p>Some of these labourers were so-called "vagrants", farmers who had
+secretly left their land or their landlord's land for various reasons,
+and had shifted to other regions where they did not register and thus
+did not pay taxes. Entrepreneurs liked to hire them for industries
+outside the towns where supervision by the government was not so strong;
+naturally, these "vagrants" were completely at the mercy of their
+employers.</p>
+
+<p>Since <i>c.</i> 780 the economy can again be called a money economy; more and
+more taxes were imposed in form of money instead of in kind. This
+pressure forced farmers out of the land and into the cities in order to
+earn there the cash they needed for their tax payments. These men
+provided the labour force for industries, and this in turn led to the
+strong growth of the cities, especially in Central China where trade and
+industries developed most.</p>
+
+<p>Wealthy people not only invested in industrial enterprises, but also
+began to make heavy investments in agriculture in the vicinity <!-- Page 199 --><span class='pagenum'><a name="Page_199" id="Page_199">[Pg 199]</a></span>of
+cities in order to increase production and thus income. We find men who
+drained lakes in order to create fields below the water level for easy
+irrigation; others made floating fields on lakes and avoided land tax
+payments; still others combined pig and fish breeding in one operation.</p>
+
+<p>The introduction of money economy and money taxes led to a need for more
+coinage. As metal was scarce and minting very expensive, iron coins were
+introduced, silver became more and more common as means of exchange, and
+paper money was issued. As the relative value of these moneys changed
+with supply and demand, speculation became a flourishing business which
+led to further enrichment of people in business. Even the government
+became more money-minded: costs of operations and even of wars were
+carefully calculated in order to achieve savings; financial specialists
+were appointed by the government, just as clans appointed such men for
+the efficient administration of their clan properties.</p>
+
+<p>Yet no real capitalism or industrialism developed until towards the end
+of this epoch, although at the end of the twelfth century almost all
+conditions for such a development seemed to be given.</p>
+
+
+<p class="sect">2 <i>Political situation in the tenth century</i></p>
+
+<p>The Chinese call the period from 906 to 960 the "period of the Five
+Dynasties" (<i>Wu Tai</i>). This is not quite accurate. It is true that there
+were five dynasties in rapid succession in North China; but at the same
+time there were ten other dynasties in South China. The ten southern
+dynasties, however, are regarded as not legitimate. The south was much
+better off with its illegitimate dynasties than the north with the
+legitimate ones. The dynasties in the south (we may dispense with giving
+their names) were the realms of some of the military governors so often
+mentioned above. These governors had already become independent at the
+end of the T'ang epoch; they declared themselves kings or emperors and
+ruled particular provinces in the south, the chief of which covered the
+territory of the present provinces of Szechwan, Kwangtung and Chekiang.
+In these territories there was comparative peace and economic
+prosperity, since they were able to control their own affairs and were
+no longer dependent on a corrupt central government. They also made
+great cultural progress, and they did not lose their importance later
+when they were annexed in the period of the Sung dynasty.</p>
+
+<p>As an example of these states one may mention the small state of Ch'u in
+the present province of Hunan. Here, Ma Yin, a former <!-- Page 200 --><span class='pagenum'><a name="Page_200" id="Page_200">[Pg 200]</a></span>carpenter (died
+931), had made himself a king. He controlled some of the main trade
+routes, set up a clean administration, bought up all merchandise which
+the merchants brought, but allowed them to export only local products,
+mainly tea, iron and lead. This regulation gave him a personal income of
+several millions every year, and in addition fostered the exploitation
+of the natural resources of this hitherto retarded area.</p>
+
+
+<p>3 <i>Monopolistic trade in South China. Printing and paper money in the
+north</i></p>
+
+<p>The prosperity of the small states of South China was largely due to the
+growth of trade, especially the tea trade. The habit of drinking tea
+seems to have been an ancient Tibetan custom, which spread to
+south-eastern China in the third century <span class="smcap">A.D.</span> Since then there
+had been two main centres of production, Szechwan and south-eastern
+China. Until the eleventh century Szechwan had remained the leading
+producer, and tea had been drunk in the Tibetan fashion, mixed with
+flour, salt, and ginger. It then began to be drunk without admixture. In
+the T'ang epoch tea drinking spread all over China, and there sprang up
+a class of wholesalers who bought the tea from the peasants, accumulated
+stocks, and distributed them. From 783 date the first attempts of the
+state to monopolize the tea trade and to make it a source of revenue;
+but it failed in an attempt to make the cultivation a state monopoly. A
+tea commissariat was accordingly set up to buy the tea from the
+producers and supply it to traders in possession of a state licence.
+There naturally developed then a pernicious collaboration between state
+officials and the wholesalers. The latter soon eliminated the small
+traders, so that they themselves secured all the profit; official
+support was secured by bribery. The state and the wholesalers alike were
+keenly interested in the prevention of tea smuggling, which was strictly
+prohibited.</p>
+
+<p>The position was much the same with regard to salt. We have here for the
+first time the association of officials with wholesalers or even with a
+monopoly trade. This was of the utmost importance in all later times.
+Monopoly progressed most rapidly in Szechwan, where there had always
+been a numerous commercial community. In the period of political
+fragmentation Szechwan, as the principal tea-producing region and at the
+same time an important producer of salt, was much better off than any
+other part of China. Salt in Szechwan was largely produced by,
+technically, very interesting salt wells which existed there since <i>c.</i>
+the first century <span class="smcap">B.C.</span> The importance of salt will be
+understood if we remember that a grown-up <!-- Page 201 --><span class='pagenum'><a name="Page_201" id="Page_201">[Pg 201]</a></span>person in China uses an
+average of twelve pounds of salt per year. The salt tax was the top
+budget item around <span class="smcap">A.D.</span> 900.</p>
+
+<p>South-eastern China was also the chief centre of porcelain production,
+although china clay is found also in North China. The use of porcelain
+spread more and more widely. The first translucent porcelain made its
+appearance, and porcelain became an important article of commerce both
+within the country and for export. Already the Muslim rulers of Baghdad
+around 800 used imported Chinese porcelain, and by the end of the
+fourteenth century porcelain was known in Eastern Africa. Exports to
+South-East Asia and Indonesia, and also to Japan gained more and more
+importance in later centuries. Manufacture of high quality porcelain
+calls for considerable amounts of capital investment and working
+capital; small manufacturers produce too many second-rate pieces; thus
+we have here the first beginnings of an industry that developed
+industrial towns such as Ching-t&ecirc;, in which the majority of the
+population were workers and merchants, with some 10,000 families alone
+producing porcelain. Yet, for many centuries to come, the state
+controlled the production and even the design of porcelain and
+appropriated most of the production for use at court or as gifts.</p>
+
+<p>The third important new development to be mentioned was that of
+printing, which since <i>c</i>. 770 was known in the form of wood-block
+printing. The first reference to a printed book dated from 835, and the
+most important event in this field was the first printing of the
+Classics by the orders of Feng Tao (882-954) around 940. The first
+attempts to use movable type in China occurred around 1045, although
+this invention did not get general acceptance in China. It was more
+commonly used in Korea from the thirteenth century on and revolutionized
+Europe from 1538 on. It seems to me that from the middle of the
+twentieth century on, the West, too, shows a tendency to come back to
+the printing of whole pages, but replacing the wood blocks by
+photographic plates or other means. In the Far East, just as in Europe,
+the invention of printing had far-reaching consequences. Books, which
+until then had been very dear, because they had had to be produced by
+copyists, could now be produced cheaply and in quantity. It became
+possible for a scholar to accumulate a library of his own and to work in
+a wide field, where earlier he had been confined to a few books or even
+a single text. The results were the spread of education, beginning with
+reading and writing, among wider groups, and the broadening of
+education: a large number of texts were read and compared, and no longer
+only a few. Private libraries came into existence, so that the imperial
+libraries were no longer the only <!-- Page 202 --><span class='pagenum'><a name="Page_202" id="Page_202">[Pg 202]</a></span>ones. Publishing soon grew in extent,
+and in private enterprise works were printed that were not so serious
+and politically important as the classic books of the past. Thus a new
+type of literature, the literature of entertainment, could come into
+existence. Not all these consequences showed themselves at once; some
+made their first appearance later, in the Sung period.</p>
+
+<p>A fourth important innovation, this time in North China, was the
+introduction of prototypes of paper money. The Chinese copper "cash" was
+difficult or expensive to transport, simply because of its weight. It
+thus presented great obstacles to trade. Occasionally a region with an
+adverse balance of trade would lose all its copper money, with the
+result of a local deflation. From time to time, iron money was
+introduced in such deficit areas; it had for the first time been used in
+Szechwan in the first century <span class="smcap">B.C.</span>, and was there extensively
+used in the tenth century when after the conquest of the local state all
+copper was taken to the east by the conquerors. So long as there was an
+orderly administration, the government could send it money, though at
+considerable cost; but if the administration was not functioning well,
+the deflation continued. For this reason some provinces prohibited the
+export of copper money from their territory at the end of the eighth
+century. As the provinces were in the hands of military governors, the
+central government could do next to nothing to prevent this. On the
+other hand, the prohibition automatically made an end of all external
+trade. The merchants accordingly began to prepare deposit certificates,
+and in this way to set up a sort of transfer system. Soon these deposit
+certificates entered into circulation as a sort of medium of payment at
+first again in Szechwan, and gradually this led to a banking system and
+the linking of wholesale trade with it. This made possible a much
+greater volume of trade. Towards the end of the T'ang period the
+government began to issue deposit certificates of its own: the merchant
+deposited his copper money with a government agency, receiving in
+exchange a certificate which he could put into circulation like money.
+Meanwhile the government could put out the deposited money at interest,
+or throw it into general circulation. The government's deposit
+certificates were now printed. They were the predecessors of the paper
+money used from the time of the Sung.</p>
+
+
+<p class="sect">4 <i>Political history of the Five Dynasties</i></p>
+
+<p>The southern states were a factor not to be ignored in the calculations
+of the northern dynasties. Although the southern kingdoms were involved
+in a confusion of mutual hostilities, any one of them <!-- Page 203 --><span class='pagenum'><a name="Page_203" id="Page_203">[Pg 203]</a></span>might come to the
+fore as the ally of Turks or other northern powers. The capital of the
+first of the five northern dynasties (once more a Liang dynasty, but not
+to be confused with the Liang dynasty of the south in the sixth century)
+was, moreover, quite close to the territories of the southern dynasties,
+close to the site of the present K'aifeng, in the fertile plain of
+eastern China with its good means of transport. Militarily the town
+could not be held, for its one and only defence was the Yellow River.
+The founder of this Later Liang dynasty, Chu Ch'&uuml;an-chung (906), was
+himself an eastern Chinese and, as will be remembered, a past supporter
+of the revolutionary Huang Ch'ao, but he had then gone over to the T'ang
+and had gained high military rank.</p>
+
+<p>His northern frontier remained still more insecure than the southern,
+for Chu Ch'&uuml;an-chung did not succeed in destroying the Turkish general
+Li K'o-yung; on the contrary, the latter continually widened the range
+of his power. Fortunately he, too, had an enemy at his back&mdash;the Kitan
+(or Khitan), whose ruler had made himself emperor in 916, and so staked
+a claim to reign over all China. The first Kitan emperor held a middle
+course between Chu and Li, and so was able to establish and expand his
+empire in peace. The striking power of his empire, which from 937 onward
+was officially called the Liao empire, grew steadily, because the old
+tribal league of the Kitan was transformed into a centrally commanded
+military organization.</p>
+
+<p>To these dangers from abroad threatening the Later Liang state internal
+troubles were added. Chu Ch'&uuml;an-chung's dynasty was one of the three
+Chinese dynasties that have ever come to power through a popular rising.
+He himself was of peasant origin, and so were a large part of his
+subordinates and helpers. Many of them had originally been independent
+peasant leaders; others had been under Huang Ch'ao. All of them were
+opposed to the gentry, and the great slaughter of the gentry of the
+capital, shortly before the beginning of Chu's rule, had been welcomed
+by Chu and his followers. The gentry therefore would not co-operate with
+Chu and preferred to join the Turk Li K'o-yung. But Chu could not
+confidently rely on his old comrades. They were jealous of his success
+in gaining the place they all coveted, and were ready to join in any
+independent enterprise as opportunity offered. All of them, moreover, as
+soon as they were given any administrative post, busied themselves with
+the acquisition of money and wealth as quickly as possible. These abuses
+not only ate into the revenues of the state but actually produced a
+common front between the peasantry and the remnants of the gentry
+against the upstarts.</p>
+
+<p>In 917, after Li K'o-yung's death, the Sha-t'o Turks beat off an <!-- Page 204 --><span class='pagenum'><a name="Page_204" id="Page_204">[Pg 204]</a></span>attack
+from the Kitan, and so were safe for a time from the northern menace.
+They then marched against the Liang state, where a crisis had been
+produced in 912 after the murder of Chu Ch'&uuml;an-chung by one of his sons.
+The Liang generals saw no reason why they should fight for the dynasty,
+and all of them went over to the enemy. Thus the "Later T'ang dynasty"
+(923-936) came into power in North China, under the son of Li K'o-yung.</p>
+
+<p>The dominant element at this time was quite clearly the Chinese gentry,
+especially in western and central China. The Sha-t'o themselves must
+have been extraordinarily few in number, probably little more than
+100,000 men. Most of them, moreover, were politically passive, being
+simple soldiers. Only the ruling family and its following played any
+active part, together with a few families related to it by marriage. The
+whole state was regarded by the Sha-t'o rulers as a sort of family
+enterprise, members of the family being placed in the most important
+positions. As there were not enough of them, they adopted into the
+family large numbers of aliens of all nationalities. Military posts were
+given to faithful members of Li K'o-yung's or his successor's bodyguard,
+and also to domestic servants and other clients of the family. Thus,
+while in the Later Liang state elements from the peasantry had risen in
+the world, some of these neo-gentry reaching the top of the social
+pyramid in the centuries that followed, in the Sha-t'o state some of its
+warriors, drawn from the most various peoples, entered the gentry class
+through their personal relations with the ruler. But in spite of all
+this the bulk of the officials came once more from the Chinese. These
+educated Chinese not only succeeded in winning over the rulers
+themselves to the Chinese cultural ideal, but persuaded them to adopt
+laws that substantially restricted the privileges of the Sha-t'o and
+brought advantages only to the Chinese gentry. Consequently all the
+Chinese historians are enthusiastic about the "Later T'ang", and
+especially about the emperor Ming Ti, who reigned from 927 onward, after
+the assassination of his predecessor. They also abused the Liang because
+they were against the gentry.</p>
+
+<p>In 936 the Later T'ang dynasty gave place to the Later Chin dynasty
+(936-946), but this involved no change in the structure of the empire.
+The change of dynasty meant no more than that instead of the son
+following the father the son-in-law had ascended the throne. It was of
+more importance that the son-in-law, the Sha-t'o Turk Shih Ching-t'ang,
+succeeded in doing this by allying himself with the Kitan and ceding to
+them some of the northern provinces. The youthful successor, however, of
+the first ruler of this dynasty was soon made to realize that the Kitan
+regarded the founding of his dynasty as no more than a transition stage
+on the way to their <a name="Page_205" id="Page_205"></a><!-- Page 206 --><span class='pagenum'><a name="Page_206" id="Page_206">[Pg 206]</a></span>annexation of the whole of North China. The old
+Sha-t'o nobles, who had not been sinified in the slightest, suggested a
+preventive war; the actual court group, strongly sinified, hesitated,
+but ultimately were unable to avoid war. The war was very quickly
+decided by several governors in eastern China going over to the Kitan,
+who had promised them the imperial title. In the course of 946-7 the
+Kitan occupied the capital and almost the whole of the country. In 947
+the Kitan ruler proclaimed himself emperor of the Kitan and the Chinese.</p>
+
+<div class="center">
+<a name="image15" id="image15"></a>
+<img src="images/image15.png" width="600" height="410"
+alt="Map 6: The State of the later Tang dynasty"
+title="Map 6: The State of the later Tang dynasty" />
+<p class="caption">Map 6: The State of the later Tang dynasty</p>
+</div>
+
+<p>The Chinese gentry seem to have accepted this situation because a Kitan
+emperor was just as acceptable to them as a Sha-t'o emperor; but the
+Sha-t'o were not prepared to submit to the Kitan r&eacute;gime, because under
+it they would have lost their position of privilege. At the head of this
+opposition group stood the Sha-t'o general Liu Chih-y&uuml;an, who founded
+the "Later Han dynasty" (947-950). He was able to hold out against the
+Kitan only because in 947 the Kitan emperor died and his son had to
+leave China and retreat to the north; fighting had broken out between
+the empress dowager, who had some Chinese support, and the young heir to
+the throne. The new Turkish dynasty, however, was unable to withstand
+the internal Chinese resistance. Its founder died in 948, and his son,
+owing to his youth, was entirely in the hands of a court clique. In his
+effort to free himself from the tutelage of this group he made a
+miscalculation, for the men on whom he thought he could depend were
+largely supporters of the clique. So he lost his throne and his life,
+and a Chinese general, Kuo Wei, took his place, founding the "Later Chou
+dynasty" (951-959).</p>
+
+<p>A feature of importance was that in the years of the short-lived "Later
+Han dynasty" a tendency showed itself among the Chinese military leaders
+to work with the states in the south. The increase in the political
+influence of the south was due to its economic advance while the north
+was reduced to economic chaos by the continual heavy fighting, and by
+the complete irresponsibility of the Sha-t'o ruler in financial matters:
+several times in this period the whole of the money in the state
+treasury was handed out to soldiers to prevent them from going over to
+some enemy or other. On the other hand, there was a tendency in the
+south for the many neighbouring states to amalgamate, and as this
+process took place close to the frontier of North China the northern
+states could not passively look on. During the "Later Han" period there
+were wars and risings, which continued in the time of the "Later Chou".</p>
+
+<p>On the whole, the few years of the rule of the second emperor of the
+"Later Chou" (954-958) form a bright spot in those dismal fifty-five
+<!-- Page 207 --><span class='pagenum'><a name="Page_207" id="Page_207">[Pg 207]</a></span>years. Sociologically regarded, that dynasty formed merely a transition
+stage on the way to the Sung dynasty that now followed: the Chinese
+gentry ruled under the leadership of an upstart who had risen from the
+ranks, and they ruled in accordance with the old principles of gentry
+rule. The Sha-t'o, who had formed the three preceding dynasties, had
+been so reduced that they were now a tiny minority and no longer
+counted. This minority had only been able to maintain its position
+through the special social conditions created by the "Later Liang"
+dynasty: the Liang, who had come from the lower classes of the
+population, had driven the gentry into the arms of the Sha-t'o Turks. As
+soon as the upstarts, in so far as they had not fallen again or been
+exterminated, had more or less assimilated themselves to the old gentry,
+and on the other hand the leaders of the Sha-t'o had become numerically
+too weak, there was a possibility of resuming the old form of rule.</p>
+
+<p>There had been certain changes in this period. The north-west of China,
+the region of the old capital Ch'ang-an, had been so ruined by the
+fighting that had gone on mainly there and farther north, that it was
+eliminated as a centre of power for a hundred years to come; it had been
+largely depopulated. The north was under the rule of the Kitan: its
+trade, which in the past had been with the Huang-ho basin, was now
+perforce diverted to Peking, which soon became the main centre of the
+power of the Kitan. The south, particularly the lower Yangtze region and
+the province of Szechwan, had made economic progress, at least in
+comparison with the north; consequently it had gained in political
+importance.</p>
+
+<p>One other event of this time has to be mentioned: the great persecution
+of Buddhism in 955, but not only because 30,336 temples and monasteries
+were secularized and only some 2,700 with 61,200 monks were left.
+Although the immediate reason for this action seems to have been that
+too many men entered the monasteries in order to avoid being taken as
+soldiers, the effect of the law of 955 was that from now on the
+Buddhists were put under regulations which clarified once and for ever
+their position within the framework of a society which had as its aim to
+define clearly the status of each individual within each social class.
+Private persons were no more allowed to erect temples and monasteries.
+The number of temples per district was legally fixed. A person could
+become monk only if the head of the family gave its permission. He had
+to be over fifteen years of age and had to know by heart at least one
+hundred pages of texts. The state took over the control of the
+ordinations which could be performed only after a successful
+examination. Each year a list of all monks had to be submitted to the
+<!-- Page 208 --><span class='pagenum'><a name="Page_208" id="Page_208">[Pg 208]</a></span>government in two copies. Monks had to carry six identification cards
+with them, one of which was the ordination diploma for which a fee had
+to be paid to the government (already since 755). The diploma was, in
+the eleventh century, issued by the Bureau of Sacrifices, but the money
+was collected by the Ministry of Agriculture. It can be regarded as a
+payment <i>in lieu</i> of land tax. The price was in the eleventh century 130
+strings, which represented the value of a small farm or the value of
+some 17,000 litres of grain. The price of the diploma went up to 220
+strings in 1101, and the then government sold 30,000 diplomas per year
+in order to get still more cash. But as diplomas could be traded, a
+black market developed, on which they were sold for as little as twenty
+strings.</p>
+
+
+
+<h3>(B) Period of Moderate Absolutism</h3>
+
+
+<h4>(1) The Northern Sung dynasty</h4>
+
+<p class="sect">1 <i>Southward expansion</i></p>
+
+<p>The founder of the Sung dynasty, Chao K'uang-yin, came of a Chinese
+military family living to the south of Peking. He advanced from general
+to emperor, and so differed in no way from the emperors who had preceded
+him. But his dynasty did not disappear as quickly as the others; for
+this there were several reasons. To begin with, there was the simple
+fact that he remained alive longer than the other founders of dynasties,
+and so was able to place his rule on a firmer foundation. But in
+addition to this he followed a new course, which in certain ways
+smoothed matters for him and for his successors, in foreign policy.</p>
+
+<p>This Sung dynasty, as Chao K'uang-yin named it, no longer turned against
+the northern peoples, particularly the Kitan, but against the south.
+This was not exactly an heroic policy: the north of China remained in
+the hands of the Kitan. There were frequent clashes, but no real effort
+was made to destroy the Kitan, whose dynasty was now called "Liao". The
+second emperor of the Sung was actually heavily defeated several times
+by the Kitan. But they, for their part, made no attempt to conquer the
+whole of China, especially since the task would have become more and
+more burdensome the farther south the Sung expanded. And very soon there
+were other reasons why the Kitan should refrain from turning their whole
+strength against the Chinese.</p>
+
+<div class="center">
+<a name="image16" id="image16"></a>
+<img src="images/image16.jpg" width="432" height="600"
+alt="10 Ladies of the Court."
+title="10 Ladies of the Court." />
+<p class="caption">10 Ladies of the Court: clay models which accompanied the
+dead person to the grave. T&#39;ang period.<br />
+
+<i>In the collection of the Museum f&uuml;r V&ouml;lkerkunde, Berlin.</i></p>
+</div>
+
+<div class="center">
+<a name="image17" id="image17"></a>
+<img src="images/image17.jpg" width="292" height="600"
+alt="11 Distinguished founder: a temple banner found at Khotcho, Turkestan."
+title="11 Distinguished founder: a temple banner found at Khotcho, Turkestan." />
+<p class="caption">11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan.<br />
+
+<i>Museum f&uuml;r V&ouml;lkerkunde, Berlin, No. 1B 4524, illustration B 408.</i></p>
+</div>
+
+<p>As we said, the Sung turned at once against the states in the south.
+Some of the many small southern states had made substantial economic and
+cultural advance, but militarily they were not <!-- Page 209 --><span class='pagenum'><a name="Page_209" id="Page_209">[Pg 209]</a></span>strong. Chao K'uang-yin
+(named as emperor T'ai Tsu) attacked them in succession. Most of them
+fell very quickly and without any heavy fighting, especially since the
+Sung dealt mildly with the defeated rulers and their following. The
+gentry and the merchants in these small states could not but realize the
+advantages of a widened and well-ordered economic field, and they were
+therefore entirely in favour of the annexation of their country so soon
+as it proved to be tolerable. And the Sung empire could only endure and
+gain strength if it had control of the regions along the Yangtze and
+around Canton, with their great economic resources. The process of
+absorbing the small states in the south continued until 980. Before it
+was ended, the Sung tried to extend their influence in the south beyond
+the Chinese border, and secured a sort of protectorate over parts of
+Annam (973). This sphere of influence was politically insignificant and
+not directly of any economic importance; but it fulfilled for the Sung
+the same functions which colonial territories fulfilled for Europeans,
+serving as a field of operation for the commercial class, who imported
+raw materials from it&mdash;mainly, it is true, luxury articles such as
+special sorts of wood, perfumes, ivory, and so on&mdash;and exported Chinese
+manufactures. As the power of the empire grew, this zone of influence
+extended as far as Indonesia: the process had begun in the T'ang period.
+The trade with the south had not the deleterious effects of the trade
+with Central Asia. There was no sale of refined metals, and none of
+fabrics, as the natives produced their own textiles which sufficed for
+their needs. And the export of porcelain brought no economic injury to
+China, but the reverse.</p>
+
+<p>This Sung policy was entirely in the interest of the gentry and of the
+trading community which was now closely connected with them. Undoubtedly
+it strengthened China. The policy of nonintervention in the north was
+endurable even when peace with the Kitan had to be bought by the payment
+of an annual tribute. From 1004 onwards, 100,000 ounces of silver and
+200,000 bales of silk were paid annually to the Kitan, amounting in
+value to about 270,000 strings of cash, each of 1,000 coins. The state
+budget amounted to some 20,000,000 strings of cash. In 1038 the payments
+amounted to 500,000 strings, but the budget was by then much larger. One
+is liable to get a false impression when reading of these big payments
+if one does not take into account what percentage they formed of the
+total revenues of the state. The tribute to the Kitan amounted to less
+than 2 per cent of the revenue, while the expenditure on the army
+accounted for 25 <ins class="corr" title="originally printed 'per cent cent'">per cent</ins> of the budget. It cost much less to pay
+tribute than to maintain large armies and go to war. Financial
+considerations played a great <!-- Page 210 --><span class='pagenum'><a name="Page_210" id="Page_210">[Pg 210]</a></span>part during the Sung epoch. The taxation
+revenue of the empire rose rapidly after the pacification of the south;
+soon after the beginning of the dynasty the state budget was double that
+of the T'ang. If the state expenditure in the eleventh century had not
+continually grown through the increase in military expenditure&mdash;in spite
+of everything!&mdash;there would have come a period of great prosperity in
+the empire.</p>
+
+
+<p class="sect">2 <i>Administration and army. Inflation</i></p>
+
+<p>The Sung emperor, like the rulers of the transition period, had gained
+the throne by his personal abilities as military leader; in fact, he had
+been made emperor by his soldiers as had happened to so many emperors in
+later Imperial Rome. For the next 300 years we observe a change in the
+position of the emperor. On the one hand, if he was active and
+intelligent enough, he exercised much more personal influence than the
+rulers of the Middle Ages. On the other hand, at the same time, the
+emperors were much closer to their ministers as before. We hear of
+ministers who patted the ruler on the shoulders when they retired from
+an audience; another one fell asleep on the emperor's knee and was not
+punished for this familiarity. The emperor was called "<i>kuan-chia</i>"
+(Administrator) and even called himself so. And in the early twelfth
+century an emperor stated "I do not regard the empire as my personal
+property; my job is to guide the people". Financially-minded as the Sung
+dynasty was, the cost of the operation of the palace was calculated, so
+that the emperor had a budget: in 1068 the salaries of all officials in
+the capital amounted to 40,000 strings of money per month, the armies
+100,000, and the emperor's ordinary monthly budget was 70,000 strings.
+For festivals, imperial birthdays, weddings and burials extra allowances
+were made. Thus, the Sung rulers may be called "moderate absolutists"
+and not despots.</p>
+
+<p>One of the first acts of the new Sung emperor, in 963, was a fundamental
+reorganization of the administration of the country. The old system of a
+civil administration and a military administration independent of it was
+brought to an end and the whole administration of the country placed in
+the hands of civil officials. The gentry welcomed this measure and gave
+it full support, because it enabled the influence of the gentry to grow
+and removed the fear of competition from the military, some of whom did
+not belong by birth to the gentry. The generals by whose aid the empire
+had been created were put on pension, or transferred to civil
+employment, as quickly as possible. The army was demobilized, <!-- Page 211 --><span class='pagenum'><a name="Page_211" id="Page_211">[Pg 211]</a></span>and this
+measure was bound up with the settlement of peasants in the regions
+which war had depopulated, or on new land. Soon after this the revenue
+noticeably increased. Above all, the army was placed directly under the
+central administration, and the system of military governors was thus
+brought to an end. The soldiers became mercenaries of the state, whereas
+in the past there had been conscription. In 975 the army had numbered
+only 378,000, and its cost had not been insupportable. Although the
+numbers increased greatly, reaching 912,000 in 1017 and 1,259,000 in
+1045, this implied no increase in military strength; for men who had
+once been soldiers remained with the army even when they were too old
+for service. Moreover, the soldiers grew more and more exacting; when
+detachments were transferred to another region, for instance, the
+soldiers would not carry their baggage; an army of porters had to be
+assembled. The soldiers also refused to go to regions remote from their
+homes until they were given extra pay. Such allowances gradually became
+customary, and so the military expenditure grew by leaps and bounds
+without any corresponding increase in the striking power of the army.</p>
+
+<p>The government was unable to meet the whole cost of the army out of
+taxation revenue. The attempt was made to cover the expenditure by
+coining fresh money. In connection with the increase in commercial
+capital described above, and the consequent beginning of an industry,
+China's metal production had greatly increased. In 1050 thirteen times
+as much silver, eight times as much copper, and fourteen times as much
+iron was produced as in 800. Thus the circulation of the copper currency
+was increased. The cost of minting, however, amounted in China to about
+75 per cent and often over 100 per cent of the value of the money
+coined. In addition to this, the metal was produced in the south, while
+the capital was in the north. The coin had therefore to be carried a
+long distance to reach the capital and to be sent on to the soldiers in
+the north.</p>
+
+<p>To meet the increasing expenditure, an unexampled quantity of new money
+was put into circulation. The state budget increased from 22,200,000 in
+<span class="smcap">A.D.</span> 1000 to 150,800,000 in 1021. The Kitan state coined a
+great deal of silver, and some of the tribute was paid to it in silver.
+The greatly increased production of silver led to its being put into
+circulation in China itself. And this provided a new field of
+speculation, through the variations in the rates for silver and for
+copper. Speculation was also possible with the deposit certificates,
+which were issued in quantities by the state from the beginning of the
+eleventh century, and to which the first true paper money was soon
+added. The paper money and the certificates were <!-- Page 212 --><span class='pagenum'><a name="Page_212" id="Page_212">[Pg 212]</a></span>redeemable at a
+definite date, but at a reduction of at least 3 per cent of their value;
+this, too, yielded a certain revenue to the state.</p>
+
+<p>The inflation that resulted from all these measures brought profit to
+the big merchants in spite of the fact that they had to supply directly
+or indirectly all non-agricultural taxes (in 1160 some 40,000,000
+strings annually), especially the salt tax (50 per cent), wine tax (36
+per cent), tea tax (7 per cent) and customs (7 per cent). Although the
+official economic thinking remained Confucian, i.e. anti-business and
+pro-agrarian, we find in this time insight in price laws, for instance,
+that peace times and/or decrease of population induce deflation. The
+government had always attempted to manipulate the prices by
+interference. Already in much earlier times, again and again, attempts
+had been made to lower the prices by the so-called "ever-normal
+granaries" of the government which threw grain on the market when prices
+were too high and bought grain when prices were low. But now, in
+addition to such measures, we also find others which exhibit a deeper
+insight: in a period of starvation, the scholar and official Fan
+Chung-yen instead of officially reducing grain prices, raised the prices
+in his district considerably. Although the population got angry,
+merchants started to import large amounts of grain; as soon as this
+happened, Fan (himself a big landowner) reduced the price again. Similar
+results were achieved by others by just stimulating merchants to import
+grain into deficit areas.</p>
+
+<p>With the social structure of medieval Europe, similar financial and
+fiscal developments which gave new chances to merchants, eventually led
+to industrial capitalism and industrial society. In China, however, the
+gentry in their capacity of officials hindered the growth of independent
+trade, and permitted its existence only in association with themselves.
+As they also represented landed property, it was in land that the
+newly-formed capital was invested. Thus we see in the Sung period, and
+especially in the eleventh century, the greatest accumulation of estates
+that there had ever been up to then in China.</p>
+
+<p>Many of these estates came into origin as gifts of the emperor to
+individuals or to temples, others were created on hillsides on land
+which belonged to the villages. From this time on, the rest of the
+village commons in China proper disappeared. Villagers could no longer
+use the top-soil of the hills as fertilizer, or the trees as firewood
+and building material. In addition, the hillside estates diverted the
+water of springs and creeks, thus damaging severely the irrigation works
+of the villagers in the plains. The estates <i>(chuang)</i> were controlled
+by appointed managers who often became <!-- Page 213 --><span class='pagenum'><a name="Page_213" id="Page_213">[Pg 213]</a></span>hereditary managers. The tenants
+on the estates were quite often non-registered migrants, of whom we
+spoke previously as "vagrants", and as such they depended upon the
+managers who could always denounce them to the authorities which would
+lead to punishment because nobody was allowed to leave his home without
+officially changing his registration. Many estates operated mills and
+even textile factories with non-registered weavers. Others seem to have
+specialized in sheep breeding. Present-day village names ending with
+<i>-chuang</i> indicate such former estates. A new development in this period
+were the "clan estates" <i>(i-chuang)</i>, created by Fan Chung-yen
+(989-1052) in 1048. The income of these clan estates were used for the
+benefit of the whole clan, were controlled by clan-appointed managers
+and had tax-free status, guaranteed by the government which regarded
+them as welfare institutions. Technically, they might better be called
+corporations because they were similar in structure to some of our
+industrial corporations. Under the Chinese economic system, large-scale
+landowning always proved socially and politically injurious. Up to very
+recent times the peasant who rented his land paid 40-50 per cent of the
+produce to the landowner, who was responsible for payment of the normal
+land tax. The landlord, however, had always found means of evading
+payment. As each district had to yield a definite amount of taxation,
+the more the big landowners succeeded in evading payment the more had to
+be paid by the independent small farmers. These independent peasants
+could then either "give" their land to the big landowner and pay rent to
+him, thus escaping from the attentions of the tax-officer, or simply
+leave the district and secretly enter another one where they were not
+registered. In either case the government lost taxes.</p>
+
+<p>Large-scale landowning proved especially injurious in the Sung period,
+for two reasons. To begin with, the official salaries, which had always
+been small in China, were now totally inadequate, and so the officials
+were given a fixed quantity of land, the yield of which was regarded as
+an addition to salary. This land was free from part of the taxes. Before
+long the officials had secured the liberation of the whole of their land
+from the chief taxes. In the second place, the taxation system was
+simplified by making the amount of tax proportional to the amount of
+land owned. The lowest bracket, however, in this new system of taxation
+comprised more land than a poor peasant would actually own, and this was
+a heavy blow to the small peasant-owners, who in the past had paid a
+proportion of their produce. Most of them had so little land that they
+could barely live on its yield. Their liability to taxation was at all
+times a very heavy burden to them while the big landowners got off
+lightly.<!-- Page 214 --><span class='pagenum'><a name="Page_214" id="Page_214">[Pg 214]</a></span> Thus this measure, though administratively a saving of
+expense, proved unsocial.</p>
+
+<p>All this made itself felt especially in the south with its great estates
+of tax-evading landowners. Here the remaining small peasant-owners had
+to pay the new taxes or to become tenants of the landowners and lose
+their property. The north was still suffering from the war-devastation
+of the tenth century. As the landlords were always the first sufferers
+from popular uprisings as well as from war, they had disappeared,
+leaving their former tenants as free peasants. From this period on, we
+have enough data to observe a social "law": as the capital was the
+largest consumer, especially of high-priced products such as vegetables
+which could not be transported over long distances, the gentry always
+tried to control the land around the capital. Here, we find the highest
+concentration of landlords and tenants. Production in this circle
+shifted from rice and wheat to mulberry trees for silk, and vegetables
+grown under the trees. These urban demands resulted in the growth of an
+"industrial" quarter on the outskirts of the capital, in which
+especially silk for the upper classes was produced. The next circle also
+contained many landlords, but production was more in staple foods such
+as wheat and rice which could be transported. Exploitation in this
+second circle was not much less than in the first circle, because of
+less close supervision by the authorities. In the third circle we find
+independent subsistence farmers. Some provincial capitals, especially in
+Szechwan, exhibited a similar pattern of circles. With the shift of the
+capital, a complete reorganization appeared: landlords and officials
+gave up their properties, cultivation changed, and a new system of
+circles began to form around the new capital. We find, therefore, the
+grotesque result that the thinly populated province of Shensi in the
+north-west yielded about a quarter of the total revenues of the state:
+it had no large landowners, no wealthy gentry, with their evasion of
+taxation, only a mass of newly-settled small peasants' holdings. For
+this reason the government was particularly interested in that province,
+and closely watched the political changes in its neighbourhood. In 990 a
+man belonging to a sinified Toba family, living on the border of Shensi,
+had made himself king with the support of remnants of Toba tribes. In
+1034 came severe fighting, and in 1038 the king proclaimed himself
+emperor, in the Hsia dynasty, and threatened the whole of north-western
+China. Tribute was now also paid to this state (250,000 strings), but
+the fight against it continued, to save that important province.</p>
+
+<p>These were the main events in internal and external affairs during the
+Sung period until 1068. It will be seen that foreign <!-- Page 215 --><span class='pagenum'><a name="Page_215" id="Page_215">[Pg 215]</a></span>affairs were of
+much less importance than developments in the country.</p>
+
+
+<p class="sect">3 <i>Reforms and Welfare schemes</i></p>
+
+<p>The situation just described was bound to produce a reaction. In spite
+of the inflationary measures the revenue fell, partly in consequence of
+the tax evasions of the great landowners. It fell from 150,000,000 in
+1021 to 116,000,000 in 1065. Expenditure did not fall, and there was a
+constant succession of budget deficits. The young emperor Shen Tsung
+(1068-1085) became convinced that the policy followed by the ruling
+clique of officials and gentry was bad, and he gave his adhesion to a
+small group led by Wang An-shih (1021-1086). The ruling gentry clique
+represented especially the interests of the large tea producers and
+merchants in Szechwan and Kiangsi. It advocated a policy of
+<i>laisser-faire</i> in trade: it held that everything would adjust itself.
+Wang An-shih himself came from Kiangsi and was therefore supported at
+first by the government clique, within which the Kiangsi group was
+trying to gain predominance over the Szechwan group. But Wang An-shih
+came from a poor family, as did his supporters, for whom he quickly
+secured posts. They represented the interests of the small landholders
+and the small dealers. This group succeeded in gaining power, and in
+carrying out a number of reforms, all directed against the monopolist
+merchants. Credits for small peasants were introduced, and officials
+were given bigger salaries, in order to make them independent and to
+recruit officials who were not big landowners. The army was greatly
+reduced, and in addition to the paid soldiery a national militia was
+created. Special attention was paid to the province of Shensi, whose
+conditions were taken more or less as a model.</p>
+
+<p>It seems that one consequence of Wang's reforms was a strong fall in the
+prices, i.e. a deflation; therefore, as soon as the first decrees were
+issued, the large plantation owners and the merchants who were allied to
+them, offered furious opposition. A group of officials and landlords who
+still had large properties in the vicinity of Loyang&mdash;at that time a
+quiet cultural centre&mdash;also joined them. Even some of Wang An-shih's
+former adherents came out against him. After a few years the emperor was
+no longer able to retain Wang An-shih and had to abandon the new policy.
+How really economic interests were here at issue may be seen from the
+fact that for many of the new decrees which were not directly concerned
+with economic affairs, such, for instance, as the reform of the
+examination system, Wang An-shih was strongly attacked though <!-- Page 216 --><span class='pagenum'><a name="Page_216" id="Page_216">[Pg 216]</a></span>his
+opponents had themselves advocated them in the past and had no practical
+objection to offer to them. The contest, however, between the two groups
+was not over. The monopolistic landowners and their merchants had the
+upper hand from 1086 to 1102, but then the advocates of the policy
+represented by Wang again came into power for a short time. They had but
+little success to show, as they did not remain in power long enough and,
+owing to the strong opposition, they were never able to make their
+control really effective.</p>
+
+<p>Basically, both groups were against allowing the developing middle class
+and especially the merchants to gain too much freedom, and whatever
+freedom they in fact gained, came through extra-legal or illegal
+practices. A proverb of the time said "People hate their ruler as
+animals hate the net (of the hunter)". The basic laws of medieval times
+which had attempted to create stable social classes remained: down to
+the nineteenth century there were slaves, different classes of serfs or
+"commoners", and free burghers. Craftsmen remained under work
+obligation. Merchants were second-class people. Each class had to wear
+dresses of special colour and material, so that the social status of a
+person, even if he was not an official and thus recognizable by his
+insignia, was immediately clear when one saw him. The houses of
+different classes differed from one another by the type of tiles, the
+decorations of the doors and gates; the size of the main reception room
+of the house was prescribed and was kept small for all non-officials;
+and even size and form of the tombs was prescribed in detail for each
+class. Once a person had a certain privilege, he and his descendants
+even if they had lost their position in the bureaucracy, retained these
+privileges over generations. All burghers were admitted to the
+examinations and, thus, there was a certain social mobility allowed
+within the leading class of the society, and a new "small gentry"
+developed by this system.</p>
+
+<p>Yet, the wars of the transition period had created a feeling of
+insecurity within the gentry. The eleventh and twelfth centuries were
+periods of extensive social legislation in order to give the lower
+classes some degree of security and thus prevent them from attempting to
+upset the status quo. In addition to the "ever-normal granaries" of the
+state, "social granaries" were revived, into which all farmers of a
+village had to deliver grain for periods of need. In 1098 a bureau for
+housing and care was created which created homes for the old and
+destitute; 1102 a bureau for medical care sent state doctors to homes
+and hospitals as well as to private homes to care for poor patients;
+from 1104 a bureau of burials took charge of the costs of burials of
+poor persons. Doctors as craftsmen were <!-- Page 217 --><span class='pagenum'><a name="Page_217" id="Page_217">[Pg 217]</a></span>under corv&eacute;e obligation and
+could easily be ordered by the state. Often, however, Buddhist priests
+took charge of medical care, burial costs and hospitalization. The state
+gave them premiums if they did good work. The Ministry of Civil Affairs
+made the surveys of cases and costs, while the Ministry of Finances paid
+the costs. We hear of state orphanages in 1247, a free pharmacy in 1248,
+state hospitals were reorganized in 1143. In 1167 the government gave
+low-interest loans to poor persons and (from 1159 on) sold cheap grain
+from state granaries. Fire protection services in large cities were
+organized. Finally, from 1141 on, the government opened up to
+twenty-three geisha houses for the entertainment of soldiers who were
+far from home in the capital and had no possibility for other
+amusements. Public baths had existed already some centuries ago; now
+Buddhist temples opened public baths as social service.</p>
+
+<p>Social services for the officials were also extended. Already from the
+eighth century on, offices were closed every tenth day and during
+holidays, a total of almost eighty days per year. Even criminals got
+some leave and exilees had the right of a home leave once every three
+years. The pensions for retired officials after the age of seventy which
+amounted to 50 per cent of the salary from the eighth century on, were
+again raised, though widows did not receive benefits.</p>
+
+
+<p class="sect">4 <i>Cultural situation (philosophy, religion, literature, painting)</i></p>
+
+<p>Culturally the eleventh century was the most active period China had so
+far experienced, apart from the fourth century <span class="smcap">B.C.</span> As a
+consequence of the immensely increased number of educated people
+resulting from the invention of printing, circles of scholars and
+private schools set up by scholars were scattered all over the country.
+The various philosophical schools differed in their political attitude
+and in the choice of literary models with which they were politically in
+sympathy. Thus Wang An-shih and his followers preferred the rigid
+classic style of Han Y&uuml; (768-825) who lived in the T'ang period and had
+also been an opponent of the monopolistic tendencies of pre-capitalism.
+For the Wang An-shih group formed itself into a school with a philosophy
+of its own and with its own commentaries on the classics. As the
+representative of the small merchants and the small landholders, this
+school advocated policies of state control and specialized in the study
+and annotation of classical books which seemed to favour their ideas.</p>
+
+<p>But the Wang An-shih school was unable to hold its own against the
+school that stood for monopolist trade capitalism, the new <!-- Page 218 --><span class='pagenum'><a name="Page_218" id="Page_218">[Pg 218]</a></span>philosophy
+described as Neo-Confucianism or the Sung school. Here Confucianism and
+Buddhism were for the first time united. In the last centuries,
+Buddhistic ideas had penetrated all of Chinese culture: the slaughtering
+of animals and the executions of criminals were allowed only on certain
+days, in accordance with Buddhist rules. Formerly, monks and nuns had to
+greet the emperor as all citizens had to do; now they were exempt from
+this rule. On the other hand, the first Sung emperor was willing to
+throw himself to the earth in front of the Buddha statues, but he was
+told he did not have to do it because he was the "Buddha of the present
+time" and thus equal to the God. Buddhist priests participated in the
+celebrations on the emperor's birthday, and emperors from time to time
+gave free meals to large crowds of monks. Buddhist thought entered the
+field of justice: in Sung time we hear complaints that judges did not
+apply the laws and showed laxity, because they hoped to gain religious
+merit by sparing the lives of criminals. We had seen how the main
+current of Buddhism had changed from a revolutionary to a reactionary
+doctrine. The new greater gentry of the eleventh century adopted a
+number of elements of this reactionary Buddhism and incorporated them in
+the Confucianist system. This brought into Confucianism a metaphysic
+which it had lacked in the past, greatly extending its influence on the
+people and at the same time taking the wind out of the sails of
+Buddhism. The greater gentry never again placed themselves on the side
+of the Buddhist Church as they had done in the T'ang period. When they
+got tired of Confucianism, they interested themselves in Taoism of the
+politically innocent, escapist, meditative Buddhism.</p>
+
+<p>Men like Chou Tun-i (1017-1073) and Chang Tsai (1020-1077) developed a
+cosmological theory which could measure up with Buddhistic cosmology and
+metaphysics. But perhaps more important was the attempt of the
+Neo-Confucianists to explain the problem of evil. Confucius and his
+followers had believed that every person could perfect himself by
+overcoming the evil in him. As the good persons should be the <i>&eacute;lite</i>
+and rule the others, theoretically everybody who was a member of human
+society, could move up and become a leader. It was commonly assumed that
+human nature is good or indifferent, and that human feelings are evil
+and have to be tamed and educated. When in Han time with the
+establishment of the gentry society and its social classes, the idea
+that any person could move up to become a leader if he only perfected
+himself, appeared to be too unrealistic, the theory of different grades
+of men was formed which found its clearest formulation by Han Y&uuml;: some
+people have a good, others a neutral, and still others a bad nature;
+therefore, not everybody can become a leader. The Neo-Confucianists,
+<!-- Page 219 --><span class='pagenum'><a name="Page_219" id="Page_219">[Pg 219]</a></span>especially Ch'eng Hao (1032-1085) and Ch'eng I (1033-1107), tried to
+find the reasons for this inequality. According to them, nature is
+neutral; but physical form originates with the combination of nature
+with Material Force (<i>ch'i</i>). This combination produces individuals in
+which there is a lack of balance or harmony. Man should try to transform
+physical form and recover original nature. The creative force by which
+such a transformation is possible is <i>jen</i>, love, the creative,
+life-giving quality of nature itself.</p>
+
+<p>It should be remarked that Neo-Confucianism accepts an inequality of
+men, as early Confucianism did; and that <i>jen</i>, love, in its practical
+application has to be channelled by <i>li</i>, the system of rules of
+behaviour. The <i>li</i>, however, always started from the idea of a
+stratified class society. Chu Hsi (1130-1200), the famous scholar and
+systematizer of Neo-Confucian thoughts, brought out rules of behaviour
+for those burghers who did not belong to the gentry and could not,
+therefore, be expected to perform all <i>li</i>; his "simplified <i>li</i>"
+exercized a great influence not only upon contemporary China, but also
+upon Korea and Annam and there strengthened a hitherto looser
+patriarchal, patrilinear family system.</p>
+
+<p>The Neo-Confucianists also compiled great analytical works of history
+and encyclopaedias whose authority continued for many centuries. They
+interpreted in these works all history in accordance with their outlook;
+they issued new commentaries on all the classics in order to spread
+interpretations that served their purposes. In the field of commentary
+this school of thought was given perfect expression by Chu Hsi, who also
+wrote one of the chief historical works. Chu Hsi's commentaries became
+standard works for centuries, until the beginning of the twentieth
+century. Yet, although Chu became the symbol of conservativism, he was
+quite interested in science, and in this field he had an open eye for
+changes.</p>
+
+<p>The Sung period is so important, because it is also the time of the
+greatest development of Chinese science and technology. Many new
+theories, but also many practical, new inventions were made. Medicine
+made substantial progress. About 1145 the first autopsy was made, on the
+body of a South Chinese captive. In the field of agriculture, new
+varieties of rice were developed, new techniques applied, new plants
+introduced.</p>
+
+<p>The Wang An-shih school of political philosophy had opponents also in
+the field of literary style, the so-called Shu Group (Shu means the
+present province of Szechwan), whose leaders were the famous Three Sus.
+The greatest of the three was Su Tung-p'o (1036-1101); the others were
+his father, Su Shih, and his brother, Su Che. It is characteristic of
+these Shu poets, and also of the Kiangsi school associated with them,
+that they made as much use <!-- Page 220 --><span class='pagenum'><a name="Page_220" id="Page_220">[Pg 220]</a></span>as they could of the vernacular. It had not
+been usual to introduce the phrases of everyday life into poetry, but Su
+Tung-p'o made use of the most everyday expressions, without diminishing
+his artistic effectiveness by so doing; on the contrary, the result was
+to give his poems much more genuine feeling than those of other poets.
+These poets were in harmony with the writings of the T'ang period poet
+Po Ch&uuml;-i (772-846) and were supported, like Neo-Confucianism, by
+representatives of trade capitalism. Politically, in their conservatism
+they were sharply opposed to the Wang An-shih group. Midway between the
+two stood the so-called Loyang-School, whose greatest leaders were the
+historian and poet Ss&#365;-ma Kuang (1019-1086) and the philosopher-poet
+Shao Yung (1011-1077).</p>
+
+<p>In addition to its poems, the Sung literature was famous for the
+so-called <i>pi-chi</i> or miscellaneous notes. These consist of short notes
+of the most various sort, notes on literature, art, politics,
+archaeology, all mixed together. The <i>pi-chi</i> are a treasure-house for
+the history of the culture of the time; they contain many details, often
+of importance, about China's neighbouring peoples. They were intended to
+serve as suggestions for learned conversation when scholars came
+together; they aimed at showing how wide was a scholar's knowledge. To
+this group we must add the accounts of travel, of which some of great
+value dating from the Sung period are still extant; they contain
+information of the greatest importance about the early Mongols and also
+about Turkestan and South China.</p>
+
+<p>While the Sung period was one of perfection in all fields of art,
+painting undoubtedly gained its highest development in this time. We
+find now two main streams in painting: some painters preferred the
+decorative, pompous, but realistic approach, with great attention to the
+detail. Later theoreticians brought this school in connection with one
+school of meditative Buddhism, the so-called northern school. Men who
+belonged to this school of painting often were active court officials or
+painted for the court and for other representative purposes. One of the
+most famous among them, Li Lung-mien (ca. 1040-1106), for instance
+painted the different breeds of horses in the imperial stables. He was
+also famous for his Buddhistic figures. Another school, later called the
+southern school, regarded painting as an intimate, personal expression.
+They tried to paint inner realities and not outer forms. They, too, were
+educated, but they did not paint for anybody. They painted in their
+country houses when they felt in the mood for expression. Their
+paintings did not stress details, but tried to give the spirit of a
+landscape, for in this field they excelled most. Best known of them is
+Mi Fei (ca. 1051-1107), a painter as well as a <!-- Page 221 --><span class='pagenum'><a name="Page_221" id="Page_221">[Pg 221]</a></span>calligrapher, art
+collector, and art critic. Typically, his paintings were not much liked
+by the emperor Hui Tsung (ruled 1101-1125) who was one of the greatest
+art collectors and whose catalogue of his collection became very famous.
+He created the Painting Academy, an institution which mainly gave
+official recognition to painters in form of titles which gave the
+painter access to and status at court. Ma Y&uuml;an (<i>c</i>. 1190-1224), member
+of a whole painter's family, and Hsia Kui (<i>c</i>. 1180-1230) continued the
+more "impressionistic" tradition. Already in Sung time, however, many
+painters could and did paint in different styles, "copying", i.e.
+painting in the way of T'ang painters, in order to express their
+changing emotions by changed styles, a fact which often makes the dating
+of Chinese paintings very difficult.</p>
+
+<p>Finally, art craft has left us famous porcelains of the Sung period. The
+most characteristic production of that time is the green porcelain known
+as "Celadon". It consists usually of a rather solid paste, less like
+porcelain than stoneware, covered with a green glaze; decoration is
+incised, not painted, under the glaze. In the Sung period, however, came
+the first pure white porcelain with incised ornamentation under the
+glaze, and also with painting on the glaze. Not until near the end of
+the Sung period did the blue and white porcelain begin (blue painting on
+a white ground). The cobalt needed for this came from Asia Minor. In
+exchange for the cobalt, Chinese porcelain went to Asia Minor. This
+trade did not, however, grow greatly until the Mongol epoch; later
+really substantial orders were placed in China, the Chinese executing
+the patterns wanted in the West.</p>
+
+
+<p class="sect">5 <i>Military collapse</i></p>
+
+<p>In foreign affairs the whole eleventh century was a period of diplomatic
+man&#339;uvring, with every possible effort to avoid war. There was
+long-continued fighting with the Kitan, and at times also with the
+Turco-Tibetan Hsia, but diplomacy carried the day: tribute was paid to
+both enemies, and the effort was made to stir up the Kitan against the
+Hsia and vice versa; the other parties also intrigued in like fashion.
+In 1110 the situation seemed to improve for the Sung in this game, as a
+new enemy appeared in the rear of the Liao (Kitan), the Tungusic Juch&ecirc;n
+(Jurchen), who in the past had been more or less subject to the Kitan.
+In 1114 the Juch&ecirc;n made themselves independent and became a political
+factor. The Kitan were crippled, and it became an easy matter to attack
+them. But this pleasant situation did not last long. The Juch&ecirc;n
+conquered Peking, and in 1125 the Kitan empire was destroyed; but in the
+<!-- Page 222 --><span class='pagenum'><a name="Page_222" id="Page_222">[Pg 222]</a></span>same year the Juch&ecirc;n marched against the Sung. In 1126 they captured
+the Sung capital; the emperor and his art-loving father, who had retired
+a little earlier, were taken prisoner, and the Northern Sung dynasty was
+at an end.</p>
+
+<p>The collapse came so quickly because the whole edifice of security
+between the Kitan and the Sung was based on a policy of balance and of
+diplomacy. Neither state was armed in any way, and so both collapsed at
+the first assault from a military power.</p>
+
+
+<h4>(2) The Liao (Kitan) dynasty in the north (937-1125)</h4>
+
+<p class="sect">1 <i>Social structure. Claim to the Chinese imperial throne</i></p>
+
+<p>The Kitan, a league of tribes under the leadership of an apparently
+Mongol tribe, had grown steadily stronger in north-eastern Mongolia
+during the T'ang epoch. They had gained the allegiance of many tribes in
+the west and also in Korea and Manchuria, and in the end, about
+<span class="smcap">A.D.</span> 900, had become the dominant power in the north. The
+process of growth of this nomad power was the same as that of other
+nomad states, such as the Toba state, and therefore need not be
+described again in any detail here. When the T'ang dynasty was deposed,
+the Kitan were among the claimants to the Chinese throne, feeling fully
+justified in their claim as the strongest power in the Far East. Owing
+to the strength of the Sha-t'o Turks, who themselves claimed leadership
+in China, the expansion of the Kitan empire slowed down. In the many
+battles the Kitan suffered several setbacks. They also had enemies in
+the rear, a state named Po-hai, ruled by Tunguses, in northern Korea,
+and the new Korean state of Kao-li, which liberated itself from Chinese
+overlordship in 919.</p>
+
+<p>In 927 the Kitan finally destroyed Po-hai. This brought many Tungus
+tribes, including the Jurchen (Juch&ecirc;n), under Kitan dominance. Then, in
+936, the Kitan gained the allegiance of the Turkish general Shih
+Ching-t'ang, and he was set on the Chinese throne as a feudatory of the
+Kitan. It was hoped now to secure dominance over China, and accordingly
+the Mongol name of the dynasty was altered to "Liao dynasty" in 937,
+indicating the claim to the Chinese throne. Considerable regions of
+North China came at once under the direct rule of the Liao. As a whole,
+however, the plan failed: the feudatory Shih Ching-t'ang tried to make
+himself independent; Chinese fought the Liao; and the Chinese sceptre
+soon came back into the hands of a Sha-t'o dynasty (947). This ended the
+plans of the Liao to conquer the whole of China.</p>
+
+<p>For this there were several reasons. A nomad people was again <!-- Page 223 --><span class='pagenum'><a name="Page_223" id="Page_223">[Pg 223]</a></span>ruling
+the agrarian regions of North China. This time the representatives of
+the ruling class remained military commanders, and at the same time
+retained their herds of horses. As early as 1100 they had well over
+10,000 herds, each of more than a thousand animals. The army commanders
+had been awarded large regions which they themselves had conquered. They
+collected the taxes in these regions, and passed on to the state only
+the yield of the wine tax. On the other hand, in order to feed the
+armies, in which there were now many Chinese soldiers, the frontier
+regions were settled, the soldiers working as peasants in times of
+peace, and peasants being required to contribute to the support of the
+army. Both processes increased the interest of the Kitan ruling class in
+the maintenance of peace. That class was growing rich, and preferred
+living on the income from its properties or settlements to going to war,
+which had become a more and more serious matter after the founding of
+the great Sung empire, and was bound to be less remunerative. The herds
+of horses were a further excellent source of income, for they could be
+sold to the Sung, who had no horses. Then, from 1004 onward, came the
+tribute payments from China, strengthening the interest in the
+maintenance of peace. Thus great wealth accumulated in Peking, the
+capital of the Liao; in this wealth the whole Kitan ruling class
+participated, but the tribes in the north, owing to their remoteness,
+had no share in it. In 988 the Chinese began negotiations, as a move in
+their diplomacy, with the ruler of the later realm of the Hsia; in 990
+the Kitan also negotiated with him, and they soon became a third partner
+in the diplomatic game. Delegations were continually going from one to
+another of the three realms, and they were joined by trade missions.
+Agreement was soon reached on frontier questions, on armament, on
+questions of demobilization, on the demilitarization of particular
+regions, and so on, for the last thing anyone wanted was to fight.</p>
+
+<p>Then came the rising of the tribes of the north. They had remained
+military tribes; of all the wealth nothing reached them, and they were
+given no military employment, so that they had no hope of improving
+their position. The leadership was assumed by the tribe of the Juch&ecirc;n
+(1114). In a campaign of unprecedented rapidity they captured Peking,
+and the Liao dynasty was ended (1125), a year earlier, as we know, than
+the end of the Sung.</p>
+
+
+<p class="sect">2 <i>The State of the Kara-Kitai</i></p>
+
+<p>A small troop of Liao, under the command of a member of the ruling
+family, fled into the west. They were pursued without cessation, but
+they succeeded in fighting their way through. After <!-- Page 224 --><span class='pagenum'><a name="Page_224" id="Page_224">[Pg 224]</a></span>a few years of
+nomad life in the mountains of northern Turkestan, they were able to
+gain the collaboration of a few more tribes, and with them they then
+invaded western Turkestan. There they founded the "Western Liao" state,
+or, as the western sources call it, the "Kara-Kitai" state, with its
+capital at Balasagun. This state must not be regarded as a purely Kitan
+state. The Kitan formed only a very thin stratum, and the real power was
+in the hands of autochthonous Turkish tribes, to whom the Kitan soon
+became entirely assimilated in culture. Thus the history of this state
+belongs to that of western Asia, especially as the relations of the
+Kara-Kitai with the Far East were entirely broken off. In 1211 the state
+was finally destroyed.</p>
+
+
+<h4>(3) The Hsi-Hsia State in the north (1038-1227)</h4>
+
+<p class="sect">1 <i>Continuation of Turkish traditions</i></p>
+
+<p>After the end of the Toba state in North China in 550, some tribes of
+the Toba, including members of the ruling tribe with the tribal name
+Toba, withdrew to the borderland between Tibet and China, where they
+ruled over Tibetan and Tangut tribes. At the beginning of the T'ang
+dynasty this tribe of Toba joined the T'ang. The tribal leader received
+in return, as a distinction, the family name of the T'ang dynasty, Li.
+His dependence on China was, however, only nominal and soon came
+entirely to an end. In the tenth century the tribe gained in strength.
+It is typical of the long continuance of old tribal traditions that a
+leader of the tribe in the tenth century married a woman belonging to
+the family to which the khans of the Hsiung-nu and all Turkish ruling
+houses had belonged since 200 <span class="smcap">B.C.</span> With the rise of the Kitan
+in the north and of the Tibetan state in the south, the tribe decided to
+seek the friendship of China. Its first mission, in 982, was well
+received. Presents were sent to the chieftain of the tribe, he was
+helped against his enemies, and he was given the status of a feudatory
+of the Sung; in 988 the family name of the Sung, Chao, was conferred on
+him. Then the Kitan took a hand. They over-trumped the Sung by
+proclaiming the tribal chieftain king of Hsia (990). Now the small state
+became interesting. It was pampered by Liao and Sung in the effort to
+win it over or to keep its friendship. The state grew; in 1031 its ruler
+resumed the old family name of the Toba, thus proclaiming his intention
+to continue the Toba empire; in 1034 he definitely parted from the Sung,
+and in 1038 he proclaimed himself emperor in the Hsia dynasty, or, as
+the Chinese generally called it, the "HsiHsia", which means the Western
+Hsia. This name, too, had associations with th<!-- Page 225 --><span class='pagenum'><a name="Page_225" id="Page_225">[Pg 225]</a></span>e old Hun tradition; it
+recalled the state of Ho-lien P'o-p'o in the early fifth century. The
+state soon covered the present province of Kansu, small parts of the
+adjoining Tibetan territory, and parts of the Ordos region. It attacked
+the province of Shensi, but the Chinese and the Liao attached the
+greatest importance to that territory. Thus that was the scene of most
+of the fighting.</p>
+
+<div class="center">
+<a name="image18" id="image18"></a>
+<img src="images/image18.jpg" width="564" height="762"
+alt="12 Ancient tiled pagoda at Chengting (Hopei)."
+title="12 Ancient tiled pagoda at Chengting (Hopei)." />
+<p class="caption">12 Ancient tiled pagoda at Chengting (Hopei).<br /><i>Photo H.&nbsp;
+Hammer-Morrisson.</i></p>
+</div>
+
+<div class="center">
+<a name="image19" id="image19"></a>
+<img src="images/image19.jpg" width="593" height="471"
+alt="13 Horse-training."
+title="13 Horse-training." />
+<p class="caption">13 Horse-training. Painting by Li Lung-mien. Late Sung
+period. <br /><i>Manchu Royal House Collection.</i></p>
+</div>
+
+<p>The Hsia state had a ruling group of Toba, but these Toba had become
+entirely tibetanized. The language of the country was Tibetan; the
+customs were those of the Tanguts. A script was devised, in imitation of
+the Chinese script. Only in recent years has it begun to be studied.</p>
+
+<p>In 1125, when the Tungusic Juch&ecirc;n destroyed the Liao, the Hsia also lost
+large territories in the east of their country, especially the province
+of Shensi, which they had conquered; but they were still able to hold
+their own. Their political importance to China, however, vanished, since
+they were now divided from southern China and as partners were no longer
+of the same value to it. Not until the Mongols became a power did the
+Hsia recover some of their importance; but they were among the first
+victims of the Mongols: in 1209 they had to submit to them, and in 1227,
+the year of the death of Genghiz Khan, they were annihilated.</p>
+
+
+<h4>(4) The empire of the Southern Sung dynasty (1127-1279)</h4>
+
+<p class="sect">1 <i>Foundation</i></p>
+
+<p>In the disaster of 1126, when the Juch&ecirc;n captured the Sung capital and
+destroyed the Sung empire, a brother of the captive emperor escaped. He
+made himself emperor in Nanking and founded the "Southern Sung" dynasty,
+whose capital was soon shifted to the present Hangchow. The foundation
+of the new dynasty was a relatively easy matter, and the new state was
+much more solid than the southern kingdoms of 800 years earlier, for the
+south had already been economically supreme, and the great families that
+had ruled the state were virtually all from the south. The loss of the
+north, i.e. the area north of the Yellow River and of parts of Kiangsu,
+was of no importance to this governing group and meant no loss of
+estates to it. Thus the transition from the Northern to the Southern
+Sung was not of fundamental importance. Consequently the Juch&ecirc;n had no
+chance of success when they arranged for Liu Y&uuml;, who came of a northern
+Chinese family of small peasants and had become an official, to be
+proclaimed emperor in the "Ch'i" dynasty in 1130. They hoped that this
+puppet might <!-- Page 226 --><span class='pagenum'><a name="Page_226" id="Page_226">[Pg 226]</a></span>attract the southern Chinese, but seven years later they
+dropped him.</p>
+
+
+<p class="sect">2 <i>Internal situation</i></p>
+
+<p>As the social structure of the Southern Sung empire had not been
+changed, the country was not affected by the dynastic development. Only
+the policy of diplomacy could not be pursued at once, as the Juch&ecirc;n were
+bellicose at first and would not negotiate. There were therefore several
+battles at the outset (in 1131 and 1134), in which the Chinese were
+actually the more successful, but not decisively. The Sung military
+group was faced as early as in 1131 with furious opposition from the
+greater gentry, led by Ch'in K'ui, one of the largest landowners of all.
+His estates were around Nanking, and so in the deployment region and the
+region from which most of the soldiers had to be drawn for the defensive
+struggle. Ch'in K'ui secured the assassination of the leader of the
+military party, General Yo Fei, in 1141, and was able to conclude peace
+with the Juch&ecirc;n. The Sung had to accept the status of vassals and to pay
+annual tribute to the Juch&ecirc;n. This was the situation that best pleased
+the greater gentry. They paid hardly any taxes (in many districts the
+greater gentry directly owned more than 30 per cent of the land, in
+addition to which they had indirect interests in the soil), and they
+were now free from the war peril that ate into their revenues. The
+tribute amounted only to 500,000 strings of cash. Popular literature,
+however, to this day represents Ch'in K'ui as a traitor and Yo Fei as a
+national hero.</p>
+
+<p>In 1165 it was agreed between the Sung and the Juch&ecirc;n to regard each
+other as states with equal rights. It is interesting to note here that
+in the treaties during the Han time with the Hsiung-nu, the two
+countries called one another brothers&mdash;with the Chinese ruler as the
+older and thus privileged brother; but the treaties since the T'ang time
+with northern powers and with Tibetans used the terms father-in-law and
+son-in-law. The foreign power was the "father-in-law", i.e. the older
+and, therefore, in a certain way the more privileged; the Chinese were
+the "son-in-law", the representative of the paternal lineage and,
+therefore, in another respect also the more privileged! In spite of such
+agreements with the Juch&ecirc;n, fighting continued, but it was mainly of the
+character of frontier engagements. Not until 1204 did the military
+party, led by Han T'o-wei, regain power; it resolved upon an active
+policy against the north. In preparation for this a military reform was
+carried out. The campaign proved a disastrous failure, as a result of
+which large territories in the north were lost. The<!-- Page 227 --><span class='pagenum'><a name="Page_227" id="Page_227">[Pg 227]</a></span> Sung sued for
+peace; Han T'o-wei's head was cut off and sent to the Juch&ecirc;n. In this
+way peace was restored in 1208. The old treaty relationship was now
+resumed, but the relations between the two states remained tense.
+Meanwhile the Sung observed with malicious pleasure how the Mongols were
+growing steadily stronger, first destroying the Hsia state and then
+aiming the first heavy blows against the Juch&ecirc;n. In the end the Sung
+entered into alliance with the Mongols (1233) and joined them in
+attacking the Juch&ecirc;n, thus hastening the end of the Juch&ecirc;n state.</p>
+
+<p>The Sung now faced the Mongols, and were defenceless against them. All
+the buffer states had gone. The Sung were quite without adequate
+military defence. They hoped to stave off the Mongols in the same way as
+they had met the Kitan and the Juch&ecirc;n. This time, however, they
+misjudged the situation. In the great operations begun by the Mongols in
+1273 the Sung were defeated over and over again. In 1276 their capital
+was taken by the Mongols and the emperor was made prisoner. For three
+years longer there was a Sung emperor, in flight from the Mongols, until
+the last emperor perished near Macao in South China.</p>
+
+
+<p class="sect">3 <i>Cultural situation; reasons for the collapse</i></p>
+
+<p>The Southern Sung period was again one of flourishing culture. The
+imperial court was entirely in the power of the greater gentry; several
+times the emperors, who personally do not deserve individual mention,
+were compelled to abdicate. They then lived on with a court of their
+own, devoting themselves to pleasure in much the same way as the
+"reigning" emperor. Round them was a countless swarm of poets and
+artists. Never was there a time so rich in poets, though hardly one of
+them was in any way outstanding. The poets, unlike those of earlier
+times, belonged to the lesser gentry who were suffering from the
+prevailing inflation. Salaries bore no relation to prices. Food was not
+dear, but the things which a man of the upper class ought to have were
+far out of reach: a big house cost 2,000 strings of cash, a concubine
+800 strings. Thus the lesser gentry and the intelligentsia all lived on
+their patrons among the greater gentry&mdash;with the result that they were
+entirely shut out of politics. This explains why the literature of the
+time is so unpolitical, and also why scarcely any philosophical works
+appeared. The writers took refuge more and more in romanticism and
+flight from realities.</p>
+
+<p>The greater gentry, on the other hand, led a very elegant life, building
+themselves magnificent palaces in the capital. They also speculated in
+every direction. They speculated in land, in money, <!-- Page 228 --><span class='pagenum'><a name="Page_228" id="Page_228">[Pg 228]</a></span>and above all in
+the paper money that was coming more and more into use. In 1166 the
+paper circulation exceeded the value of 10,000,000 strings!</p>
+
+<p>It seems that after 1127 a good number of farmers had left Honan and the
+Yellow River plains when the Juch&ecirc;n conquered these places and showed
+little interest in fostering agriculture; more left the border areas of
+Southern Sung because of permanent war threat. Many of these lived
+miserably as tenants on the farms of the gentry between Nanking and
+Hangchow. Others migrated farther to the south, across Kiangsi into
+southern Fukien. These migrants seem to have been the ancestors of the
+Hakka which in the following centuries continued their migration towards
+the south and who from the nineteenth century on were most strongly
+concentrated in Kwangtung and Kwangsi provinces as free farmers on hill
+slopes or as tenants of local landowners in the plains.</p>
+
+<p>The influx of migrants and the increase of tenants and their poverty
+seriously threatened the state and cut down its defensive strength more
+and more.</p>
+
+<p>At this stage, Chia Ssu-tao drafted a reform law. Chia had come to the
+court through his sister becoming the emperor's concubine, but he
+himself belonged to the lesser gentry. His proposal was that state funds
+should be applied to the purchase of land in the possession of the
+greater gentry over and above a fixed maximum. Peasants were to be
+settled on this land, and its yield was to belong to the state, which
+would be able to use it to meet military expenditure. In this way the
+country's military strength was to be restored. Chia's influence lasted
+just ten years, until 1275. He began putting the law into effect in the
+region south of Nanking, where the principal estates of the greater
+gentry were then situated. He brought upon himself, of course, the
+mortal hatred of the greater gentry, and paid for his action with his
+life. The emperor, in entering upon this policy, no doubt had hoped to
+recover some of his power, but the greater gentry brought him down. The
+gentry now openly played into the hands of the approaching Mongols, so
+hastening the final collapse of the Sung. The peasants and the lesser
+gentry would have fought the Mongols if it had been possible; but the
+greater gentry enthusiastically went over to the Mongols, hoping to save
+their property and so their influence by quickly joining the enemy. On a
+long view they had not judged badly. The Mongols removed the members of
+the gentry from all political posts, but left them their estates; and
+before long the greater gentry reappeared in political life. And when,
+later, the Mongol empire in China was brought down by a <!-- Page 229 --><span class='pagenum'><a name="Page_229" id="Page_229">[Pg 229]</a></span>popular rising,
+the greater gentry showed themselves to be the most faithful allies of
+the Mongols!</p>
+
+
+<h4>(5) The empire of the Juch&ecirc;n in the north (1115-1234)</h4>
+
+<p class="sect">1 <i>Rapid expansion from northern Korea to the Yangtze</i></p>
+
+<p>The Juch&ecirc;n in the past had been only a small league of Tungus tribes,
+whose name is preserved in that of the present Tungus tribe of the
+Jurchen, which came under the domination of the Kitan after the collapse
+of the state of Po-hai in northern Korea. We have already briefly
+mentioned the reasons for their rise. After their first successes
+against the Kitan (1114), their chieftain at once proclaimed himself
+emperor (1115), giving his dynasty the name "Chin" (The Golden). The
+Chin quickly continued their victorious progress. In 1125 the Kitan
+empire was destroyed. It will be remembered that the Sung were at once
+attacked, although they had recently been allied with the Chin against
+the Kitan. In 1126 the Sung capital was taken. The Chin invasions were
+pushed farther south, and in 1130 the Yangtze was crossed. But the Chin
+did not hold the whole of these conquests. Their empire was not yet
+consolidated. Their partial withdrawal closed the first phase of the
+Chin empire.</p>
+
+
+<p class="sect">2 <i>United front of all Chinese</i></p>
+
+<p>But a few years after this maximum expansion, a withdrawal began which
+went on much more quickly than usual in such cases. The reasons were to
+be found both in external and in internal politics. The Juch&ecirc;n had
+gained great agrarian regions in a rapid march of conquest. Once more
+great cities with a huge urban population and immense wealth had fallen
+to alien conquerors. Now the Juch&ecirc;n wanted to enjoy this wealth as the
+Kitan had done before them. All the Juch&ecirc;n people counted as citizens of
+the highest class; they were free from taxation and only liable to
+military service. They were entitled to take possession of as much
+cultivable land as they wanted; this they did, and they took not only
+the "state domains" actually granted to them but also peasant
+properties, so that Chinese free peasants had nothing left but the worst
+fields, unless they became tenants on Juch&ecirc;n estates. A united front was
+therefore formed between all Chinese, both peasants and landowning
+gentry, against the Chin, such as it had not been possible to form
+against the Kitan. This made an important contribution later to the
+rapid collapse of the Chin empire.<!-- Page 230 --><span class='pagenum'><a name="Page_230" id="Page_230">[Pg 230]</a></span></p>
+
+<p>The Chin who had thus come into
+possession of the cultivable land and at the same time of the wealth of
+the towns, began a sort of competition with each other for the best
+winnings, especially after the government had returned to the old Sung
+capital, Pien-liang (now K'aifeng, in eastern Honan). Serious crises
+developed in their own ranks. In 1149 the ruler was assassinated by his
+chancellor (a member of the imperial family), who in turn was murdered
+in 1161. The Chin thus failed to attain what had been secured by all
+earlier conquerors, a reconciliation of the various elements of the
+population and the collaboration of at least one group of the defeated
+Chinese.</p>
+
+
+<p class="sect">3 <i>Start of the Mongol empire</i></p>
+
+<p>The cessation of fighting against the Sung brought no real advantage in
+external affairs, though the tribute payments appealed to the greed of
+the rulers and were therefore welcomed. There could be no question of
+further campaigns against the south, for the Hsia empire in the west had
+not been destroyed, though some of its territory had been annexed; and a
+new peril soon made its appearance in the rear of the Chin. When in the
+tenth century the Sha-t'o Turks had had to withdraw from their
+dominating position in China, because of their great loss of numbers and
+consequently of strength, they went back into Mongolia and there united
+with the Ta-tan (Tatars), among whom a new small league of tribes had
+formed towards the end of the eleventh century, consisting mainly of
+Mongols and Turks. In 1139 one of the chieftains of the Juch&ecirc;n rebelled
+and entered into negotiations with the South Chinese. He was killed, but
+his sons and his whole tribe then rebelled and went into Mongolia, where
+they made common cause with the Mongols. The Chin pursued them, and
+fought against them and against the Mongols, but without success.
+Accordingly negotiations were begun, and a promise was given to deliver
+meat and grain every year and to cede twenty-seven military strongholds.
+A high title was conferred on the tribal leader of the Mongols, in the
+hope of gaining his favour. He declined it, however, and in 1147 assumed
+the title of emperor of the "greater Mongol empire". This was the
+beginning of the power of the Mongols, who remained thereafter a
+dangerous enemy of the Chin in the north, until in 1189 Genghiz Khan
+became their leader and made the Mongols the greatest power of central
+Asia. In any case, the Chin had reason to fear the Mongols from 1147
+onward, and therefore were the more inclined to leave the Sung in peace.</p>
+
+<p>In 1210 the Mongols began the first great assault against the<!-- Page 231 --><span class='pagenum'><a name="Page_231" id="Page_231">[Pg 231]</a></span> Chin, the
+moment they had conquered the Hsia. In the years 1215-17 the Mongols
+took the military key-positions from the Chin. After that there could be
+no serious defence of the Chin empire. There came a respite only because
+the Mongols had turned against the West. But in 1234 the empire finally
+fell to the Mongols.</p>
+
+<p>Many of the Chin entered the service of the Mongols, and with their
+permission returned to Manchuria; there they fell back to the cultural
+level of a warlike nomad people. Not until the sixteenth century did
+these Tunguses recover, reorganize, and appear again in history this
+time under the name of Manchus.</p>
+
+<p>The North Chinese under Chin rule did not regard the Mongols as enemies
+of their country, but were ready at once to collaborate with them. The
+Mongols were even more friendly to them than to the South Chinese, and
+treated them rather better.</p>
+
+
+<p><!-- Page 232 --><span class='pagenum'><a name="Page_232" id="Page_232">[Pg 232]</a></span></p>
+
+<hr />
+<h2><a name="Chapter_Ten" id="Chapter_Ten"></a>Chapter Ten</h2>
+
+<h2 class="ln2">THE PERIOD OF ABSOLUTISM</h2>
+
+
+
+<h3>(A) The Mongol Epoch (1280-1368)</h3>
+
+
+<p class="sect">1 <i>Beginning of new foreign rules</i></p>
+
+<p>During more than half of the third period of "Modern Times" which now
+began, China was under alien rule. Of the 631 years from 1280 to 1911,
+China was under national rulers for 276 years and under alien rule for
+355. The alien rulers were first the Mongols, and later the Tungus
+Manchus. It is interesting to note that the alien rulers in the earlier
+period came mainly from the north-west, and only in modern times did
+peoples from the north-east rule over China. This was due in part to the
+fact that only peoples who had attained a certain level of civilization
+were capable of dominance. In antiquity and the Middle Ages, eastern
+Mongolia and Manchuria were at a relatively low level of civilization,
+from which they emerged only gradually through permanent contact with
+other nomad peoples, especially Turks. We are dealing here, of course,
+only with the Mongol epoch in China and not with the great Mongol
+empire, so that we need not enter further into these questions.</p>
+
+<p>Yet another point is characteristic: the Mongols were the first alien
+people to rule the whole of China; the Manchus, who appeared in the
+seventeenth century, were the second and last. All alien peoples before
+these two ruled only parts of China. Why was it that the Mongols were
+able to be so much more successful than their predecessors? In the first
+place the Mongol political league was numerically stronger than those of
+the earlier alien peoples; secondly, the military organization and
+technical equipment of the Mongols were exceptionally advanced for their
+day. It must be borne in mind, for instance, that during their many
+years of war against the Sung dynasty in South China the Mongols already
+made use of small cannon in laying siege to towns. We have no <!-- Page 233 --><span class='pagenum'><a name="Page_233" id="Page_233">[Pg 233]</a></span>exact
+knowledge of the number of Mongols who invaded and occupied China, but
+it is estimated that there were more than a million Mongols living in
+China. Not all of them, of course, were really Mongols! The name covered
+Turks, Tunguses, and others; among the auxiliaries of the Mongols were
+Uighurs, men from Central Asia and the Middle East, and even Europeans.
+When the Mongols attacked China they had the advantage of all the arts
+and crafts and all the new technical advances of western and central
+Asia and of Europe. Thus they had attained a high degree of technical
+progress, and at the same time their number was very great.</p>
+
+
+<p class="sect">2 "<i>Nationality legislation</i>"</p>
+
+<p>It was only after the Hsia empire in North China, and then the empire of
+the Juch&ecirc;n, had been destroyed by the Mongols, and only after long and
+remarkably modern tactical preparation, that the Mongols conquered South
+China, the empire of the Sung dynasty. They were now faced with the
+problem of ruling their great new empire. The conqueror of that empire,
+Kublai, himself recognized that China could not be treated in quite the
+same way as the Mongols' previous conquests; he therefore separated the
+empire in China from the rest of the Mongol empire. Mongol China became
+an independent realm within the Mongol empire, a sort of Dominion. The
+Mongol rulers were well aware that in spite of their numerical strength
+they were still only a minority in China, and this implied certain
+dangers. They therefore elaborated a "nationality legislation", the
+first of its kind in the Far East. The purpose of this legislation was,
+of course, to be the protection of the Mongols. The population of
+conquered China was divided into four groups&mdash;(1) Mongols, themselves
+falling into four sub-groups (the oldest Mongol tribes, the White
+Tatars, the Black Tatars, the Wild Tatars); (2) Central Asian
+auxiliaries (Naimans, Uighurs, and various other Turkish people,
+Tanguts, and so on); (3) North Chinese; (4) South Chinese. The Mongols
+formed the privileged ruling class. They remained militarily organized,
+and were distributed in garrisons over all the big towns of China as
+soldiers, maintained by the state. All the higher government posts were
+reserved for them, so that they also formed the heads of the official
+staffs. The auxiliary peoples were also admitted into the government
+service; they, too, had privileges, but were not all soldiers but in
+many cases merchants, who used their privileged position to promote
+business. Not a few of these merchants were Uighurs and Mohammedans;
+many Uighurs were also employed as clerks, as <!-- Page 234 --><span class='pagenum'><a name="Page_234" id="Page_234">[Pg 234]</a></span>the Mongols were very
+often unable to read and write Chinese, and the government offices were
+bilingual, working in Mongolian and Chinese. The clever Uighurs quickly
+learned enough of both languages for official purposes, and made
+themselves indispensable assistants to the Mongols. Persian, the main
+language of administration in the western parts of the Mongol empire
+besides Uighuric, also was a <i>lingua franca</i> among the new rulers of
+China.</p>
+
+<p>In the Mongol legislation the South Chinese had the lowest status, and
+virtually no rights. Intermarriage with them was prohibited. The Chinese
+were not allowed to carry arms. For a time they were forbidden even to
+learn the Mongol or other foreign languages. In this way they were to be
+prevented from gaining official positions and playing any political
+part. Their ignorance of the languages of northern, central, and western
+Asia also prevented them from engaging in commerce like the foreign
+merchants, and every possible difficulty was put in the way of their
+travelling for commercial purposes. On the other hand, foreigners were,
+of course, able to learn Chinese, and so to gain a footing in Chinese
+internal trade.</p>
+
+<p>Through legislation of this type the Mongols tried to build up and to
+safeguard their domination over China. Yet their success did not last a
+hundred years.</p>
+
+
+<p class="sect">3 <i>Military position</i></p>
+
+<p>In foreign affairs the Mongol epoch was for China something of a
+breathing space, for the great wars of the Mongols took place at a
+remote distance from China and without any Chinese participation. Only a
+few concluding wars were fought under Kublai in the Far East. The first
+was his war against Japan (1281): it ended in complete failure, the
+fleet being destroyed by a storm. In this campaign the Chinese furnished
+ships and also soldiers. The subjection of Japan would have been in the
+interest of the Chinese, as it would have opened a market which had been
+almost closed against them in the Sung period. Mongol wars followed in
+the south. In 1282 began the war against Burma; in 1284 Annam and
+Cambodia were conquered; in 1292 a campaign was started against Java. It
+proved impossible to hold Java, but almost the whole of Indo-China came
+under Mongol rule, to the satisfaction of the Chinese, for Indo-China
+had already been one of the principal export markets in the Sung period.
+After that, however, there was virtually no more warfare, apart from
+small campaigns against rebellious tribes. The Mongol soldiers now lived
+on their pay in their garrisons, with nothing to do. The old campaigners
+died and were followed by <!-- Page 235 --><span class='pagenum'><a name="Page_235" id="Page_235">[Pg 235]</a></span>their sons, brought up also as soldiers; but
+these young Mongols were born in China, had seen nothing of war, and
+learned of the soldiers' trade either nothing or very little; so that
+after about 1320 serious things happened. An army nominally 1,000 strong
+was sent against a group of barely fifty bandits and failed to defeat
+them. Most of the 1,000 soldiers no longer knew how to use their
+weapons, and many did not even join the force. Such incidents occurred
+again and again.</p>
+
+
+<p class="sect">4 <i>Social situation</i></p>
+
+<p>The results, however, of conditions within the country were of much more
+importance than events abroad. The Mongols made Peking their capital as
+was entirely natural, for Peking was near their homeland Mongolia. The
+emperor and his entourage could return to Mongolia in the summer, when
+China became too hot or too humid for them; and from Peking they were
+able to maintain contact with the rest of the Mongol empire. But as the
+city had become the capital of a vast empire, an enormous staff of
+officials had to be housed there, consisting of persons of many
+different nationalities. The emperor naturally wanted to have a
+magnificent capital, a city really worthy of so vast an empire. As the
+many wars had brought in vast booty, there was money for the building of
+great palaces, of a size and magnificence never before seen in China.
+They were built by Chinese forced labour, and to this end men had to be
+brought from all over the empire&mdash;poor peasants, whose fields went out
+of cultivation while they were held in bondage far away. If they ever
+returned home, they were destitute and had lost their land. The rich
+gentry, on the other hand, were able to buy immunity from forced labour.
+The immense increase in the population of Peking (the huge court with
+its enormous expenditure, the mass of officials, the great merchant
+community, largely foreigners, and the many servile labourers),
+necessitated vast supplies of food. Now, as mentioned in earlier
+chapters, since the time of the Later T'ang the region round Nanking had
+become the main centre of production in China, and the Chinese
+population had gone over more and more to the consumption of rice
+instead of pulse or wheat. As rice could not be grown in the north,
+practically the whole of the food supplies for the capital had to be
+brought from the south. The transport system taken over by the Mongols
+had not been created for long-distance traffic of this sort. The capital
+of the Sung had lain in the main centre of production. Consequently, a
+great fleet had suddenly to be built, canals and rivers had to be
+regulated, and some new canals excavated. This <!-- Page 236 --><span class='pagenum'><a name="Page_236" id="Page_236">[Pg 236]</a></span>again called for a vast
+quantity of forced labour, often brought from afar to the points at
+which it was needed. The Chinese peasants had suffered in the Sung
+period. They had been exploited by the large landowners. The Mongols had
+not removed these landowners, as the Chinese gentry had gone over to
+their side. The Mongols had deprived them of their political power, but
+had left them their estates, the basis of their power. In past changes
+of dynasty the gentry had either maintained their position or been
+replaced by a new gentry: the total number of their class had remained
+virtually unchanged. Now, however, in addition to the original gentry
+there were about a million Mongols, for whose maintenance the peasants
+had also to provide, and their standard of maintenance was high. This
+was an enormous increase in the burdens of the peasantry.</p>
+
+<p>Two other elements further pressed on the peasants in the Mongol
+epoch&mdash;organized religion and the traders. The upper classes among the
+Chinese had in general little interest in religion, but the Mongols,
+owing to their historical development, were very religious. Some of them
+and some of their allies were Buddhists, some were still shamanists. The
+Chinese Buddhists and the representatives of popular Taoism approached
+the Mongols and the foreign Buddhist monks trying to enlist the interest
+of the Mongols and their allies. The old shamanism was unable to compete
+with the higher religions, and the Mongols in China became Buddhist or
+interested themselves in popular Taoism. They showed their interest
+especially by the endowment of temples and monasteries. The temples were
+given great estates, and the peasants on those estates became temple
+servants. The land belonging to the temples was free from taxation.</p>
+
+<p>We have as yet no exact statistics of the Mongol epoch, only
+approximations. These set the total area under cultivation at some six
+million <i>ch'ing</i> (a <i>ch'ing</i> is the ideal size of the farm worked by a
+peasant family, but it was rarely held in practice); the population
+amounted to fourteen or fifteen million families. Of this total tillage
+some 170,000 <i>ch'ing</i> were allotted to the temples; that is to say, the
+farms for some 400,000 peasant families were taken from the peasants and
+no longer paid taxes to the state. The peasants, however, had to make
+payments to the temples. Some 200,000 <i>ch'ing</i> with some 450,000 peasant
+families were turned into military settlements; that is to say, these
+peasants had to work for the needs of the army. Their taxes went not to
+the state but to the army. Moreover, in the event of war they had to
+render service to the army. In addition to this, all higher officials
+received official properties, the yield of which represented part
+payment of their <!-- Page 237 --><span class='pagenum'><a name="Page_237" id="Page_237">[Pg 237]</a></span>salaries. Then, Mongol nobles and dignitaries received
+considerable grants of land, which was taken away from the free
+peasants; the peasants had then to work their farms as tenants and to
+pay dues to their landlords, no longer to the state. Finally, especially
+in North China, many peasants were entirely dispossessed, and their land
+was turned into pasturage for the Mongols' horses; the peasants
+themselves were put to forced labour. On top of this came the
+exploitation of the peasants by the great landowners of the past. All
+this meant an enormous diminution in the number of free peasants and
+thus of taxpayers. As the state was involved in more expenditure than in
+the past owing to the large number of Mongols who were its virtual
+pensioners, the taxes had to be continually increased. Meanwhile the
+many peasants working as tenants of the great landlords, the temples,
+and the Mongol nobles were entirely at their mercy. In this period, a
+second migration of farmers into the southern provinces, mainly Fukien
+and Kwangtung, took place; it had its main source in the lower Yangtze
+valley. A few gentry families whose relatives had accompanied the Sung
+emperor on their flight to the south, also settled with their followers
+in the Canton basin.</p>
+
+<p>The many merchants from abroad, especially those belonging to the
+peoples allied to the Mongols, also had in every respect a privileged
+position in China. They were free of taxation, free to travel all over
+the country, and received privileged treatment in the use of means of
+transport. They were thus able to accumulate great wealth, most of which
+went out of China to their own country. This produced a general
+impoverishment of China. Chinese merchants fell more and more into
+dependence on the foreign merchants; the only field of action really
+remaining to them was the local trade within China and the trade with
+Indo-China, where the Chinese had the advantage of knowing the language.</p>
+
+<p>The impoverishment of China began with the flow abroad of her metallic
+currency. To make up for this loss, the government was compelled to
+issue great quantities of paper money, which very quickly depreciated,
+because after a few years the government would no longer accept the
+money at its face value, so that the population could place no faith in
+it. The depreciation further impoverished the people.</p>
+
+<p>Thus we have in the Mongol epoch in China the imposing picture of a
+commerce made possible with every country from Europe to the Pacific;
+this, however, led to the impoverishment of China. We also see the
+rising of mighty temples and monumental buildings, but this again only
+contributed to the denudation of the country. The Mongol epoch was thus
+one of continual and rapid <!-- Page 238 --><span class='pagenum'><a name="Page_238" id="Page_238">[Pg 238]</a></span>impoverishment in China, simultaneously with
+a great display of magnificence. The enthusiastic descriptions of the
+Mongol empire in China offered by travellers from the Near East or from
+Europe, such as Marco Polo, give an entirely false picture: as
+foreigners they had a privileged position, living in the cities and
+seeing nothing of the situation of the general population.</p>
+
+
+<p class="sect">5 <i>Popular risings: National rising</i></p>
+
+<p>It took time for the effects of all these factors to become evident. The
+first popular rising came in 1325. Statistics of 1329 show that there
+were then some 7,600,000 persons in the empire who were starving; as
+this was only the figure of the officially admitted sufferers, the
+figure may have been higher. In any case, seven-and-a-half millions were
+a substantial percentage of the total population, estimated at
+45,000,000. The risings that now came incessantly were led by men of the
+lower orders&mdash;a cloth-seller, a fisherman, a peasant, a salt smuggler,
+the son of a soldier serving a sentence, an office messenger, and so on.
+They never attacked the Mongols as aliens, but always the rich in
+general, whether Chinese or foreign. Wherever they came, they killed all
+the rich and distributed their money and possessions.</p>
+
+<p>As already mentioned, the Mongol garrisons were unable to cope with
+these risings. But how was it that the Mongol rule did not collapse
+until some forty years later? The Mongols parried the risings by raising
+loans from the rich and using the money to recruit volunteers to fight
+the rebels. The state revenues would not have sufficed for these
+payments, and the item was not one that could be included in the
+military budget. What was of much more importance was that the gentry
+themselves recruited volunteers and fought the rebels on their own
+account, without the authority or the support of the government. Thus it
+was the Chinese gentry, in their fear of being killed by the insurgents,
+who fought them and so bolstered up the Mongol rule.</p>
+
+<p>In 1351 the dykes along the Yellow River burst. The dykes had to be
+reconstructed and further measures of conservancy undertaken. To this
+end the government impressed 170,000 men. Following this action, great
+new revolts broke out. Everywhere in Honan, Kiangsu, and Shantung, the
+regions from which the labourers were summoned, revolutionary groups
+were formed, some of them amounting to 100,000 men. Some groups had a
+religious tinge; others declared their intention to restore the emperors
+of the Sung dynasty. Before long great parts of central China were
+wrested from the hands of the government. The <!-- Page 239 --><span class='pagenum'><a name="Page_239" id="Page_239">[Pg 239]</a></span>government recognized the
+menace to its existence, but resorted to contradictory measures. In 1352
+southern Chinese were permitted to take over certain official positions.
+In this way it was hoped to gain the full support of the gentry, who had
+a certain interest in combating the rebel movements. On the other hand,
+the government tightened up its nationality laws. All the old
+segregation laws were brought back into force, with the result that in a
+few years the aim of the rebels became no longer merely the expulsion of
+the rich but also the expulsion of the Mongols: a social movement thus
+became a national one. A second element contributed to the change in the
+character of the popular rising. The rebels captured many towns. Some of
+these towns refused to fight and negotiated terms of submission. In
+these cases the rebels did not murder the whole of the gentry, but took
+some of them into their service. The gentry did not agree to this out of
+sympathy with the rebels, but simply in order to save their own lives.
+Once they had taken the step, however, they could not go back; they had
+no alternative but to remain on the side of the rebels.</p>
+
+<p>In 1352 Kuo Tz&#365;-hsing rose in southern Honan. Kuo was the son of a
+wandering soothsayer and a blind beggar-woman. He had success; his group
+gained control of a considerable region round his home. There was no
+longer any serious resistance from the Mongols, for at this time the
+whole of eastern China was in full revolt. In 1353 Kuo was joined by a
+man named Chu Y&uuml;an-chang, the son of a small peasant, probably a tenant
+farmer. Chu's parents and all his relatives had died from a plague,
+leaving him destitute. He had first entered a monastery and become a
+monk. This was a favourite resource&mdash;and has been almost to the present
+day&mdash;for poor sons of peasants who were threatened with starvation. As a
+monk he had gone about begging, until in 1353 he returned to his home
+and collected a group, mostly men from his own village, sons of peasants
+and young fellows who had already been peasant leaders. Monks were often
+peasant leaders. They were trusted because they promised divine aid, and
+because they were usually rather better educated than the rest of the
+peasants. Chu at first also had contacts with a secret society, a branch
+of the White Lotos Society which several times in the course of Chinese
+history has been the nucleus of rebellious movements. Chu took his small
+group which identified itself by a red turban and a red banner to Kuo,
+who received him gladly, entered into alliance with him, and in sign of
+friendship gave him his daughter in marriage. In 1355 Kuo died, and Chu
+took over his army, now many thousands strong. In his campaigns against
+towns in eastern China, Chu succeeded in winning over some capable
+members of the gentry.<!-- Page 240 --><span class='pagenum'><a name="Page_240" id="Page_240">[Pg 240]</a></span> One was the chairman of a committee that yielded
+a town to Chu; another was a scholar whose family had always been
+opposed to the Mongols, and who had himself suffered injustice several
+times in his official career, so that he was glad to join Chu out of
+hatred of the Mongols.</p>
+
+<p>These men gained great influence over Chu, and persuaded him to give up
+attacking rich individuals, and instead to establish an assured control
+over large parts of the country. He would then, they pointed out, be
+permanently enriched, while otherwise he would only be in funds at the
+moment of the plundering of a town. They set before him strategic plans
+with that aim. Through their counsel Chu changed from the leader of a
+popular rising into a fighter against the dynasty. Of all the peasant
+leaders he was now the only one pursuing a definite aim. He marched
+first against Nanking, the great city of central China, and captured it
+with ease. He then crossed the Yangtze, and conquered the rich provinces
+of the south-east. He was a rebel who no longer slaughtered the rich or
+plundered the towns, and the whole of the gentry with all their
+followers came over to him <i>en masse</i>. The armies of volunteers went
+over to Chu, and the whole edifice of the dynasty collapsed.</p>
+
+<p>The years 1355-1368 were full of small battles. After his conquest of
+the whole of the south, Chu went north. In 1368 his generals captured
+Peking almost without a blow. The Mongol ruler fled on horseback with
+his immediate entourage into the north of China, and soon after into
+Mongolia. The Mongol dynasty had been brought down, almost without
+resistance. The Mongols in the isolated garrisons marched northward
+wherever they could. A few surrendered to the Chinese and were used in
+southern China as professional soldiers, though they were always
+regarded with suspicion. The only serious resistance offered came from
+the regions in which other Chinese popular leaders had established
+themselves, especially the remote provinces in the west and south-west,
+which had a different social structure and had been relatively little
+affected by the Mongol r&eacute;gime.</p>
+
+<p>Thus the collapse of the Mongols came for the following reasons: (1)
+They had not succeeded in maintaining their armed strength or that of
+their allies during the period of peace that followed Kublai's conquest.
+The Mongol soldiers had become effeminate through their life of idleness
+in the towns. (2) The attempt to rule the empire through Mongols or
+other aliens, and to exclude the Chinese gentry entirely from the
+administration, failed through insufficient knowledge of the sources of
+revenue and through the abuses due to the favoured treatment of aliens.
+The whole country, and <!-- Page 241 --><span class='pagenum'><a name="Page_241" id="Page_241">[Pg 241]</a></span>especially the peasantry, was completely
+impoverished and so driven into revolt. (3) There was also a
+psychological reason. In the middle of the fourteenth century it was
+obvious to the Mongols that their hold over China was growing more and
+more precarious, and that there was little to be got out of the
+impoverished country: they seem in consequence to have lost interest in
+the troublesome task of maintaining their rule, preferring, in so far as
+they had not already entirely degenerated, to return to their old home
+in the north. It is important to bear in mind these reasons for the
+collapse of the Mongols, so that we may compare them later with the
+reasons for the collapse of the Manchus.</p>
+
+<p>No mention need be made here of the names of the Mongol rulers in China
+after Kublai. After his death in 1294, grandsons and great-grandsons of
+his followed each other in rapid succession on the throne; not one of
+them was of any personal significance. They had no influence on the
+government of China. Their life was spent in intriguing against one
+another. There were seven Mongol emperors after Kublai.</p>
+
+
+<p class="sect">6 <i>Cultural</i></p>
+
+<p>During the Mongol epoch a large number of the Chinese scholars withdrew
+from official life. They lived in retirement among their friends, and
+devoted themselves mainly to the pursuit of the art of poetry, which had
+been elaborated in the Later Sung epoch, without themselves arriving at
+any important innovations in form. Their poems were built up
+meticulously on the rules laid down by the various schools; they were
+routine productions rather than the outcome of any true poetic
+inspiration. In the realm of prose the best achievements were the
+"miscellaneous notes" already mentioned, collections of learned essays.
+The foreigners who wrote in Chinese during this epoch are credited with
+no better achievements by the Chinese historians of literature. Chief of
+them were a statesman named Yeh-l&uuml; Ch'u-ts'ai, a Kitan in the service of
+the Mongols; and a Mongol named T'o-t'o (Tokto). The former accompanied
+Genghiz Khan in his great campaign against Turkestan, and left a very
+interesting account of his journeys, together with many poems about
+Samarkand and Turkestan. His other works were mainly letters and poems
+addressed to friends. They differ in no way in style from the Chinese
+literary works of the time, and are neither better nor worse than those
+works. He shows strong traces of Taoist influence, as do other
+contemporary writers. We know that Genghiz Khan was more or less
+inclined to Taoism, and admitted a Taoist monk to his camp (1221-1224).
+This man's <!-- Page 242 --><span class='pagenum'><a name="Page_242" id="Page_242">[Pg 242]</a></span>account of his travels has also been preserved, and with the
+numerous European accounts of Central Asia written at this time it forms
+an important source. The Mongol Tokto was the head of an historical
+commission that issued the annals of the Sung dynasty, the Kitan, and
+the Juch&ecirc;n dynasty. The annals of the Sung dynasty became the largest of
+all the historical works, but they were fiercely attacked from the first
+by Chinese critics on account of their style and their hasty
+composition, and, together with the annals of the Mongol dynasty, they
+are regarded as the worst of the annals preserved. Tokto himself is less
+to blame for this than the circumstance that he was compelled to work in
+great haste, and had not time to put into order the overwhelming mass of
+his material.</p>
+
+<p>The greatest literary achievements, however, of the Mongol period belong
+beyond question to the theatre (or, rather, opera). The emperors were
+great theatre-goers, and the wealthy private families were also
+enthusiasts, so that gradually people of education devoted themselves to
+writing librettos for the operas, where in the past this work had been
+left to others. Most of the authors of these librettos remained unknown:
+they used pseudonyms, partly because playwriting was not an occupation
+that befitted a scholar, and partly because in these works they
+criticized the conditions of their day. These works are divided in
+regard to style into two groups, those of the "southern" and the
+"northern" drama; these are distinguished from each other in musical
+construction and in their intellectual attitude: in general the northern
+works are more heroic and the southern more sentimental, though there
+are exceptions. The most famous northern works of the Mongol epoch are
+<i>P'i-p'a-chi</i> ("The Story of a Lute"), written about 1356, probably by
+Kao Ming, and <i>Chao-shih ku-erh-chi</i> ("The Story of the Orphan of
+Chao"), a work that enthralled Voltaire, who made a paraphrase of it;
+its author was the otherwise unknown Chi Ch&uuml;n-hsiang. One of the most
+famous of the southern dramas is <i>Hsi-hsiang-chi</i> ("The Romance of the
+Western Chamber"), by Wang Shih-fu and Kuan Han-ch'ing. Kuan lived under
+the Juch&ecirc;n dynasty as a physician, and then among the Mongol. He is said
+to have written fifty-eight dramas, many of which became famous.</p>
+
+<p>In the fine arts, foreign influence made itself felt during the Mongol
+epoch much more than in literature. This was due in part to the Mongol
+rulers' predilection for the Lamaism that was widespread in their
+homeland. Lamaism is a special form of Buddhism which developed in
+Tibet, where remnants of the old national Tibetan cult (<i>Bon</i>) were
+fused with Buddhism into a distinctive religion. During the rise of the
+Mongols this religion, which closely resembled the shamanism of the
+ancient Mongols, <!-- Page 243 --><span class='pagenum'><a name="Page_243" id="Page_243">[Pg 243]</a></span>spread in Mongolia, and through the Mongols it made
+great progress in China, where it had been insignificant until their
+time. Religious sculpture especially came entirely under Tibetan
+influence (particularly that of the sculptor Aniko, who came from Nepal,
+where he was born in 1244). This influence was noticeable in the Chinese
+sculptor Liu Y&uuml;an; after him it became stronger and stronger, lasting
+until the Manchu epoch.</p>
+
+<p>In architecture, too, Indian and Tibetan influence was felt in this
+period. The Tibetan pagodas came into special prominence alongside the
+previously known form of pagoda, which has many storeys, growing smaller
+as they go upward; these towers originally contained relics of Buddha
+and his disciples. The Tibetan pagoda has not this division into
+storeys, and its lower part is much larger in circumference, and often
+round. To this day Peking is rich in pagodas in the Tibetan style.</p>
+
+<p>The Mongols also developed in China the art of carpet-knotting, which to
+this day is found only in North China in the zone of northern influence.
+There were carpets before these, but they were mainly of felt. The
+knotted carpets were produced in imperial workshops&mdash;only, of course,
+for the Mongols, who were used to carpets. A further development
+probably also due to West Asian influence was that of cloisonn&eacute;
+technique in China in this period.</p>
+
+<p>Painting, on the other hand, remained free from alien influence, with
+the exception of the craft painting for the temples. The most famous
+painters of the Mongol epoch were Chao M&ecirc;ng-fu (also called Chao
+Chung-mu, 1254-1322), a relative of the deposed imperial family of the
+Sung dynasty, and Ni Tsan (1301-1374).</p>
+
+
+
+<h3>(B) The Ming Epoch (1368-1644)</h3>
+
+
+<p class="sect">1 <i>Start. National feeling</i></p>
+
+<p>It was necessary to give special attention to the reasons for the
+downfall of Mongol rule in China, in order to make clear the cause and
+the character of the Ming epoch that followed it. It is possible that
+the erroneous impression might be gained that the Mongol epoch in China
+was entirely without merits, and that the Mongol rule over China
+differed entirely from the Mongol rule over other countries of Asia.
+Chinese historians have no good word to say of the Mongol epoch and
+avoid the subject as far as they can. It is true that the union of the
+national Mongol culture with Chinese culture, as envisaged by the Mongol
+rulers, was not a sound conception, and consequently did not endure for
+long. Nevertheless, the Mongol epoch in China left indelible traces, and
+without it<!-- Page 244 --><span class='pagenum'><a name="Page_244" id="Page_244">[Pg 244]</a></span> China's further development would certainly have taken a
+different course.</p>
+
+<p>The many popular risings during the latter half of the period of Mongol
+rule in China were all of a purely economic and social character, and at
+first they were not directed at all against the Mongols as
+representatives of an alien people. The rising under Chu Y&uuml;an-chang,
+which steadily gained impetus, was at first a purely social movement;
+indeed, it may fairly be called revolutionary. Chu was of the humblest
+origin; he became a monk and a peasant leader at one and the same time.
+Only three times in Chinese history has a man of the peasantry become
+emperor and founder of a dynasty. The first of these three men founded
+the Han dynasty; the second founded the first of the so-called "Five
+Dynasties" in the tenth century; Chu was the third.</p>
+
+<p>Not until the Mongols had answered Chu's rising with a tightening of the
+nationality laws did the revolutionary movement become a national
+movement, directed against the foreigners as such. And only when Chu
+came under the influence of the first people of the gentry who joined
+him, whether voluntarily or perforce, did what had been a revolutionary
+movement become a struggle for the substitution of one dynasty for
+another without interfering with the existing social system. Both these
+points were of the utmost importance to the whole development of the
+Ming epoch.</p>
+
+<p>The Mongols were driven out fairly quickly and without great difficulty.
+The Chinese drew from the ease of their success a sense of superiority
+and a clear feeling of nationalism. This feeling should not be
+confounded with the very old feeling of Chinese as a culturally superior
+group according to which, at least in theory though rarely in practice,
+every person who assimilated Chinese cultural values and traits was a
+"Chinese". The roots of nationalism seem to lie in the Southern Sung
+period, growing up in the course of contacts with the Juch&ecirc;n and
+Mongols; but the discriminatory laws of the Mongols greatly fostered
+this feeling. From now on, it was regarded a shame to serve a foreigner
+as official, even if he was a ruler of China.</p>
+
+
+<p class="sect">2 <i>Wars against Mongols and Japanese</i></p>
+
+<p>It had been easy to drive the Mongols out of China, but they were never
+really beaten in their own country. On the contrary, they seem to have
+regained strength after their withdrawal from China: they reorganized
+themselves and were soon capable of counter-thrusts, while Chinese
+offensives had as a rule very little success, <!-- Page 245 --><span class='pagenum'><a name="Page_245" id="Page_245">[Pg 245]</a></span>and at all events no
+decisive success. In the course of time, however, the Chinese gained a
+certain influence over Turkestan, but it was never absolute, always
+challenged. After the Mongol empire had fallen to pieces, small states
+came into existence in Turkestan, for a long time with varying fortunes;
+the most important one during the Ming epoch was that of Hami, until in
+1473 it was occupied by the city-state of Turfan. At this time China
+actively intervened in the policy of Turkestan in a number of combats
+with the Mongols. As the situation changed from time to time, these
+city-states united more or less closely with China or fell away from her
+altogether. In this period, however, Turkestan was of no military or
+economic importance to China.</p>
+
+<p>In the time of the Ming there also began in the east and south the
+plague of Japanese piracy. Japanese contacts with the coastal provinces
+of China (Kiangsu, Ch&ecirc;kiang and Fukien) had a very long history:
+pilgrims from Japan often went to these places in order to study
+Buddhism in the famous monasteries of Central China; businessmen sold at
+high prices Japanese swords and other Japanese products here and bought
+Chinese products; they also tried to get Chinese copper coins which had
+a higher value in Japan. Chinese merchants co-operated with Japanese
+merchants and also with pirates in the guise of merchants. Some Chinese
+who were or felt persecuted by the government, became pirates
+themselves. This trade-piracy had started already at the end of the Sung
+dynasty, when Japanese navigation had become superior to Korean shipping
+which had in earlier times dominated the eastern seaboard. These
+conditions may even have been one of the reasons why the Mongols tried
+to subdue Japan. As early as 1387 the Chinese had to begin the building
+of fortifications along the eastern and southern coasts of the country.
+The Japanese attacks now often took the character of organized raids: a
+small, fast-sailing flotilla would land in a bay, as far as possible
+without attracting notice; the soldiers would march against the nearest
+town, generally overcoming it, looting, and withdrawing. The defensive
+measures adopted from time to time during the Ming epoch were of little
+avail, as it was impossible effectively to garrison the whole coast.
+Some of the coastal settlements were transferred inland, to prevent the
+Chinese from co-operating with the Japanese, and to give the Japanese so
+long a march inland as to allow time for defensive measures. The
+Japanese pirates prevented the creation of a Chinese navy in this period
+by their continual threats to the coastal cities in which the shipyards
+lay. Not until much later, at a time of unrest in Japan in 1467, was
+there any peace from the Japanese pirates.</p>
+
+<p>The Japanese attacks were especially embarrassing for the<!-- Page 246 --><span class='pagenum'><a name="Page_246" id="Page_246">[Pg 246]</a></span> Chinese
+government for one other reason. Large armies had to be kept all along
+China's northern border, from Manchuria to Central Asia. Food supplies
+could not be collected in north China which did not have enough
+surplusses. Canal transportation from Central China was not reliable, as
+the canals did not always have enough water and were often clogged by
+hundreds of ships. And even if canals were used, grain still had to be
+transported by land from the end of the canals to the frontier. The Ming
+government therefore, had organized an overseas flotilla of grain ships
+which brought grain from Central China directly to the front in
+Liao-tung and Manchuria. And these ships, vitally important, were so
+often attacked by the pirates, that this plan later had to be given up
+again.</p>
+
+<p>These activities along the coast led the Chinese to the belief that
+basically all foreigners who came by ships were "barbarians"; when
+towards the end of the Ming epoch the Japanese were replaced by
+Europeans who did not behave much differently and were also
+pirate-merchants, the nations of Western Europe, too, were regarded as
+"barbarians" and were looked upon with great suspicion. On the other
+side, continental powers, even if they were enemies, had long been
+regarded as "states", sometimes even as equals. Therefore, when at a
+much later time the Chinese came into contact with Russians, their
+attitude towards them was similar to that which they had taken towards
+other Asian continental powers.</p>
+
+
+<p class="sect">3 <i>Social legislation within the existing order</i></p>
+
+<p>At the time when Chu Y&uuml;an-chang conquered Peking, in 1368, becoming the
+recognized emperor of China (Ming dynasty), it seemed as though he would
+remain a revolutionary in spite of everything. His first laws were
+directed against the rich. Many of the rich were compelled to migrate to
+the capital, Nanking, thus losing their land and the power based on it.
+Land was redistributed among poor peasants; new land registers were also
+compiled, in order to prevent the rich from evading taxation. The number
+of monks living in idleness was cut down and precisely determined; the
+possessions of the temples were reduced, land exempted from taxation
+being thus made taxable&mdash;all this, incidentally, although Chu had
+himself been a monk! These laws might have paved the way to social
+harmony and removed the worst of the poverty of the Mongol epoch. But
+all this was frustrated in the very first years of Chu's reign. The laws
+were only half carried into effect or not at all, especially in the
+hinterland of the present Shanghai. That region had been conquered by
+Chu at the very beginning of the<!-- Page 247 --><span class='pagenum'><a name="Page_247" id="Page_247">[Pg 247]</a></span> Ming epoch; in it lived the wealthy
+landowners who had already been paying the bulk of the taxes under the
+Mongols. The emperor depended on this wealthy class for the financing of
+his great armies, and so could not be too hard on it.</p>
+
+<p>Chu Y&uuml;an-chang and his entourage were also unable to free themselves
+from some of the ideas of the Mongol epoch. Neither Chu, nor anybody
+else before and long after him discussed the possibility of a form of
+government other than that of a monarchy. The first ever to discuss this
+question, although very timidly, was Huang Tsung-hsi (1610-1695), at the
+end of the Ming dynasty. Chu's conception of an emperor was that of an
+absolute monarch, master over life and death of his subjects; it was
+formed by the Mongol emperors with their magnificence and the huge
+expenditure of their life in Peking; Chu was oblivious of the fact that
+Peking had been the capital of a vast empire embracing almost the whole
+of Asia, and expenses could well be higher than for a capital only of
+China. It did not occur to Chu and his supporters that they could have
+done without imperial state and splendour; on the contrary, they felt
+compelled to display it. At first Chu personally showed no excessive
+signs of this tendency, though they emerged later; but he conferred
+great land grants on all his relatives, friends, and supporters; he
+would give to a single person land sufficient for 20,000 peasant
+families; he ordered the payment of state pensions to members of the
+imperial family, just as the Mongols had done, and the total of these
+pension payments was often higher than the revenue of the region
+involved. For the capital alone over eight million <i>shih</i> of grain had
+to be provided in payment of pensions&mdash;that is to say, more than 160,000
+tons! These pension payments were in themselves a heavy burden on the
+state; not only that, but they formed a difficult transport problem! We
+have no close figure of the total population at the beginning of the
+Ming epoch; about 1500 it is estimated to have been 53,280,000, and this
+population had to provide some 266,000,000 <i>shih</i> in taxes. At the
+beginning of the Ming epoch the population and revenue must, however,
+have been smaller.</p>
+
+<p>The laws against the merchants and the restrictions under which the
+craftsmen worked, remained essentially as they had been under the Sung,
+but now the remaining foreign merchants of Mongol time also fell under
+these laws, and their influence quickly diminished. All craftsmen, a
+total of some 300,000 men with families, were still registered and had
+to serve the government in the capital for three months once every three
+years; others had to serve ten days per month, if they lived close by.
+They were a hereditary caste as were the professional soldiers, and not
+allowed to change their <!-- Page 248 --><span class='pagenum'><a name="Page_248" id="Page_248">[Pg 248]</a></span>occupation except by special imperial
+permission. When a craftsman or soldier died, another family member had
+to replace him; therefore, families of craftsmen were not allowed to
+separate into small nuclear families, in which there might not always be
+a suitable male. Yet, in an empire as large as that of the Ming, this
+system did not work too well: craftsmen lost too much time in travelling
+and often succeeded in running away while travelling. Therefore, from
+1505 on, they had to pay a tax instead of working for the government,
+and from then on the craftsmen became relatively free.</p>
+
+
+<p class="sect">4 <i>Colonization and agricultural developments</i></p>
+
+<p>As already mentioned, the Ming had to keep a large army along the
+northern frontiers. But they also had to keep armies in south China,
+especially in Y&uuml;nnan. Here, the Mongol invasions of Burma and Thailand
+had brought unrest among the tribes, especially the Shan. The Ming did
+not hold Burma but kept it in a loose dependency as "tributary nation".
+In order to supply armies so far away from all agricultural surplus
+centres, the Ming resorted to the old system of "military colonies"
+which seems to have been invented in the second century <span class="smcap">B.C.</span>
+and is still used even today (in Sinkiang). Soldiers were settled in
+camps called <i>ying</i>, and therefore there are so many place names ending
+with <i>ying</i> in the outlying areas of China. They worked as state farmers
+and accumulated surplusses which were used in case of war in which these
+same farmers turned soldiers again. Many criminals were sent to these
+state farms, too. This system, especially in south China, transformed
+territories formerly inhabited by native tribes or uninhabited, into
+solidly Chinese areas. In addition to these military colonies, a steady
+stream of settlers from Central China and the coast continued to move
+into Kwangtung and Hunan provinces. They felt protected by the army
+against attacks by natives. Yet Ming texts are full of reports on major
+and minor clashes with the natives, from Kiangsi and Fukien to Kwangtung
+and Kwanghsi.</p>
+
+<p>But the production of military colonies was still not enough to feed the
+armies, and the government in Chu's time resorted to a new design. It
+promised to give merchants who transported grain from Central China to
+the borders, government salt certificates. Upon the receipt, the
+merchants could acquire a certain amount of salt and sell it with high
+profits. Soon, these merchants began to invest some of their capital in
+local land which was naturally cheap. They then attracted farmers from
+their home countries as tenants. The rent of the tenants, paid in form
+of grain, was then sold to the <!-- Page 249 --><span class='pagenum'><a name="Page_249" id="Page_249">[Pg 249]</a></span>army, and the merchant's gains
+increased. Tenants could easily be found: the density of population in
+the Yangtze plains had further increased since the Sung time. This
+system of merchant colonization did not last long, because soon, in
+order to curb the profits of the merchants, money was given instead of
+salt certificates, and the merchants lost interest in grain transports.
+Thus, grain prices along the frontiers rose and the effectiveness of the
+armies was diminished.</p>
+
+<p>Although the history of Chinese agriculture is as yet only partially
+known, a number of changes in this field, which began to show up from
+Sung time on, seem to have produced an "agricultural revolution" in Ming
+time. We have already mentioned the Sung attempts to increase production
+near the big cities by deep-lying fields, cultivation on and in lakes.
+At the same time, there was an increase in cultivation of mountain
+slopes by terracing and by distributing water over the terraces in
+balanced systems. New irrigation machines, especially the so-called
+Persian wheel, were introduced in the Ming time. Perhaps the most
+important innovation, however, was the introduction of rice from
+Indo-China's kingdom Champa in 1012 into Fukien from where it soon
+spread. This rice had three advantages over ordinary Chinese rice: it
+was drought-resistant and could, therefore, be planted in areas with
+poor or even no irrigation. It had a great productivity, and it could be
+sown very early in the year. At first it had the disadvantage that it
+had a vegetation period of a hundred days. But soon, the Chinese
+developed a quick-growing Champa rice, and the speediest varieties took
+only sixty days from transplantation into the fields to the harvest.
+This made it possible to grow two rice harvests instead of only one and
+more than doubled the production. Rice varieties which grew again after
+being cut and produced a second, but very much smaller harvest,
+disappeared from now on. Furthermore, fish were kept in the ricefields
+and produced not only food for the farmers but also fertilized the
+fields, so that continuous cultivation of ricefields without any
+decrease in fertility became possible. Incidentally, fish control the
+malaria mosquitoes; although the Chinese did not know this fact, large
+areas in South China which had formerly been avoided by Chinese because
+of malaria, gradually became inhabitable.</p>
+
+<p>The importance of alternating crops was also discovered and from now on,
+the old system of fallow cultivation was given up and continuous
+cultivation with, in some areas, even more than one harvest per field
+per year, was introduced even in wheat-growing areas. Considering that
+under the fallow system from one half to one third of all fields
+remained uncultivated each year, the increase in production under the
+new system must have been tremendous.<!-- Page 250 --><span class='pagenum'><a name="Page_250" id="Page_250">[Pg 250]</a></span> We believe that the population
+revolution which in China started about 1550, was the result of this
+earlier agrarian revolution. From the eighteenth century on we get
+reports on depletion of fields due to wrong application of the new
+system.</p>
+
+<p>Another plant deeply affected Chinese agriculture: cotton. It is often
+forgotten that, from very early times, the Chinese in the south had used
+kapok and similar fibres, and that the cocoons of different kinds of
+worms had been used for silk. Real cotton probably came from Bengal over
+South-East Asia first to the coastal provinces of China and spread
+quickly into Fukien and Kwangtung in Sung time.</p>
+
+<p>On the other side, cotton reached China through Central Asia, and
+already in the thirteenth century we find it in Shensi in north-western
+China. Farmers in the north could in many places grow cotton in summer
+and wheat in winter, and cotton was a high-priced product. They ginned
+the cotton with iron rods; a mechanical cotton gin was introduced not
+until later. The raw cotton was sold to merchants who transported it
+into the industrial centre of the time, the Yangtze valley, and who
+re-exported cotton cloth to the north. Raw cotton, loosened by the
+string of the bow (a method which was known since Sung), could now in
+the north also be used for quilts and padded winter garments.</p>
+
+
+<p class="sect">5 <i>Commercial and industrial developments</i></p>
+
+<p>Intensivation and modernization of agriculture led to strong population
+increases especially in the Yangtze valley from Sung time on. Thus, in
+this area commerce and industry also developed most quickly.
+Urbanization was greatest here. Nanking, the new Ming capital, grew
+tremendously because of the presence of the court and administration,
+and even when later the capital was moved, Nanking continued to remain
+the cultural capital of China. The urban population needed textiles and
+food. From Ming time on, fashions changed quickly as soon as government
+regulations which determined colour and material of the dress of each
+social class were relaxed or as soon as they could be circumvented by
+bribery or ingenious devices. Now, only factories could produce the
+amounts which the consumers wanted. We hear of many men who started out
+with one loom and later ended up with over forty looms, employing many
+weavers. Shanghai began to emerge as a centre of cotton cloth
+production. A system of middle-men developed who bought raw cotton and
+raw silk from the producers and sold it to factories.</p>
+
+<p>Consumption in the Yangtze cities raised the value of the land <!-- Page 251 --><span class='pagenum'><a name="Page_251" id="Page_251">[Pg 251]</a></span>around
+the cities. The small farmers who were squeezed out, migrated to the
+south. Absentee landlords in cities relied partly on migratory, seasonal
+labour supplied by small farmers from Ch&ecirc;kiang who came to the Yangtze
+area after they had finished their own harvest. More and more,
+vegetables and mulberries or cotton were planted in the vicinity of the
+cities. As rice prices went up quickly a large organization of rice
+merchants grew up. They ran large ships up to Hankow where they bought
+rice which was brought down from Hunan in river boats by smaller
+merchants. The small merchants again made contracts with the local
+gentry who bought as much rice from the producers as they could and sold
+it to these grain merchants. Thus, local grain prices went up and we
+hear of cases where the local population attacked the grain boats in
+order to prevent the depletion of local markets.</p>
+
+<p>Next to these grain merchants, the above-mentioned salt merchants have
+to be mentioned again. Their centre soon became the city of Hsin-an, a
+city on the border of Ch&ecirc;kiang and Anhuei, or in more general terms, the
+cities in the district of Hui-chou. When the grain transportation to the
+frontiers came to an end in early Ming time, the Hsin-an merchants
+specialized first in silver trade. Later in Ming time, they spread their
+activities all over China and often monopolized the salt, silver, rice,
+cotton, silk or tea businesses. In the sixteenth century they had
+well-established contacts with smugglers on the Fukien coast and brought
+foreign goods into the interior. Their home was also close to the main
+centres of porcelain production in Kiangsi which was exported to
+overseas and to the urban centres. The demand for porcelain had
+increased so much that state factories could not fulfil it. The state
+factories seem often to have suffered from a lack of labour: indented
+artisans were imported from other provinces and later sent back on state
+expenses or were taken away from other state industries. Thus, private
+porcelain factories began to develop, and in connection with quickly
+changing fashions a great diversification of porcelain occurred.</p>
+
+<p>One other industry should also be mentioned. With the development of
+printing, which will be discussed below, the paper industry was greatly
+stimulated. The state also needed special types of paper for the paper
+currency. Printing and book selling became a profitable business, and
+with the application of block print to textiles (probably first used in
+Sung time) another new field of commercial activity was opened.</p>
+
+<p>As already mentioned, silver in form of bars had been increasingly used
+as currency in Sung time. The yearly government production of silver was
+c. 10,000 kg. Mongol currency was actually <!-- Page 252 --><span class='pagenum'><a name="Page_252" id="Page_252">[Pg 252]</a></span>based upon silver. The Ming,
+however, reverted to copper as basic unit, in addition to the use of
+paper money. This encouraged the use of silver for speculative purposes.</p>
+
+<p>The development of business changed the face of cities. From Sung time
+on, the division of cities into wards with gates which were closed
+during the night, began to break down. Ming cities had no more wards.
+Business was no more restricted to official markets but grew up in all
+parts of the cities. The individual trades were no more necessarily all
+in one street. Shops did not have to close at sunset. The guilds
+developed and in some cases were able to exercise locally some influence
+upon the officials.</p>
+
+
+<p class="sect">6 <i>Growth of the small gentry</i></p>
+
+<p>With the spread of book printing, all kinds of books became easily
+accessible, including reprints of examination papers. Even businessmen
+and farmers increasingly learned to read and to write, and many people
+now could prepare themselves for the examinations. Attendance, however,
+at the examinations cost a good deal. The candidate had to travel to the
+local or provincial capital, and for the higher examinations to the
+capital of the country; he had to live there for several months and, as
+a rule, had to bribe the examiners or at least to gain the favour of
+influential people. There were many cases of candidates becoming
+destitute. Most of them were heavily in debt when at last they gained a
+position. They naturally set to work at once to pay their debts out of
+their salary, and to accumulate fresh capital to meet future
+emergencies. The salaries of officials were, however, so small that it
+was impossible to make ends meet; and at the same time every official
+was liable with his own capital for the receipt in full of the taxes for
+the collection of which he was responsible. Consequently every official
+began at once to collect more taxes than were really due, so as to be
+able to cover any deficits, and also to cover his own cost of
+living&mdash;including not only the repayment of his debts but the
+acquisition of capital or land so as to rise in the social scale. The
+old gentry had been rich landowners, and had had no need to exploit the
+peasants on such a scale.</p>
+
+<p>The Chinese empire was greater than it had been before the Mongol epoch,
+and the population was also greater, so that more officials were needed.
+Thus in the Ming epoch there began a certain democratization, larger
+sections of the population having the opportunity of gaining government
+positions; but this democratization brought no benefit to the general
+population but resulted in further exploitation of the peasants.<!-- Page 253 --><span class='pagenum'><a name="Page_253" id="Page_253">[Pg 253]</a></span></p>
+
+<p>The new "small gentry" did not consist of great families like the
+original gentry. When, therefore, people of that class wanted to play a
+political part in the central government, or to gain a position there,
+they had either to get into close touch with one of the families of the
+gentry, or to try to approach the emperor directly. In the immediate
+entourage of the emperor, however, were the eunuchs. A good many members
+of the new class had themselves castrated after they had passed their
+state examination. Originally eunuchs were forbidden to acquire
+education. But soon the Ming emperors used the eunuchs as a tool to
+counteract the power of gentry cliques and thus to strengthen their
+personal power. When, later, eunuchs controlled appointments to
+government posts, long established practices of bureaucratic
+administration were eliminated and the court, i.e. the emperor and his
+tools, the eunuchs, could create a rule by way of arbitrary decisions, a
+despotic rule. For such purposes, eunuchs had to have education, and
+these new educated eunuchs, when they had once secured a position, were
+able to gain great influence in the immediate entourage of the emperor;
+later such educated eunuchs were preferred, especially as many offices
+were created which were only filled by eunuchs and for which educated
+eunuchs were needed. Whole departments of eunuchs came into existence at
+court, and these were soon made use of for confidential business of the
+emperor's outside the palace.</p>
+
+<p>These eunuchs worked, of course, in the interest of their families. On
+the other hand, they were very ready to accept large bribes from the
+gentry for placing the desires of people of the gentry before the
+emperor and gaining his consent. Thus the eunuchs generally accumulated
+great wealth, which they shared with their small gentry relatives. The
+rise of the small gentry class was therefore connected with the
+increased influence of the eunuchs at court.</p>
+
+
+<p class="sect">7 <i>Literature, art, crafts</i></p>
+
+<p>The growth of the small gentry which had its stronghold in the
+provincial towns and cities, as well as the rise of the merchant class
+and the liberation of the artisans, are reflected in the new literature
+of Ming time. While the Mongols had developed the theatre, the novel may
+be regarded as the typical Ming creation. Its precursors were the
+stories of story-tellers centuries ago. They had developed many styles,
+one of which, for instance, consisted of prose with intercalated poetic
+parts (<i>pien-wen</i>). Buddhists monks had used these forms of popular
+literature and spread their teachings in similar forms; due to them,
+many Indian stories and tales found <!-- Page 254 --><span class='pagenum'><a name="Page_254" id="Page_254">[Pg 254]</a></span>their way into the Chinese
+folklore. Soon, these stories of story-tellers or monks were written
+down, and out of them developed the Chinese classical novel. It
+preserved many traits of the stories: it was cut into chapters
+corresponding with the interruptions which the story-teller made in
+order to collect money; it was interspersed with poems. But most of all,
+it was written in everyday language, not in the language of the gentry.
+To this day every Chinese knows and reads with enthusiasm
+<i>Shui-hu-chuan</i> ("The Story of the River Bank"), probably written about
+1550 by Wang Tao-k'un, in which the ruling class was first described in
+its decay. Against it are held up as ideals representatives of the
+middle class in the guise of the gentleman brigand. Every Chinese also
+knows the great satirical novel <i>Hsi-yu-chi</i> ("The Westward Journey"),
+by Feng M&ecirc;ng-lung (1574-1645), in which ironical treatment is meted out
+to all religions and sects against a mythological background, with a
+freedom that would not have been possible earlier. The characters are
+not presented as individuals but as representatives of human types: the
+intellectual, the hedonist, the pious man, and the simpleton, are drawn
+with incomparable skill, with their merits and defects. A third famous
+novel is <i>San-kuo yen-i</i> ("The Tale of the Three Kingdoms"), by Lo
+Kuan-chung. Just as the European middle class read with avidity the
+romances of chivalry, so the comfortable class in China was enthusiastic
+over romanticized pictures of the struggle of the gentry in the third
+century. "The Tale of the Three Kingdoms" became the model for countless
+historical novels of its own and subsequent periods. Later, mainly in
+the sixteenth century, the sensational and erotic novel developed, most
+of all in Nanking. It has deeply influenced Japanese writers, but was
+mercilessly suppressed by the Chinese gentry which resented the
+frivolity of this wealthy and luxurious urban class of middle or small
+gentry families who associated with rich merchants, actors, artists and
+musicians. Censorship of printed books had started almost with the
+beginning of book printing as a private enterprise: to the famous
+historian, anti-Buddhist and conservative Ou-yang Hsiu (1007-1072), the
+enemy of Wang An-shih, belongs the sad glory of having developed the
+first censorship rules. Since Ming time, it became a permanent feature
+of Chinese governments.</p>
+
+<p>The best known of the erotic novels is the <i>Chin-p'ing-mei</i> which, for
+reasons of our own censors can be published only in expurgated
+translations. It was written probably towards the end of the sixteenth
+century. This novel, as all others, has been written and re-written by
+many authors, so that many different versions exist. It might be pointed
+out that many novels were printed in Hui-chou, the commercial centre of
+the time.<!-- Page 255 --><span class='pagenum'><a name="Page_255" id="Page_255">[Pg 255]</a></span></p>
+
+<p>The short story which formerly served the entertainment of the educated
+only and which was, therefore, written in classical Chinese, now also
+became a literary form appreciated by the middle classes. The collection
+<i>Chin-ku ch'i-kuan</i> ("Strange Stories of New Times and Old"), compiled
+by Feng Meng-lung, is the best-known of these collections in vernacular
+Chinese.</p>
+
+<p>Little original work was done in the Ming epoch in the fields generally
+regarded as "literature" by educated Chinese, those of poetry and the
+essay. There are some admirable essays, but these are only isolated
+examples out of thousands. So also with poetry: the poets of the gentry,
+united in "clubs", chose the poets of the Sung epoch as their models to
+emulate.</p>
+
+<p>The Chinese drama made further progress in the Ming epoch. Many of the
+finest Chinese dramas were written under the Ming; they are still
+produced again and again to this day. The most famous dramatists of the
+Ming epoch are Wang Shih-chen (1526-1590) and T'ang Hsien-tsu
+(1556-1617). T'ang wrote the well-known drama <i>Mu-tan-t'ing</i> ("The Peony
+<ins class="corr" title="also spelled 'Pavilion'">Pavillion</ins>"), one of the finest love-stories of Chinese literature, full
+of romance and remote from all reality. This is true also of the other
+dramas by T'ang, especially his "Four Dreams", a series of four plays.
+In them a man lives in dream through many years of his future life, with
+the result that he realizes the worthlessness of life and decides to
+become a monk.</p>
+
+<p>Together with the development of the drama (or, rather, the opera) in
+the Ming epoch went an important endeavour in the modernization of
+music, the attempt to create a "well-tempered scale" made in 1584 by Chu
+Tsai-y&uuml;. This solved in China a problem which was not tackled till later
+in Europe. The first Chinese theorists of music who occupied themselves
+with this problem were Ching Fang (77-37 <span class="smcap">B.C.</span>) and Ho
+Ch'&ecirc;ng-t'ien (<span class="smcap">A.D.</span> 370-447).</p>
+
+<p>In the Mongol epoch, most of the Chinese painters had lived in central
+China; this remained so in the Ming epoch. Of the many painters of the
+Ming epoch, all held in high esteem in China, mention must be made
+especially of Ch'iu Ying (<i>c.</i> 1525), T'ang Yin (1470-1523), and Tung
+Ch'i-ch'ang (1555-1636). Ch'iu Ying painted in the Academic Style,
+indicating every detail, however small, and showing preference for a
+turquoise-green ground. T'ang Yin was the painter of elegant women; Tung
+became famous especially as a calligraphist and a theoretician of the
+art of painting; a textbook of the art was written by him.</p>
+
+<p>Just as puppet plays and shadow theatre are the "opera of the common
+man" and took a new development in Ming time, the <!-- Page 256 --><span class='pagenum'><a name="Page_256" id="Page_256">[Pg 256]</a></span>wood-cut and
+block-printing developed largely as a cheap substitute of real
+paintings. The new urbanites wanted to have paintings of the masters and
+found in the wood-cut which soon became a multi-colour print a cheap
+mass medium. Block printing in colours, developed in the Yangtze valley,
+was adopted by Japan and found its highest refinement there. But the
+Ming are also famous for their monumental architecture which largely
+followed Mongol patterns. Among the most famous examples is the famous
+Great Wall which had been in dilapidation and was rebuilt; the great
+city walls of Peking; and large parts of the palaces of Peking, begun in
+the Mongol epoch. It was at this time that the official style which we
+may observe to this day in North China was developed, the style employed
+everywhere, until in the age of concrete it lost its justification.</p>
+
+<p>In the Ming epoch the porcelain with blue decoration on a white ground
+became general; the first examples, from the famous kilns in
+Ching-te-chen, in the province of Kiangsi, were relatively coarse, but
+in the fifteenth century the production was much finer. In the sixteenth
+century the quality deteriorated, owing to the disuse of the cobalt from
+the Middle East (perhaps from Persia) in favour of Sumatra cobalt, which
+did not yield the same brilliant colour. In the Ming epoch there also
+appeared the first brilliant red colour, a product of iron, and a start
+was then made with three-colour porcelain (with lead glaze) or
+five-colour (enamel). The many porcelains exported to western Asia and
+Europe first influenced European ceramics (Delft), and then were
+imitated in Europe (B&ouml;ttger); the early European porcelains long showed
+Chinese influence (the so-called onion pattern, blue on a white ground).
+In addition to the porcelain of the Ming epoch, of which the finest
+specimens are in the palace at Istanbul, especially famous are the
+lacquers (carved lacquer, lacquer painting, gold lacquer) of the Ming
+epoch and the cloisonn&eacute; work of the same period. These are closely
+associated with the contemporary work in Japan.</p>
+
+
+<p class="sect">8 <i>Politics at court</i></p>
+
+<p>After the founding of the dynasty by Chu Y&uuml;an-chang, important questions
+had to be dealt with apart from the social legislation. What was to be
+done, for instance, with Chu's helpers? Chu, like many revolutionaries
+before and after him, recognized that these people had been serviceable
+in the years of struggle but could no longer remain useful. He got rid
+of them by the simple device of setting one against another so that they
+murdered one another.<!-- Page 257 --><span class='pagenum'><a name="Page_257" id="Page_257">[Pg 257]</a></span> In the first decades of his rule the dangerous
+cliques of gentry had formed again, and were engaged in mutual
+struggles. The most formidable clique was led by Hu Wei-yung. Hu was a
+man of the gentry of Chu's old homeland, and one of his oldest
+supporters. Hu and his relations controlled the country after 1370,
+until in 1380 Chu succeeded in beheading Hu and exterminating his
+clique. New cliques formed before long and were exterminated in turn.</p>
+
+<p>Chu had founded Nanking in the years of revolution, and he made it his
+capital. In so doing he met the wishes of the rich grain producers of
+the Yangtze delta. But the north was the most threatened part of his
+empire, so that troops had to be permanently stationed there in
+considerable strength. Thus Peking, where Chu placed one of his sons as
+"king", was a post of exceptional importance.</p>
+
+<p>In Chu Y&uuml;an-chang's last years (he was named T'ai Tsu as emperor)
+difficulties arose in regard to the dynasty. The heir to the throne died
+in 1391; and when the emperor himself died in 1398, the son of the late
+heir-apparent was installed as emperor (Hui Ti, 1399-1402). This choice
+had the support of some of the influential Confucian gentry families of
+the south. But a protest against his enthronement came from the other
+son of Chu Y&uuml;an-chang, who as king in Peking had hoped to become
+emperor. With his strong army this prince, Ch'eng Tsu, marched south and
+captured Nanking, where the palaces were burnt down. There was a great
+massacre of supporters of the young emperor, and the victor made himself
+emperor (better known under his reign name, Yung-lo). As he had
+established himself in Peking, he transferred the capital to Peking,
+where it remained throughout the Ming epoch. Nanking became a sort of
+subsidiary capital.</p>
+
+<p>This transfer of the capital to the north, as the result of the victory
+of the military party and Buddhists allied to them, produced a new
+element of instability: the north was of military importance, but the
+Yangtze region remained the economic centre of the country. The
+interests of the gentry of the Yangtze region were injured by the
+transfer. The first Ming emperor had taken care to make his court
+resemble the court of the Mongol rulers, but on the whole had exercised
+relative economy. Yung-lo (1403-1424), however, lived in the actual
+palaces of the Mongol rulers, and all the luxury of the Mongol epoch was
+revived. This made the reign of Yung-lo the most magnificent period of
+the Ming epoch, but beneath the surface decay had begun. Typical of the
+unmitigated absolutism which developed now, was the word of one of the
+emperor's political and military advisors, significantly a Buddhist
+<!-- Page 258 --><span class='pagenum'><a name="Page_258" id="Page_258">[Pg 258]</a></span>monk: "I know the way of heaven. Why discuss the hearts of the people?"</p>
+
+
+<p class="sect">9 <i>Navy. Southward expansion</i></p>
+
+<p>After the collapse of Mongol rule in Indo-China, partly through the
+simple withdrawal of the Mongols, and partly through attacks from
+various Chinese generals, there were independence movements in
+south-west China and Indo-China. In 1393 wars broke out in Annam.
+Yung-lo considered that the time had come to annex these regions to
+China and so to open a new field for Chinese trade, which was suffering
+continual disturbance from the Japanese. He sent armies to Y&uuml;nnan and
+Indo-China; at the same time he had a fleet built by one of his eunuchs,
+Cheng Ho. The fleet was successfully protected from attack by the
+Japanese. Cheng Ho, who had promoted the plan and also carried it out,
+began in 1405 his famous mission to Indo-China, which had been envisaged
+as giving at least moral support to the land operations, but was also
+intended to renew trade connections with Indo-China, where they had been
+interrupted by the collapse of Mongol rule. Cheng Ho sailed past
+Indo-China and ultimately reached the coast of Arabia. His account of
+his voyage is an important source of information about conditions in
+southern Asia early in the fifteenth century. Cheng Ho and his fleet
+made some further cruises, but they were discontinued. There may have
+been several reasons. (1) As state enterprises, the expeditions were
+very costly. Foreign goods could be obtained more cheaply and with less
+trouble if foreign merchants came themselves to China or Chinese
+merchants travelled at their own risk. (2) The moral success of the
+naval enterprises was assured. China was recognized as a power
+throughout southern Asia, and Annam had been reconquered. (3) After the
+collapse of the Mongol emperor Timur, who died in 1406, there no longer
+existed any great power in Central Asia, so that trade missions from the
+kingdom of the Shahruk in North Persia were able to make their way to
+China, including the famous mission of 1409-1411. (4) Finally, the fleet
+would have had to be permanently guarded against the Japanese, as it had
+been stationed not in South China but in the Yangtze region. As early as
+1411 the canals had been repaired, and from 1415 onward all the traffic
+of the country went by the canals, so evading the Japanese peril. This
+ended the short chapter of Chinese naval history.</p>
+
+<p>These travels of Cheng Ho seem to have had one more cultural result: a
+large number of fairy-tales from the Middle East were brought to China,
+or at all events reached China at that time. The<!-- Page 259 --><span class='pagenum'><a name="Page_259" id="Page_259">[Pg 259]</a></span> Chinese, being a
+realistically-minded people, have produced few fairy-tales of their own.
+The bulk of their finest fairy-tales were brought by Buddhist monks, in
+the course of the first millennium <span class="smcap">A.D.</span>, from India by way of
+Central Asia. The Buddhists made use of them to render their sermons
+more interesting and impressive. As time went on, these stories spread
+all over China, modified in harmony with the spirit of the people and
+adapted to the Chinese environment. Only the fables failed to strike
+root in China: the matter-of-fact Chinese was not interested in animals
+that talked and behaved to each other like human beings. In addition,
+however, to these early fairy-tales, there was another group of stories
+that did not spread throughout China, but were found only in the
+south-eastern coastal provinces. These came from the Middle East,
+especially from Persia. The fairy-tales of Indian origin spread not only
+to Central Asia but at the same time to Persia, where they found a very
+congenial soil. The Persians made radical changes in the stories and
+gave them the form in which they came to Europe by various
+routes&mdash;through North Africa to Spain and France; through
+Constantinople, Venice, or Genoa to France; through Russian Turkestan to
+Russia, Finland, and Sweden; through Turkey and the Balkans to Hungary
+and Germany. Thus the stories found a European home. And this same
+Persian form was carried by sea in Cheng Ho's time to South China. Thus
+we have the strange experience of finding some of our own finest
+fairy-tales in almost the same form in South China.</p>
+
+
+<p class="sect">10 <i>Struggles between cliques</i></p>
+
+<p>Yung-lo's successor died early. Under the latter's son, the emperor
+Hs&uuml;an Tsung (1426-1435; reign name Hs&uuml;an-t&ecirc;), fixed numbers of
+candidates were assigned for the state examinations. It had been found
+that almost the whole of the gentry in the Yangtze region sat at the
+examinations; and that at these examinations their representatives made
+sure, through their mutual relations, that only their members should
+pass, so that the candidates from the north were virtually excluded. The
+important military clique in the north protested against this, and a
+compromise was arrived at: at every examination one-third of the
+candidates must come from the north and two-thirds from the south. This
+system lasted for a long time, and led to many disputes.</p>
+
+<p>At his death Hs&uuml;an Tsung left the empire to his eight-year-old son Ying
+Tsung (1436-49 and 1459-64), who was entirely in the hands of the Yang
+clique, which was associated with his grandmother. Soon, however,
+another clique, led by the eunuch Wang<!-- Page 260 --><span class='pagenum'><a name="Page_260" id="Page_260">[Pg 260]</a></span> Chen, gained the upper hand at
+court. The Mongols were very active at this time, and made several raids
+on the province of Shansi; Wang Chen proposed a great campaign against
+them, and in this campaign he took with him the young emperor, who had
+reached his twenty-first birthday in 1449. The emperor had grown up in
+the palace and knew nothing of the world outside; he was therefore glad
+to go with Wang Chen; but that eunuch had also lived in the palace and
+also knew nothing of the world, and in particular of war. Consequently
+he failed in the organization of reinforcements for his army, some
+100,000 strong; after a few brief engagements the Oirat-Mongol prince
+Esen had the imperial army surrounded and the emperor a prisoner. The
+eunuch Wang Chen came to his end, and his clique, of course, no longer
+counted. The Mongols had no intention of killing the emperor; they
+proposed to hold him to ransom, at a high price. The various cliques at
+court cared little, however, about their ruler. After the fall of the
+Wang clique there were two others, of which one, that of General Y&uuml;,
+became particularly powerful, as he had been able to repel a Mongol
+attack on Peking. Y&uuml; proclaimed a new emperor&mdash;not the captive emperor's
+son, a baby, but his brother, who became the emperor Ching Tsung. The
+Yang clique insisted on the rights of the imperial baby. From all this
+the Mongols saw that the Chinese were not inclined to spend a lot of
+money on their imperial captive. Accordingly they made an enormous
+reduction in the ransom demanded, and more or less forced the Chinese to
+take back their former emperor. The Mongols hoped that this would at
+least produce political disturbances by which they might profit, once
+the old emperor was back in Peking. And this did soon happen. At first
+the ransomed emperor was pushed out of sight into a palace, and Ching
+Tsung continued to reign. But in 1456 Ching Tsung fell ill, and a
+successor to him had to be chosen. The Y&uuml; clique wanted to have the son
+of Ching Tsung; the Yang clique wanted the son of the deposed emperor
+Ying Tsung. No agreement was reached, so that in the end a third clique,
+led by the soldier Shih Heng, who had helped to defend Peking against
+the Mongols, found its opportunity, and by a <i>coup d' &eacute;tat</i> reinstated
+the deposed emperor Ying Tsung.</p>
+
+<p>This was not done out of love for the emperor, but because Shih Heng
+hoped that under the rule of the completely incompetent Ying Tsung he
+could best carry out a plan of his own, to set up his own dynasty. It is
+not so easy, however, to carry a conspiracy to success when there are
+several rival parties, each of which is ready to betray any of the
+others. Shih Heng's plan became known before long, and he himself was
+beheaded (1460).<!-- Page 261 --><span class='pagenum'><a name="Page_261" id="Page_261">[Pg 261]</a></span></p>
+
+<p>The next forty years were filled with struggles between cliques, which
+steadily grew in ferocity, particularly since a special office, a sort
+of secret police headquarters, was set up in the palace, with functions
+which it extended beyond the palace, with the result that many people
+were arrested and disappeared. This office was set up by the eunuchs and
+the clique at their back, and was the first dictatorial organ created in
+the course of a development towards despotism that made steady progress
+in these years.</p>
+
+<p>In 1505 Wu Tsung came to the throne, an inexperienced youth of fifteen
+who was entirely controlled by the eunuchs who had brought him up. The
+leader of the eunuchs was Liu Chin, who had the support of a group of
+people of the gentry and the middle class. Liu Chin succeeded within a
+year in getting rid of the eunuchs at court who belonged to other
+cliques and were working against him. After that he proceeded to
+establish his power. He secured in entirely official form the emperor's
+permission for him to issue all commands himself; the emperor devoted
+himself only to his pleasures, and care was taken that they should keep
+him sufficiently occupied to have no chance to notice what was going on
+in the country. The first important decree issued by Liu Chin resulted
+in the removal from office or the punishment or murder of over three
+hundred prominent persons, the leaders of the cliques opposed to him. He
+filled their posts with his own supporters, until all the higher posts
+in every department were in the hands of members of his group. He
+collected large sums of money which he quite openly extracted from the
+provinces as a special tax for his own benefit. When later his house was
+searched there were found 240,000 bars and 57,800 pieces of gold (a bar
+was equivalent of ten pieces), 791,800 ounces and 5,000,000 bars of
+silver (a bar was five ounces), three bushels of precious stones, two
+gold cuirasses, 3,000 gold rings, and much else&mdash;of a total value
+exceeding the annual budget of the state! The treasure was to have been
+used to finance a revolt planned by Liu Chin and his supporters.</p>
+
+<p>Among the people whom Liu Chin had punished were several members of the
+former clique of the Yang, and also the philosopher Wang Yang-ming, who
+later became so famous, a member of the Wang family which was allied to
+the Yang. In 1510 the Yang won over one of the eunuchs in the palace and
+so became acquainted with Liu Chin's plans. When a revolt broke out in
+western China, this eunuch (whose political allegiance was, of course,
+unknown to Liu Chin) secured appointment as army commander. With the
+army intended for the crushing of the revolt, Liu Chin's palace was
+attacked when he was asleep, and he and all his supporters were
+arrested. Thus the other group came into power in the palace, <!-- Page 262 --><span class='pagenum'><a name="Page_262" id="Page_262">[Pg 262]</a></span>including
+the philosopher Wang Yang-ming (1473-1529). Liu Chin's rule had done
+great harm to the country, as enormous taxation had been expended for
+the private benefit of his clique. On top of this had been the young
+emperor's extravagance: his latest pleasures had been the building of
+palaces and the carrying out of military games; he constantly assumed
+new military titles and was burning to go to war.</p>
+
+
+<p class="sect">11 <i>Risings</i></p>
+
+<p>The emperor might have had a good opportunity for fighting, for his
+misrule had resulted in a great popular rising which began in the west,
+in Szechwan, and then spread to the east. As always, the rising was
+joined by some ruined scholars, and the movement, which had at first
+been directed against the gentry as such, was turned into a movement
+against the government of the moment. No longer were all the wealthy and
+all officials murdered, but only those who did not join the movement. In
+1512 the rebels were finally overcome, not so much by any military
+capacity of the government armies as through the loss of the rebels'
+fleet of boats in a typhoon.</p>
+
+<p>In 1517 a new favourite of the emperor's induced him to make a great
+tour in the north, to which the favourite belonged. The tour and the
+hunting greatly pleased the emperor, so that he continued his
+journeying. This was the year in which the Portuguese Fern&atilde;o Pires de
+Andrade landed in Canton&mdash;the first modern European to enter China.</p>
+
+<p>In 1518 Wang Yang-ming, the philosopher general, crushed a rising in
+Kiangsi. The rising had been the outcome of years of unrest, which had
+had two causes: native risings of the sort we described above, and loss
+for the gentry due to the transfer of the capital. The province of
+Kiangsi was a part of the Yangtze region, and the great landowners there
+had lived on the profit from their supplies to Nanking. When the capital
+was moved to Peking, their takings fell. They placed themselves under a
+prince who lived in Nanking. This prince regarded Wang Yang-ming's move
+into Kiangsi as a threat to him, and so rose openly against the
+government and supported the Kiangsi gentry. Wang Yang-ming defeated
+him, and so came into the highest favour with the incompetent emperor.
+When peace had been restored in Nanking, the emperor dressed himself up
+as an army commander, marched south, and made a triumphal entry into
+Nanking.</p>
+
+<p>One other aspect of Wang Yang-ming's expeditions has not yet been
+studied: he crushed also the so-called salt-merchant rebels in the
+southernmost part of Kiangsi and adjoining Kwangtung. These
+<!-- Page 263 --><span class='pagenum'><a name="Page_263" id="Page_263">[Pg 263]</a></span>merchants-turned-rebels had dominated a small area, off and on since
+the eleventh century. At this moment, they seem to have had connections
+with the rich inland merchants of Hsin-an and perhaps also with
+foreigners. Information is still too scanty to give more details, but a
+local movement as persistent as this one deserves attention.</p>
+
+<p>Wang Yang-ming became acquainted as early as 1519 with the first
+European rifles, imported by the Portuguese who had landed in 1517. (The
+Chinese then called them Fu-lang-chi, meaning Franks. Wang was the first
+Chinese who spoke of the "Franks".) The Chinese had already had mortars
+which hurled stones, as early as the second century <span class="smcap">A.D.</span> In the
+seventh or eighth century their mortars had sent stones of a couple of
+hundredweights some four hundred yards. There is mention in the eleventh
+century of cannon which apparently shot with a charge of a sort of
+gunpowder. The Mongols were already using true cannon in their sieges.
+In 1519, the first Portuguese were presented to the Chinese emperor in
+Nanking, where they were entertained for about a year in a hostel, a
+certain Lin Hs&uuml;n learned about their rifles and copied them for Wang
+Yang-ming. In general, however, the Chinese had no respect for the
+Europeans, whom they described as "bandits" who had expelled the lawful
+king of Malacca and had now come to China as its representatives. Later
+they were regarded as a sort of Japanese, because they, too, practised
+piracy.</p>
+
+
+<p class="sect">12 <i>Machiavellism</i></p>
+
+<p>All main schools of Chinese philosophy were still based on Confucius.
+Wang Yang-ming's philosophy also followed Confucius, but he liberated
+himself from the Neo-Confucian tendency as represented by Chu Hsi, which
+started in the Sung epoch and continued to rule in China in his time and
+after him; he introduced into Confucian philosophy the conception of
+"intuition". He regarded intuition as the decisive philosophic
+experience; only through intuition could man come to true knowledge.
+This idea shows an element of meditative Buddhism along lines which the
+philosopher Lu Hsiang-shan (1139-1192) had first developed, while
+classical Neo-Confucianism was more an integration of monastic Buddhism
+into Confucianism. Lu had felt himself close to Wang An-shih
+(1021-1086), and this whole school, representing the small gentry of the
+Yangtze area, was called the Southern or the Lin-ch'uan school,
+Lin-ch'uan in Kiangsi being Wang An-shih's home. During the Mongol
+period, a Taoist group, the <i>Cheng-i-chiao</i> (Correct Unity Sect) had
+developed in Lin-ch'uan <!-- Page 264 --><span class='pagenum'><a name="Page_264" id="Page_264">[Pg 264]</a></span>and had accepted some of the Lin-ch'uan
+school's ideas. Originally, this group was a continuation of Chang
+Ling's church <ins class="corr" title="may be Taoism">Taosim</ins>. Through the <i>Cheng-i</i> adherents, the Southern
+school had gained political influence on the despotic Mongol rulers. The
+despotic Yung-lo emperor had favoured the monk Tao-yen (<i>c</i>. 1338-1418)
+who had also Taoist training and proposed a philosophy which also
+stressed intuition. He was, incidentally, in charge of the compilation
+of the largest encyclopaedia ever written, the <i>Yung-lo ta-tien</i>,
+commissioned by the Yung-lo emperor.</p>
+
+<p>Wang Yang-ming followed the Lin-ch'uan tradition. The introduction of
+the conception of intuition, a highly subjective conception, into the
+system of a practical state philosophy like Confucianism could not but
+lead in the practice of the statesman to machiavellism. The statesman
+who followed the teaching of Wang Yang-ming had the opportunity of
+justifying whatever he did by his intuition.</p>
+
+<p>Wang Yang-ming failed to gain acceptance for his philosophy. His
+disciples also failed to establish his doctrine in China, because it
+served the interests of an individual despot against those of the gentry
+as a class, and the middle class, which might have formed a
+counterweight against them, was not yet politically ripe for the seizure
+of the opportunity here offered to it. In Japan, however, Wang's
+doctrine gained many followers, because it admirably served the
+dictatorial state system which had developed in that country.
+Incidentally, Chiang Kai-shek in those years in which he showed Fascist
+tendencies, also got interested in Wang Yang-ming.</p>
+
+
+<p class="sect">13 <i>Foreign relations in the sixteenth century</i></p>
+
+<p>The feeble emperor Wu Tsung died in 1521, after an ineffective reign,
+without leaving an heir. The clique then in power at court looked among
+the possible pretenders for the one who seemed least likely to do
+anything, and their choice fell on the fifteen-year-old Shih Tsung, who
+was made emperor. The forty-five years of his reign were filled in home
+affairs with intrigues between the cliques at court, with growing
+distress in the country, and with revolts on a larger and larger scale.
+Abroad there were wars with Annam, increasing raids by the Japanese,
+and, above all, long-continued fighting against the famous Mongol ruler
+Yen-ta, from 1549 onward. At one time Yen-ta reached Peking and laid
+siege to it. The emperor, who had no knowledge of affairs, and to whom
+Yen-ta had been represented as a petty bandit, was utterly dismayed and
+ready to do whatever Yen-ta asked; in the end he was dissuaded from
+this, and an agreement was arrived at with Yen-ta for state-controlled
+markets to be set up along the frontier, where the<!-- Page 265 --><span class='pagenum'><a name="Page_265" id="Page_265">[Pg 265]</a></span> Mongols could
+dispose of their goods against Chinese goods on very favourable terms.
+After further difficulties lasting many years, a compromise was arrived
+at: the Mongols were earning good profits from the markets, and in 1571
+Yen-ta accepted a Chinese title. On the Chinese side, this Mongol trade,
+which continued in rather different form in the Manchu epoch, led to the
+formation of a local merchant class in the frontier province of Shansi,
+with great experience in credit business; later the first Chinese
+bankers came almost entirely from this quarter.</p>
+
+<p>After a brief interregnum there came once more to the throne a
+ten-year-old boy, the emperor Shen Tsung (reign name Wan-li; 1573-1619).
+He, too, was entirely under the influence of various cliques, at first
+that of his tutor, the scholar Chang Ch&uuml;-chan. About the time of the
+death, in 1582, of Yen-ta we hear for the first time of a new people. In
+1581 there had been unrest in southern Manchuria. The Mongolian tribal
+federation of the T&uuml;met attacked China, and there resulted collisions
+not only with the Chinese but between the different tribes living there.
+In southern and central Manchuria were remnants of the Tungus Juch&ecirc;n.
+The Mongols had subjugated the Juch&ecirc;n, but the latter had virtually
+become independent after the collapse of Mongol rule over China. They
+had formed several tribal alliances, but in 1581-83 these fought each
+other, so that one of the alliances to all intents was destroyed. The
+Chinese intervened as mediators in these struggles, and drew a
+demarcation line between the territories of the various Tungus tribes.
+All this is only worth mention because it was from these tribes that
+there developed the tribal league of the Manchus, who were then to rule
+China for some three hundred years.</p>
+
+<p>In 1592 the Japanese invaded Korea. This was their first real effort to
+set foot on the continent, a purely imperialistic move. Korea, as a
+Chinese vassal, appealed for Chinese aid. At first the Chinese army had
+no success, but in 1598 the Japanese were forced to abandon Korea. They
+revenged themselves by intensifying their raids on the coast of central
+China; they often massacred whole towns, and burned down the looted
+houses. The fighting in Korea had its influence on the Tungus tribes: as
+they were not directly involved, it contributed to their further
+strengthening.</p>
+
+<p>The East India Company was founded in 1600. At this time, while the
+English were trying to establish themselves in India, the Chinese tried
+to gain increased influence in the south by wars in Annam, Burma, and
+Thailand (1594-1604). These wars were for China colonial wars, similar
+to the colonial fighting by the British in India. But there began to be
+defined already at that time in the south of Asia the outlines of the
+states as they exist at the present time.<!-- Page 266 --><span class='pagenum'><a name="Page_266" id="Page_266">[Pg 266]</a></span></p>
+
+<p>In 1601 the first European, the Jesuit Matteo Ricci, succeeded in
+gaining access to the Chinese court, through the agency of a eunuch. He
+made some presents, and the Chinese regarded his visit as a mission from
+Europe bringing tribute. Ricci was therefore permitted to remain in
+Peking. He was an astronomer and was able to demonstrate to his Chinese
+colleagues the latest achievements of European astronomy. In 1613, after
+Ricci's death, the Jesuits and some Chinese whom they had converted were
+commissioned to reform the Chinese calendar. In the time of the Mongols,
+Arabs had been at work in Peking as astronomers, and their influence had
+continued under the Ming until the Europeans came. By his astronomical
+labours Ricci won a place of honour in Chinese literature; he is the
+European most often mentioned.</p>
+
+<p>The missionary work was less effective. The missionaries penetrated by
+the old trade routes from Canton and Macao into the province of Kiangsi
+and then into Nanking. Kiangsi and Nanking were their chief centres.
+They soon realized that missionary activity that began in the lower
+strata would have no success; it was necessary to work from above,
+beginning with the emperor, and then, they hoped, the whole country
+could be converted to Christianity. When later the emperors of the Ming
+dynasty were expelled and fugitives in South China, one of the
+pretenders to the throne was actually converted&mdash;but it was politically
+too late. The missionaries had, moreover, mistaken ideas as to the
+nature of Chinese religion; we know today that a universal adoption of
+Christianity in China would have been impossible even if an emperor had
+personally adopted that foreign faith: there were emperors who had been
+interested in Buddhism or in Taoism, but that had been their private
+affair and had never prevented them, as heads of the state, from
+promoting the religious system which politically was the most
+expedient&mdash;that is to say, usually Confucianism. What we have said here
+in regard to the Christian mission at the Ming court is applicable also
+to the missionaries at the court of the first Manchu emperors, in the
+seventeenth century. Early in the eighteenth century missionary activity
+was prohibited&mdash;not for religious but for political reasons, and only
+under the pressure of the Capitulations in the nineteenth century were
+the missionaries enabled to resume their labours.</p>
+
+
+<p class="sect">14 <i>External and internal perils</i></p>
+
+<p>Towards the end of the reign of Wan-li, about 1620, the danger that
+threatened the empire became more and more evident. The Manchus
+complained, no doubt with justice, of excesses on the <!-- Page 267 --><span class='pagenum'><a name="Page_267" id="Page_267">[Pg 267]</a></span>part of Chinese
+officials; the friction constantly increased, and the Manchus began to
+attack the Chinese cities in Manchuria. In 1616, after his first
+considerable successes, their leader Nurhachu assumed the imperial
+title; the name of the dynasty was Tai Ch'ing (interpreted as "The great
+clarity", but probably a transliteration of a Manchurian word meaning
+"hero"). In 1618, the year in which the Thirty Years War started in
+Europe, the Manchus conquered the greater part of Manchuria, and in 1621
+their capital was Liaoyang, then the largest town in Manchuria.</p>
+
+<p>But the Manchu menace was far from being the only one. On the south-east
+coast a pirate made himself independent; later, with his family, he
+dominated Formosa and fought many battles with the Europeans there
+(European sources call him Coxinga). In western China there came a great
+popular rising, in which some of the natives joined, and which spread
+through a large part of the southern provinces. This rising was
+particularly sanguinary, and when it was ultimately crushed by the
+Manchus the province of Szechwan, formerly so populous, was almost
+depopulated, so that it had later to be resettled. And in the province
+of Shantung in the east there came another great rising, also very
+sanguinary, that of the secret society of the "White Lotus". We have
+already pointed out that these risings of secret societies were always a
+sign of intolerable conditions among the peasantry. This was now the
+case once more. All the elements of danger which we mentioned at the
+outset of this chapter began during this period, between 1610 and 1640,
+to develop to the full.</p>
+
+<p>Then there were the conditions in the capital itself. The struggles
+between cliques came to a climax. On the death of Shen Tsung (or Wan-li;
+1573-1619), he was succeeded by his son, who died scarcely a month
+later, and then by his sixteen-year-old grandson. The grandson had been
+from his earliest youth under the influence of a eunuch, Wei
+Chung-hsien, who had castrated himself. With the emperor's wet-nurse and
+other people, mostly of the middle class, this man formed a powerful
+group. The moment the new emperor ascended the throne, Wei was
+all-powerful. He began by murdering every eunuch who did not belong to
+his clique, and then murdered the rest of his opponents. Meanwhile the
+gentry had concluded among themselves a defensive alliance that was a
+sort of party; this party was called the Tung-lin Academy. It was
+confined to literati among the gentry, and included in particular the
+literati who had failed to make their way at court, and who lived on
+their estates in Central China and were trying to gain power themselves.
+This group was opposed to Wei Chung-hsien, who ruthlessly had every
+discoverable member murdered. The remainder went into <!-- Page 268 --><span class='pagenum'><a name="Page_268" id="Page_268">[Pg 268]</a></span>hiding and
+organized themselves secretly under another name. As the new emperor had
+no son, the attempt was made to foist a son upon him; at his death in
+1627, eight women of the harem were suddenly found to be pregnant! He
+was succeeded by his brother, who was one of the opponents of Wei
+Chung-hsien and, with the aid of the opposing clique, was able to bring
+him to his end. The new emperor tried to restore order at court and in
+the capital by means of political and economic decrees, but in spite of
+his good intentions and his unquestionable capacity he was unable to
+cope with the universal confusion. There was insurrection in every part
+of the country. The gentry, organized in their "Academies", and secretly
+at work in the provinces, no longer supported the government; the
+central power no longer had adequate revenues, so that it was unable to
+pay the armies that should have marched against all the rebels and also
+against external enemies. It was clear that the dynasty was approaching
+its end, and the only uncertainty was as to its successor. The various
+insurgents negotiated or fought with each other; generals loyal to the
+government won occasional successes against the rebels; other generals
+went over to the rebels or to the Manchus. The two most successful
+leaders of bands were Li Tz&#365;-ch'eng and Chang Hsien-chung. Li came from
+the province of Shensi; he had come to the fore during a disastrous
+famine in his country. The years around 1640 brought several widespread
+droughts in North China, a natural phenomenon that was repeated in the
+nineteenth century, when unrest again ensued. Chang Hsien-chung returned
+for a time to the support of the government, but later established
+himself in western China. It was typical, however, of all these
+insurgents that none of them had any great objective in view. They
+wanted to get enough to eat for themselves and their followers; they
+wanted to enrich themselves by conquest; but they were incapable of
+building up an ordered and new administration. Li ultimately made
+himself "king" in the province of Shensi and called his dynasty "Shun",
+but this made no difference: there was no distribution of land among the
+peasants serving in Li's army; no plan was set into operation for the
+collection of taxes; not one of the pressing problems was faced.</p>
+
+<p>Meanwhile the Manchus were gaining support. Almost all the Mongol
+princes voluntarily joined them and took part in the raids into North
+China. In 1637 the united Manchus and Mongols conquered Korea. Their
+power steadily grew. What the insurgents in China failed to achieve, the
+Manchus achieved with the aid of their Chinese advisers: they created a
+new military organization, the "Banner Organization". The men fit for
+service were distributed among eight "banners", and these banners became
+the basis of the<!-- Page 269 --><span class='pagenum'><a name="Page_269" id="Page_269">[Pg 269]</a></span> Manchu state administration. By this device the
+Manchus emerged from the stage of tribal union, just as before them
+Turks and other northern peoples had several times abandoned the
+traditional authority of a hierarchy of tribal leaders, a system of
+ruling families, in favour of the authority, based on efficiency, of
+military leaders. At the same time the Manchus set up a central
+government with special ministries on the Chinese model. In 1638 the
+Manchus appeared before Peking, but they retired once more. Manchu
+armies even reached the province of Shantung. They were hampered by the
+death at the critical moment of the Manchu ruler Abahai (1626-1643). His
+son Fu Lin was not entirely normal and was barely six years old; there
+was a regency of princes, the most prominent among them being Prince
+Dorgon.</p>
+
+<p>Meanwhile Li Tz&#365;-ch'&ecirc;ng broke through to Peking. The city had a strong
+garrison, but owing to the disorganization of the government the
+different commanders were working against each other; and the soldiers
+had no fighting spirit because they had had no pay for a long time. Thus
+the city fell, on April 24th, 1644, and the last Ming emperor killed
+himself. A prince was proclaimed emperor; he fled through western and
+southern China, continually trying to make a stand, but it was too late;
+without the support of the gentry he had no resource, and ultimately, in
+1659, he was compelled to flee into Burma.</p>
+
+<p>Thus Li Tz&#365;-ch'&ecirc;ng was now emperor. It should have been his task rapidly
+to build up a government, and to take up arms against the other rebels
+and against the Manchus. Instead of this he behaved in such a way that
+he was unable to gain any support from the existing officials in the
+capital; and as there was no one among his former supporters who had any
+positive, constructive ideas, just nothing was done.</p>
+
+<p>This, however, improved the chances of all the other aspirants to the
+imperial throne. The first to realize this clearly, and also to possess
+enough political sagacity to avoid alienating the gentry, was General Wu
+San-kui, who was commanding on the Manchu front. He saw that in the
+existing conditions in the capital he could easily secure the imperial
+throne for himself if only he had enough soldiers. Accordingly he
+negotiated with the Manchu Prince Dorgon, formed an alliance with the
+Manchus, and with them entered Peking on June 6th, 1644. Li Tz&#365;-ch'&ecirc;ng
+quickly looted the city, burned down whatever he could, and fled into
+the west, continually pursued by Wu San-kui. In the end he was abandoned
+by all his supporters and killed by peasants. The Manchus, however, had
+no intention of leaving Wu San-kui in power: they established themselves
+in Peking, and Wu became their general.<!-- Page 270 --><span class='pagenum'><a name="Page_270" id="Page_270">[Pg 270]</a></span></p>
+
+
+
+<h3>(C) The Manchu Dynasty (1644-1911)</h3>
+
+
+<p class="sect">1 <i>Installation of Manchus</i></p>
+
+<p>The Manchus had gained the mastery over China owing rather to China's
+internal situation than to their military superiority. How was it that
+the dynasty could endure for so long, although the Manchus were not
+numerous, although the first Manchu ruler (Fu Lin, known under the rule
+name Shun-chih; 1644-1662) was a psychopathic youth, although there were
+princes of the Ming dynasty ruling in South China, and although there
+were strong groups of rebels all over the country? The Manchus were
+aliens; at that time the national feeling of the Chinese had already
+been awakened; aliens were despised. In addition to this, the Manchus
+demanded that as a sign of their subjection the Chinese should wear
+pigtails and assume Manchurian clothing (law of 1645). Such laws could
+not but offend national pride. Moreover, marriages between Manchus and
+Chinese were prohibited, and a dual government was set up, with Manchus
+always alongside Chinese in every office, the Manchus being of course in
+the superior position. The Manchu soldiers were distributed in military
+garrisons among the great cities, and were paid state pensions, which
+had to be provided by taxation. They were the master race, and had no
+need to work. Manchus did not have to attend the difficult state
+examinations which the Chinese had to pass in order to gain an
+appointment. How was it that in spite of all this the Manchus were able
+to establish themselves?</p>
+
+<p>The conquering Manchu generals first went south from eastern China, and
+in 1645 captured Nanking, where a Ming prince had ruled. The region
+round Nanking was the economic centre of China. Soon the Manchus were in
+the adjoining southern provinces, and thus they conquered the whole of
+the territory of the landowning gentry, who after the events of the
+beginning of the seventeenth century had no longer trusted the Ming
+rulers. The Ming prince in Nanking was just as incapable, and surrounded
+by just as evil a clique, as the Ming emperors of the past. The gentry
+were not inclined to defend him. A considerable section of the gentry
+were reduced to utter despair; they had no desire to support the Ming
+any longer; in their own interest they could not support the rebel
+leaders; and they regarded the Manchus as just a particular sort of
+"rebels". Interpreting the refusal of some Sung ministers to serve the
+foreign Mongols as an act of loyalty, it was now regarded as shameful to
+desert a dynasty when it came to an end and to serve the new ruler, even
+if the new r&eacute;gime promised to <!-- Page 271 --><span class='pagenum'><a name="Page_271" id="Page_271">[Pg 271]</a></span>be better. Many thousands of officials,
+scholars, and great landowners committed suicide. Many books, often
+really moving and tragic, are filled with the story of their lives. Some
+of them tried to form insurgent bands with their peasants and went into
+the mountains, but they were unable to maintain themselves there. The
+great bulk of the &eacute;lite soon brought themselves to collaborate with the
+conquerors when they were offered tolerable conditions. In the end the
+Manchus did not interfere in the ownership of land in central China.</p>
+
+<p>At the time when in Europe Louis XIV was reigning, the Thirty Years War
+was coming to an end, and Cromwell was carrying out his reforms in
+England, the Manchus conquered the whole of China. Chang Hsien-chung and
+Li Tz&#365;-ch'&ecirc;ng were the first to fall; the pirate Coxinga lasted a little
+longer and was even able to plunder Nanking in 1659, but in 1661 he had
+to retire to Formosa. Wu San-kui, who meanwhile had conquered western
+China, saw that the situation was becoming difficult for him. His task
+was to drive out the last Ming pretenders for the Manchus. As he had
+already been opposed to the Ming in 1644, and as the Ming no longer had
+any following among the gentry, he could not suddenly work with them
+against the Manchus. He therefore handed over to the Manchus the last
+Ming prince, whom the Burmese had delivered up to him in 1661. Wu
+San-kui's only possible allies against the Manchus were the gentry. But
+in the west, where he was in power, the gentry counted for nothing; they
+had in any case been weaker in the west, and they had been decimated by
+the insurrection of Chang Hsien-chung. Thus Wu San-kui was compelled to
+try to push eastwards, in order to unite with the gentry of the Yangtze
+region against the Manchus. The Manchus guessed Wu San-kui's plan, and
+in 1673, after every effort at accommodation had failed, open war came.
+Wu San-kui made himself emperor, and the Manchus marched against him.
+Meanwhile, the Chinese gentry of the Yangtze region had come to terms
+with the Manchus, and they gave Wu San-kui no help. He vegetated in the
+south-west, a region too poor to maintain an army that could conquer all
+China, and too small to enable him to last indefinitely as an
+independent power. He was able to hold his own until his death,
+although, with the loss of the support of the gentry, he had had no
+prospect of final success. Not until 1681 was his successor, his
+grandson Wu Shih-fan, defeated. The end of the rule of Wu San-kui and
+his successor marked the end of the national governments of China; the
+whole country was now under alien domination, for the simple reason that
+all the opponents of the Manchus had failed. Only the Manchus were
+accredited with the ability to <!-- Page 272 --><span class='pagenum'><a name="Page_272" id="Page_272">[Pg 272]</a></span>bring order out of the universal
+confusion, so that there was clearly no alternative but to put up with
+the many insults and humiliations they inflicted&mdash;with the result that
+the national feeling that had just been aroused died away, except where
+it was kept alive in a few secret societies. There will be more to say
+about this, once the works which were suppressed by the Manchus are
+published.</p>
+
+<p>In the first phase of the Manchu conquest the gentry had refused to
+support either the Ming princes or Wu San-kui, or any of the rebels, or
+the Manchus themselves. A second phase began about twenty years after
+the capture of Peking, when the Manchus won over the gentry by desisting
+from any interference with the ownership of land, and by the use of
+Manchu troops to clear away the "rebels" who were hostile to the gentry.
+A reputable government was then set up in Peking, free from eunuchs and
+from all the old cliques; in their place the government looked for
+Chinese scholars for its administrative posts. Literati and scholars
+streamed into Peking, especially members of the "Academies" that still
+existed in secret, men who had been the chief sufferers from the
+conditions at the end of the Ming epoch. The young emperor Sheng Tsu
+(1663-1722; K'ang-hsi is the name by which his rule was known, not his
+name) was keenly interested in Chinese culture and gave privileged
+treatment to the scholars of the gentry who came forward. A rapid
+recovery quite clearly took place. The disturbances of the years that
+had passed had got rid of the worst enemies of the people, the
+formidable rival cliques and the individuals lusting for power; the
+gentry had become more cautious in their behaviour to the peasants; and
+bribery had been largely stamped out. Finally, the empire had been
+greatly expanded. All these things helped to stabilize the regime of the
+Manchus.</p>
+
+
+<p class="sect">2 <i>Decline in the eighteenth century</i></p>
+
+<p>The improvement continued until the middle of the eighteenth century.
+About the time of the French Revolution there began a continuous
+decline, slow at first and then gathering speed. The European works on
+China offer various reasons for this: the many foreign wars (to which we
+shall refer later) of the emperor, known by the name of his ruling
+period, Ch'ien-lung, his craze for building, and the irruption of the
+Europeans into Chinese trade. In the eighteenth century the court
+surrounded itself with great splendour, and countless palaces and other
+luxurious buildings were erected, but it must be borne in mind that so
+great an empire as the China of that day possessed very considerable
+financial strength, and could support this luxury. The wars were
+certainly not inexpensive,<!-- Page 273 --><span class='pagenum'><a name="Page_273" id="Page_273">[Pg 273]</a></span> as they took place along the Russian
+frontier and entailed expenditure on the transport of reinforcements and
+supplies; the wars against Turkestan and Tibet were carried on with
+relatively small forces. This expenditure should not have been beyond
+the resources of an ordered budget. Interestingly enough, the period
+between 1640 and 1840 belongs to those periods for which almost no
+significant work in the field of internal social and economic
+developments has been made; Western scholars have been too much
+interested in the impact of Western economy and culture or in the
+military events. Chinese scholars thus far have shown a prejudice
+against the Manchu dynasty and were mainly interested in the study of
+anti-Manchu movements and the downfall of the dynasty. On the other
+hand, the documentary material for this period is extremely extensive,
+and many years of work are necessary to reach any general conclusions
+even in one single field. The following remarks should, therefore, be
+taken as very tentative and preliminary, and they are, naturally,
+fragmentary.</p>
+
+<div class="center">
+<a name="image20" id="image20"></a>
+<img src="images/image20.png" width="603" height="558"
+alt="(Chart) POPULATION GROWTH OF CHINA"
+title="(Chart) POPULATION GROWTH OF CHINA" />
+<p class="caption">(Chart) POPULATION GROWTH OF CHINA</p>
+</div>
+
+<div class="center">
+<a name="image21" id="image21"></a>
+<img src="images/image21.jpg" width="464" height="604"
+alt="14 Aborigines of South China, of the &#39;Black Miao&#39; tribe, at a festival."
+title="14 Aborigines of South China, of the &#39;Black Miao&#39; tribe, at a festival." />
+<p class="caption">14 Aborigines of South China, of the &#39;Black Miao&#39; tribe,
+at a festival. China-ink drawing of the eighteenth century.<br />
+
+<i>Collection of the Museum f&uuml;r V&ouml;lkerkunde, Berlin. No. ID 8756, 68.</i></p>
+</div>
+
+<div class="center">
+<a name="image22" id="image22"></a>
+<img src="images/image22.jpg" width="438" height="662"
+alt="15 Pavilion on the &#39;Coal Hill&#39; at Peking, in which the last Ming emperor committed suicide."
+title="15 Pavilion on the &#39;Coal Hill&#39; at Peking, in which the last Ming emperor committed suicide." />
+<p class="caption">15 Pavilion on the &#39;Coal Hill&#39; at Peking, in which the
+last Ming emperor committed suicide.<br />
+
+<i>Photo Eberhard.</i></p>
+</div>
+
+<p>The decline of the Manchu dynasty began at a time when the European
+trade was still insignificant, and not as late as after 1842, when China
+had had to submit to the foreign Capitulations. These cannot have been
+the true cause of the decline. Above all, the <!-- Page 274 --><span class='pagenum'><a name="Page_274" id="Page_274">[Pg 274]</a></span>decline was not so
+noticeable in the state of the Exchequer as in a general impoverishment
+of China. The number of really wealthy persons among the gentry
+diminished, but the middle class, that is to say the people who had
+education but little or no money and property, grew steadily in number.</p>
+
+<p>One of the deeper reasons for the decline of the Manchu dynasty seems to
+lie in the enormous increase in the population. Here are a few Chinese
+statistics:</p>
+
+<div class='center'>
+<table border="0" cellpadding="4" cellspacing="0" summary="Chinese population statistics">
+<tr><th align="center"><i>Year</i></th><th align="center" colspan="4"><i>Population</i></th></tr>
+<tr><td align='center'>1578 (before the Manchus)</td><td align="right"> 10,621,463</td><td> families or </td><td align="right">60,692,856 </td><td>individuals</td></tr>
+<tr><td align='center'>1662</td><td align="right">19,203,233 </td><td>families</td><td align="right">100,000,000 </td><td>individuals *</td></tr>
+<tr><td align='center'>1710</td><td align="right">23,311,236 </td><td>families</td><td align="right">116,000,000 </td><td>individuals *</td></tr>
+<tr><td align='center'>1729</td><td align="right">25,480,498 </td><td>families</td><td align="right">127,000,000 </td><td>individuals *</td></tr>
+<tr><td align='center'>1741</td><td align="right">143,411,559 </td><td></td><td></td><td>individuals</td></tr>
+<tr><td align='center'>1754</td><td align="right">184,504,493 </td><td></td><td></td><td>individuals</td></tr>
+<tr><td align='center'>1778</td><td align="right">242,965,618 </td><td></td><td></td><td>individuals</td></tr>
+<tr><td align='center'>1796</td><td align="right">275,662,414</td><td> </td><td></td><td>individuals</td></tr>
+<tr><td align='center'>1814</td><td align="right">374,601,132</td><td> </td><td></td><td>individuals</td></tr>
+<tr><td align='center'>1850</td><td align="right">414,493,899</td><td> </td><td></td><td>individuals</td></tr>
+<tr><td align='center'>(1953)</td><td></td><td> </td><td align="right">(601,938,035 </td><td>individuals)</td></tr>
+<tr><td align='center' colspan="5">* Approximately</td></tr>
+</table></div>
+
+<p>It may be objected that these figures are incorrect and exaggerated.
+Undoubtedly they contain errors. But the first figure (for 1578) of some
+sixty millions is in close agreement with all other figures of early
+times; the figure for 1850 seems high, but cannot be far wrong, for even
+after the great T'ai P'ing Rebellion of 1851, which, together with its
+after-effects, costs the lives of countless millions, all statisticians
+of today estimate the population of China at more than four hundred
+millions. If we enter these data together with the census of 1953 into a
+chart (see p. <a href="#Page_273">273</a>), a fairly smooth curve emerges; the special features
+are that already under the Ming the population was increasing and,
+secondly, that the high rate of increase in the population began with
+the long period of internal peace since about 1700. From that time
+onwards, all China's wars were fought at so great a distance from China
+proper that the population was not directly affected. Moreover, in the
+seventeenth and eighteenth centuries the Manchus saw to the maintenance
+of the river dykes, so that the worst inundations were prevented. Thus
+there were not so many of the floods which had often cost the lives of
+many million people in China; and there were no internal wars, with
+their heavy cost in lives.</p>
+
+<p>But while the population increased, the tillage failed to increase in
+the needed proportion. I have, unfortunately, no statistics for <!-- Page 275 --><span class='pagenum'><a name="Page_275" id="Page_275">[Pg 275]</a></span>all
+periods; but the general tendency is shown by the following table:</p>
+
+<div class="center">
+<table summary="Comparison of tillage per person for corresponding years.">
+<tr><td align="center"><i>Date</i></td><td align="center">    <i>Cultivated area</i></td><td align="center">  mou <i>per person</i></td></tr>
+<tr><td align="center"></td><td align="center">                    <i>in</i> mou</td><td align="center"></td></tr>
+
+<tr><td align="right">1578</td><td align="right">     701,397,600</td><td align="right">         11.6</td></tr>
+<tr><td align="right">1662</td><td align="right">     531,135,800</td><td align="right"></td></tr>
+<tr><td align="right">1719</td><td align="right">     663,113,200</td><td align="right"></td></tr>
+<tr><td align="right">1729</td><td align="right">     878,176,000</td><td align="right">          6.1</td></tr>
+<tr><td align="right">(1953)</td><td align="right">   (1,627,930,000)</td><td align="right">         (2.7)</td></tr>
+</table></div>
+
+<p>Six <i>mou</i> are about one acre. In 1578, there were 66 <i>mou</i> land per
+family of the total population. This was close to the figures regarded
+as ideal by Chinese early economists for the producing family (100
+<i>mou</i>) considering the fact that about 80 per cent of all families at
+that time were producers. By 1729 it was only 35 <i>mou</i> per family, i.e.
+the land had to produce almost twice as much as before. We have shown
+that the agricultural developments in the Ming time greatly increased
+the productivity of the land. This then, obviously resulted in an
+increase of population. But by the middle of the eighteenth century,
+assuming that production doubled since the sixteenth century, population
+pressure was again as heavy as it had been then. And after <i>c</i>. 1750,
+population pressure continued to build up to the present time.</p>
+
+<p>Internal colonization continued during the Manchu time; there was a
+continuous, but slow flow of people into Kwangsi, Kweichou, Y&uuml;nnan. In
+spite of laws which prohibited emigration, Chinese also moved into
+South-East Asia. Chinese settlement in Manchuria was allowed only in the
+last years of the Manchus. But such internal colonization or emigration
+could <ins class="corr" title="alleviate was probably meant">allevitate</ins> the pressure only in some areas, while it continued to
+build up in others.</p>
+
+<p>In Europe as well as in Japan, we find a strong population increase; in
+Europe at almost the same time as in China. But before population
+pressure became too serious in Europe or Japan, industry developed and
+absorbed the excess population. Thus, farms did not decrease too much in
+size. Too small farms are always and in many ways uneconomical. With the
+development of industries, the percentage of farm population decreased.
+In China, however, the farm population was still as high as 73.3 per
+cent of the total population in 1932 and the percentage rose to 81 per
+cent in 1950.</p>
+
+<p>From the middle of the seventeenth century on, commercial activities,
+especially along the coast, continued to increase and we <!-- Page 276 --><span class='pagenum'><a name="Page_276" id="Page_276">[Pg 276]</a></span>find gentry
+families who equip sons who were unwilling or not capable to study and
+to enter the ranks of the officials, but who were too unruly to sit in
+villages and collect the rent from the tenants of the family, with money
+to enter business. The newly settled areas of Kwangtung and Kwangsi were
+ideal places for them: here they could sell Chinese products to the
+native tribes or to the new settlers at high prices. Some of these men
+introduced new techniques from the old provinces of China into the
+"colonial" areas and set up dye factories, textile factories, etc., in
+the new towns of the south. But the greatest stimulus for these
+commercial activities was foreign, European trade. American silver which
+had flooded Europe in the sixteenth century, began to flow into China
+from the beginning of the seventeenth century on. The influx was stopped
+not until between 1661 and 1684 when the government again prohibited
+coastal shipping and removed coastal settlements into the interior in
+order to stop piracy along the coasts of Fukien and independence
+movements on Formosa. But even during these twenty-three years, the
+price of silver was so low that home production was given up because it
+did not pay off. In the eighteenth century, silver again continued to
+enter China, while silk and tea were exported. This demand led to a
+strong rise in the prices of silk and tea, and benefited the merchants.
+When, from the late eighteenth century on, opium began to be imported,
+the silver left China again. The merchants profited this time from the
+opium trade, but farmers had to suffer: the price of silver went up, and
+taxes had to be paid in silver, while farm products were sold for
+copper. By 1835, the ounce of silver had a value of 2,000 copper coins
+instead of one thousand before 1800. High gains in commerce prevented
+investment in industries, because they would give lower and later
+profits than commerce. From the nineteenth century on, more and more
+industrial goods were offered by importers which also prevented
+industrialization. Finally, the gentry basically remained
+anti-industrial and anti-business. They tried to operate necessary
+enterprises such as mining, melting, porcelain production as far as
+possible as government establishments; but as the operators were
+officials, they were not too business-minded and these enterprises did
+not develop well. The businessmen certainly had enough capital, but they
+invested it in land instead of investing it in industries which could at
+any moment be taken away by the government, controlled by the officials
+or forced to sell at set prices, and which were always subject to
+exploitation by dishonest officials. A businessman felt secure only when
+he had invested in land, when he had received an official title upon the
+payment of large sums of money, or when he succeeded to push at least
+one of his <!-- Page 277 --><span class='pagenum'><a name="Page_277" id="Page_277">[Pg 277]</a></span>sons into the government bureaucracy. No doubt, in spite of
+all this, Chinese business and industry kept on developing in the Manchu
+time, but they did not develop at such a speed as to transform the
+country from an agrarian into a modern industrial nation.</p>
+
+
+<p class="sect">3 <i>Expansion in Central Asia; the first State treaty</i></p>
+
+<p>The rise of the Manchu dynasty actually began under the K'ang-hsi rule
+(1663-1722). The emperor had three tasks. The first was the removal of
+the last supporters of the Ming dynasty and of the generals, such as Wu
+San-kui, who had tried to make themselves independent. This necessitated
+a long series of campaigns, most of them in the south-west or south of
+China; these scarcely affected the population of China proper. In 1683
+Formosa was occupied and the last of the insurgent army commanders was
+defeated. It was shown above that the situation of all these leaders
+became hopeless as soon as the Manchus had occupied the rich Yangtze
+region and the intelligentsia and the gentry of that region had gone
+over to them.</p>
+
+<p>A quite different type of insurgent commander was the Mongol prince
+Galdan. He, too, planned to make himself independent of Manchu
+overlordship. At first the Mongols had readily supported the Manchus,
+when the latter were making raids into China and there was plenty of
+booty. Now, however, the Manchus, under the influence of the Chinese
+gentry whom they brought, and could not but bring, to their court, were
+rapidly becoming Chinese in respect to culture. Even in the time of
+K'ang-hsi the Manchus began to forget Manchurian; they brought tutors to
+court to teach the young Manchus Chinese. Later even the emperors did
+not understand Manchurian! As a result of this process, the Mongols
+became alienated from the Manchurians, and the situation began once more
+to be the same as at the time of the Ming rulers. Thus Galdan tried to
+found an independent Mongol realm, free from Chinese influence.</p>
+
+<p>The Manchus could not permit this, as such a realm would have threatened
+the flank of their homeland, Manchuria, and would have attracted those
+Manchus who objected to sinification. Between 1690 and 1696 there were
+battles, in which the emperor actually took part in person. Galdan was
+defeated. In 1715, however, there were new disturbances, this time in
+western Mongolia. Tsewang Rabdan, whom the Chinese had made khan of the
+&Ouml;l&ouml;t, rose against the Chinese. The wars that followed, extending far
+into Turkestan and also involving its Turkish population together with
+the Dzungars, ended with the Chinese conquest of the whole <!-- Page 278 --><span class='pagenum'><a name="Page_278" id="Page_278">[Pg 278]</a></span>of Mongolia
+and of parts of eastern Turkestan. As Tsewang Rabdan had tried to extend
+his power as far as Tibet, a campaign was undertaken also into Tibet,
+Lhasa was occupied, a new Dalai Lama was installed there as supreme
+ruler, and Tibet was made into a protectorate. Since then Tibet has
+remained to this day under some form of Chinese colonial rule.</p>
+
+<p>This penetration of the Chinese into Turkestan took place just at the
+time when the Russians were enormously expanding their empire in Asia,
+and this formed the third problem for the Manchus. In 1650 the Russians
+had established a fort by the river Amur. The Manchus regarded the Amur
+(which they called the "River of the Black Dragon") as part of their own
+territory, and in 1685 they destroyed the Russian settlement. After this
+there were negotiations, which culminated in 1689 in the Treaty of
+Nerchinsk. This treaty was the first concluded by the Chinese state with
+a European power. Jesuit missionaries played a part in the negotiations
+as interpreters. Owing to the difficulties of translation the text of
+the treaty, in Chinese, Russian, and Manchurian, contained some
+obscurities, <ins class="corr" title="typo for particularly">particulary</ins> in regard to the frontier line. Accordingly, in
+1727 the Russians asked for a revision of the old treaty. The Chinese
+emperor, whose rule name was Yung-cheng, arranged for the negotiations
+to be carried on at the frontier, in the town of Kyakhta, in Mongolia,
+where after long discussions a new treaty was concluded. Under this
+treaty the Russians received permission to set up a legation and a
+commercial agency in Peking, and also to maintain a church. This was the
+beginning of the foreign Capitulations. From the Chinese point of view
+there was nothing special in a facility of this sort. For some fifteen
+centuries all the "barbarians" who had to bring tribute had been given
+houses in the capital, where their envoys could wait until the emperor
+would receive them&mdash;usually on New Year's Day. The custom had sprung up
+at the reception of the Huns. Moreover, permission had always been given
+for envoys to be accompanied by a few merchants, who during the envoy's
+stay did a certain amount of business. Furthermore the time had been
+when the Uighurs were permitted to set up a temple of their own. At the
+time of the permission given to the Russians to set up a "legation", a
+similar office was set up (in 1729) for "Uighur" peoples (meaning
+Mohammedans), again under the control of an office, called the Office
+for Regulation of Barbarians. The Mohammedan office was placed under two
+Mohammedan leaders who lived in Peking. The Europeans, however, had
+quite different ideas about a "legation", and about the significance of
+permission to trade. They regarded this as the opening of diplomatic
+relations between states on terms of equality, and the <!-- Page 279 --><span class='pagenum'><a name="Page_279" id="Page_279">[Pg 279]</a></span>carrying on of
+trade as a special privilege, a sort of Capitulation. This reciprocal
+misunderstanding produced in the nineteenth century a number of serious
+political conflicts. The Europeans charged the Chinese with breach of
+treaties, failure to meet their obligations, and other such things,
+while the Chinese considered that they had acted with perfect
+correctness.</p>
+
+
+<p class="sect">4 <i>Culture</i></p>
+
+<p>In this K'ang-hsi period culture began to flourish again. The emperor
+had attracted the gentry, and so the intelligentsia, to his court
+because his uneducated Manchus could not alone have administered the
+enormous empire; and he showed great interest in Chinese culture,
+himself delved deeply into it, and had many works compiled, especially
+works of an encyclopaedic character. The encyclopaedias enabled
+information to be rapidly gained on all sorts of subjects, and thus were
+just what an interested ruler needed, especially when, as a foreigner,
+he was not in a position to gain really thorough instruction in things
+Chinese. The Chinese encyclopaedias of the seventeenth and especially of
+the eighteenth century were thus the outcome of the initiative of the
+Manchurian emperor, and were compiled for his information; they were not
+due, like the French encyclopaedias of the eighteenth century, to a
+movement for the spread of knowledge among the people. For this latter
+purpose the gigantic encyclopaedias of the Manchus, each of which fills
+several bookcases, were much too expensive and were printed in much too
+limited editions. The compilations began with the great geographical
+encyclopaedia of Ku Yen-wu (1613-1682), and attained their climax in the
+gigantic eighteenth-century encyclopaedia <i>T'u-shu chi-ch'eng,</i>
+scientifically impeccable in the accuracy of its references to sources.
+Here were already the beginnings of the "Archaeological School", built
+up in the course of the eighteenth century. This school was usually
+called "Han school" because the adherents went back to the commentaries
+of the classical texts written in Han time and discarded the orthodox
+explanations of Chu Hsi's school of Sung time. Later, its most prominent
+leader was Tai Chen (1723-1777). Tai was greatly interested in
+technology and science; he can be regarded as the first philosopher who
+exhibited an empirical, scientific way of thinking. Late nineteenth and
+early twentieth century Chinese scholarship is greatly obliged to him.</p>
+
+<p>The most famous literary works of the Manchu epoch belong once more to
+the field which Chinese do not regard as that of true literature&mdash;the
+novel, the short story, and the drama. Poetry did <!-- Page 280 --><span class='pagenum'><a name="Page_280" id="Page_280">[Pg 280]</a></span>exist, but it kept to
+the old paths and had few fresh ideas. All the various forms of the Sung
+period were made use of. The essayists, too, offered nothing new, though
+their number was legion. One of the best known is Y&uuml;an Mei (1716-1797),
+who was also the author of the collection of short stories <i>Tse-pu-y&uuml;</i>
+("The Master did not tell"), which is regarded very highly by the
+Chinese. The volume of short stories entitled <i>Liao-chai chich-i</i>, by
+P'u Sung-lin (1640-1715?), is world-famous and has been translated into
+every civilized language. Both collections are distinguished by their
+simple but elegant style. The short story was popular among the greater
+gentry; it abandoned the popular style it had had in the Ming epoch, and
+adopted the polished language of scholars.</p>
+
+<p>The Manchu epoch has left to us what is by general consent the finest
+novel in Chinese literature, <i>Hung-lou-meng</i> ("The Dream of the Red
+Chamber"), by Ts'ao Hs&uuml;eh-ch'in, who died in 1763. It describes the
+downfall of a rich and powerful family from the highest rank of the
+gentry, and the decadent son's love of a young and emotional lady of the
+highest circles. The story is clothed in a mystical garb that does
+something to soften its tragic ending. The interesting novel <i>Ju-lin
+wai-shih</i> ("Private Reports from the Life of Scholars"), by Wu Ching-tz&#365;
+(1701-1754), is a mordant criticism of Confucianism with its rigid
+formalism, of the social system, and of the examination system. Social
+criticism is the theme of many novels. The most modern in spirit of the
+works of this period is perhaps the treatment of feminism in the novel
+<i>Ching-hua-y&uuml;an</i>, by Li Yu-ch&ecirc;n (d. 1830), which demanded equal rights
+for men and women.</p>
+
+<p>The drama developed quickly in the Manchu epoch, particularly in
+quantity, especially since the emperors greatly appreciated the theatre.
+A catalogue of plays compiled in 1781 contains 1,013 titles! Some of
+these dramas were of unprecedented length. One of them was played in 26
+parts containing 240 acts; a performance took two years to complete!
+Probably the finest dramas of the Manchu epoch are those of Li Y&uuml; (born
+1611), who also became the first of the Chinese dramatic critics. What
+he had to say about the art of the theatre, and about aesthetics in
+general, is still worth reading.</p>
+
+<p>About the middle of the nineteenth century the influence of Europe
+became more and more marked. Translation began with Yen Fu (1853-1921),
+who translated the first philosophical and scientific books and books on
+social questions and made his compatriots acquainted with Western
+thought. At the same time Lin Shu (1852-1924) translated the first
+Western short stories and novels. With these two began the new style,
+which was soon elaborated by Liang Ch'i-ch'ao, a collaborator of Sun
+Yat-sen's, <!-- Page 281 --><span class='pagenum'><a name="Page_281" id="Page_281">[Pg 281]</a></span>and by others, and which ultimately produced the "literary
+revolution" of 1917. Translation has continued to this day; almost every
+book of outstanding importance in world literature is translated within
+a few months of its appearance, and on the average these translations
+are of a fairly high level.</p>
+
+<p>Particularly fine work was produced in the field of porcelain in the
+Manchu epoch. In 1680 the famous kilns in the province of Kiangsi were
+reopened, and porcelain that is among the most artistically perfect in
+the world was fired in them. Among the new colours were especially green
+shades (one group is known as <i>famille verte</i>), and also black and
+yellow compositions. Monochrome porcelain also developed further,
+including very fine dark blue, brilliant red (called "ox-blood"), and
+white. In the eighteenth century, however, there began an unmistakable
+decline, which has continued to this day, although there are still a few
+craftsmen and a few kilns that produce outstanding work (usually
+attempts to imitate old models), often in small factories.</p>
+
+<p>In painting, European influence soon shows itself. The best-known
+example of this is Lang Shih-ning, an Italian missionary whose original
+name was Giuseppe Castiglione (1688-1766); he began to work in China in
+1715. He learned the Chinese method of painting, but introduced a number
+of technical tricks of European painters, which were adopted in general
+practice in China, especially by the official court painters: the
+painting of the scholars who lived in seclusion remained uninfluenced.
+Dutch flower-painting also had some influence in China as early as the
+eighteenth century.</p>
+
+<p>The missionaries played an important part at court. The first Manchu
+emperors were as generous in this matter as the Mongols had been, and
+allowed the foreigners to work in peace. They showed special interest in
+the European science introduced by the missionaries; they had less
+sympathy for their religious message. The missionaries, for their part,
+sent to Europe enthusiastic accounts of the wonderful conditions in
+China, and so helped to popularize the idea that was being formed in
+Europe of an "enlightened", a constitutional, monarchy. The leaders of
+the Enlightenment read these reports with enthusiasm, with the result
+that they had an influence on the French Revolution. Confucius was found
+particularly attractive, and was regarded as a forerunner of the
+Enlightenment. The "Monadism" of the philosopher Leibniz was influenced
+by these reports.</p>
+
+<p>The missionaries gained a reputation at court as "scientists", and in
+this they were of service both to China and to Europe. The behaviour of
+the European merchants who followed the missions, spreading gradually in
+growing numbers along the coasts of China, <!-- Page 282 --><span class='pagenum'><a name="Page_282" id="Page_282">[Pg 282]</a></span>was not by any means so
+irreproachable. The Chinese were certainly justified when they declared
+that European ships often made landings on the coast and simply looted,
+just as the Japanese had done before them. Reports of this came to the
+court, and as captured foreigners described themselves as "Christians"
+and also seemed to have some connection with the missionaries living at
+court, and as disputes had broken out among the missionaries themselves
+in connection with papal ecclesiastical policy, in the Yung-cheng period
+(1723-1736; the name of the emperor was Shih Tsung) Christianity was
+placed under a general ban, being regarded as a secret political
+organization.</p>
+
+
+<p class="sect">5 <i>Relations with the outer world</i></p>
+
+<p>During the Yung-cheng period there was long-continued guerrilla fighting
+with natives in south-west China. The pressure of population in China
+sought an outlet in emigration. More and more Chinese moved into the
+south-west, and took the land from the natives, and the fighting was the
+consequence of this.</p>
+
+<p>At the beginning of the Ch'ien-lung period (1736-1796), fighting started
+again in Turkestan. Mongols, now called Kalmuks, defeated by the
+Chinese, had migrated to the Ili region, where after heavy fighting they
+gained supremacy over some of the Kazaks and other Turkish peoples
+living there and in western Turkestan. Some Kazak tribes went over to
+the Russians, and in 1735 the Russian colonialists founded the town of
+Orenburg in the western Kazak region. The Kalmuks fought the Chinese
+without cessation until, in 1739, they entered into an agreement under
+which they ceded half their territory to Manchu China, retaining only
+the Ili region. The Kalmuks subsequently reunited with other sections of
+the Kazaks against the Chinese. In 1754 peace was again concluded with
+China, but it was followed by raids on both sides, so that the Manchus
+determined to enter on a great campaign against the Ili region. This
+ended with a decisive victory for the Chinese (1755). In the years that
+followed, however, the Chinese began to be afraid that the various Kazak
+tribes might unite in order to occupy the territory of the Kalmuks,
+which was almost unpopulated owing to the mass slaughter of Kalmuks by
+the Chinese. Unrest began among the Mohammedans throughout the
+neighbouring western Turkestan, and the same Chinese generals who had
+fought the Kalmuks marched into Turkestan and captured the Mohammedan
+city states of Uch, Kashgar, and Yarkand.</p>
+
+<p>The reinforcements for these campaigns, and for the garrisons which in
+the following decades were stationed in the Ili region and <!-- Page 283 --><span class='pagenum'><a name="Page_283" id="Page_283">[Pg 283]</a></span>in the west
+of eastern Turkestan, marched along the road from Peking that leads
+northward through Mongolia to the far distant Uliassutai and Kobdo. The
+cost of transport for one <i>shih</i> (about 66 lb.) amounted to 120 pieces
+of silver. In 1781 certain economies were introduced, but between 1781
+and 1791 over 30,000 tons, making some 8 tons a day, was transported to
+that region. The cost of transport for supplies alone amounted in the
+course of time to the not inconsiderable sum of 120,000,000 pieces of
+silver. In addition to this there was the cost of the transported goods
+and of the pay of soldiers and of the administration. These figures
+apply to the period of occupation, of relative peace: during the actual
+wars of conquest the expenditure was naturally far higher. Thus these
+campaigns, though I do not think they brought actual economic ruin to
+China, were nevertheless a costly enterprise, and one which produced
+little positive advantage.</p>
+
+<p>In addition to this, these wars brought China into conflict with the
+European colonial powers. In the years during which the Chinese armies
+were fighting in the Ili region, the Russians were putting out their
+feelers in that direction, and the Chinese annals show plainly how the
+Russians intervened in the fighting with the Kalmuks and Kazaks. The Ili
+region remained thereafter a bone of contention between China and
+Russia, until it finally went to Russia, bit by bit, between 1847 and
+1881. The Kalmuks and Kazaks played a special part in Russo-Chinese
+relations. The Chinese had sent a mission to the Kalmuks farthest west,
+by the lower Volga, and had entered into relations with them, as early
+as 1714. As Russian pressure on the Volga region continually grew, these
+Kalmuks (mainly the Turgut tribe), who had lived there since 1630,
+decided to return into Chinese territory (1771). During this enormously
+difficult migration, almost entirely through hostile territory, a large
+number of the Turgut perished; 85,000, however, reached the Ili region,
+where they were settled by the Chinese on the lands of the eastern
+Kalmuks, who had been largely exterminated.</p>
+
+<p>In the south, too, the Chinese came into direct touch with the European
+powers. In 1757 the English occupied Calcutta, and in 1766 the province
+of Bengal. In 1767 a Manchu general, Ming Jui, who had been victorious
+in the fighting for eastern Turkestan, marched against Burma, which was
+made a dependency once more in 1769. And in 1790-1791 the Chinese
+conquered Nepal, south of Tibet, because Nepalese had made two attacks
+on Tibet. Thus English and Chinese political interests came here into
+contact.</p>
+
+<p>For the Ch'ien-lung period's many wars of conquest there seem to have
+been two main reasons. The first was the need for security.<!-- Page 284 --><span class='pagenum'><a name="Page_284" id="Page_284">[Pg 284]</a></span> The Mongols
+had to be overthrown because otherwise the homeland of the Manchus was
+menaced; in order to make sure of the suppression of the eastern
+Mongols, the western Mongols (Kalmuks) had to be overthrown; to make
+them harmless, Turkestan and the Ili region had to be conquered; Tibet
+was needed for the security of Turkestan and Mongolia&mdash;and so on. Vast
+territories, however, were conquered in this process which were of no
+economic value, and most of which actually cost a great deal of money
+and brought nothing in. They were conquered simply for security. That
+advantage had been gained: an aggressor would have to cross great areas
+of unproductive territory, with difficult conditions for reinforcements,
+before he could actually reach China. In the second place, the Chinese
+may actually have noticed the efforts that were being made by the
+European powers, especially Russia and England, to divide Asia among
+themselves, and accordingly they made sure of their own good share.</p>
+
+
+<p class="sect">6 <i>Decline; revolts</i></p>
+
+<p>The period of Ch'ien-lung is not only that of the greatest expansion of
+the Chinese empire, but also that of the greatest prosperity under the
+Manchu regime. But there began at the same time to be signs of internal
+decline. If we are to fix a particular year for this, perhaps it should
+be the year 1774, in which came the first great popular rising, in the
+province of Shantung. In 1775 there came another popular rising, in
+Honan&mdash;that of the "Society of the White Lotus". This society, which had
+long existed as a secret organization and had played a part in the Ming
+epoch, had been reorganized by a man named Liu Sung. Liu Sung was
+captured and was condemned to penal servitude. His followers, however,
+regrouped themselves, particularly in the province of Anhui. These
+risings had been produced, as always, by excessive oppression of the
+people by the government or the governing class. As, however, the anger
+of the population was naturally directed also against the idle Manchus
+of the cities, who lived on their state pensions, did no work, and
+behaved as a ruling class, the government saw in these movements a
+nationalist spirit, and took drastic steps against them. The popular
+leaders now altered their programme, and acclaimed a supposed descendant
+from the Ming dynasty as the future emperor. Government troops caught
+the leader of the "White Lotus" agitation, but he succeeded in escaping.
+In the regions through which the society had spread, there then began a
+sort of Inquisition, of exceptional ferocity. Six provinces were
+affected, and in and around the single city of Wuch'ang in four months
+more than<!-- Page 285 --><span class='pagenum'><a name="Page_285" id="Page_285">[Pg 285]</a></span> 20,000 people were beheaded. The cost of the rising to the
+government ran into millions. In answer to this oppression, the popular
+leaders tightened their organization and marched north-west from the
+western provinces of which they had gained control. The rising was
+suppressed only by a very big military operation, and not until 1802.
+There had been very heavy fighting between 1793 and 1802&mdash;just when in
+Europe, in the French Revolution, another oppressed population won its
+freedom.</p>
+
+<p>The Ch'ien-lung emperor abdicated on New Year's Day, 1795, after ruling
+for sixty years. He died in 1799. His successor was Jen Tsung
+(1796-1821; reign name: Chia-ch'ing). In the course of his reign the
+rising of the "White Lotus" was suppressed, but in 1813 there began a
+new rising, this time in North China&mdash;again that of a secret
+organization, the "Society of Heaven's Law". One of its leaders bribed
+some eunuchs, and penetrated with a group of followers into the palace;
+he threw himself upon the emperor, who was only saved through the
+intervention of his son. At the same time the rising spread in the
+provinces. Once more the government succeeded in suppressing it and
+capturing the leaders. But the memory of these risings was kept alive
+among the Chinese people. For the government failed to realize that the
+actual cause of the risings was the general impoverishment, and saw in
+them a nationalist movement, thus actually arousing a national
+consciousness, stronger than in the Ming epoch, among the middle and
+lower classes of the people, together with hatred of the Manchus. They
+were held responsible for every evil suffered, regardless of the fact
+that similar evils had existed earlier.</p>
+
+
+<p class="sect">7 <i>European Imperialism in the Far East</i></p>
+
+<p>With the Tao-kuang period (1821-1850) began a new period in Chinese
+history, which came to an end only in 1911.</p>
+
+<p>In foreign affairs these ninety years were marked by the steadily
+growing influence of the Western powers, aimed at turning China into a
+colony. Culturally this period was that of the gradual infiltration of
+Western civilization into the Far East; it was recognized in China that
+it was necessary to learn from the West. In home affairs we see the
+collapse of the dynasty and the destruction of the unity of the empire;
+of four great civil wars, one almost brought the dynasty to its end.
+North and South China, the coastal area and the interior, developed in
+different ways.</p>
+
+<p>Great Britain had made several attempts to improve her trade relations
+with China, but the mission of 1793 had no success, and that of 1816
+also failed. English merchants, like all foreign merchants, <!-- Page 286 --><span class='pagenum'><a name="Page_286" id="Page_286">[Pg 286]</a></span>were only
+permitted to settle in a small area adjoining Canton and at Macao, and
+were only permitted to trade with a particular group of monopolists,
+known as the "Hong". The Hong had to pay taxes to the state, but they
+had a wonderful opportunity of enriching themselves. The Europeans were
+entirely at their mercy, for they were not allowed to travel inland, and
+they were not allowed to try to negotiate with other merchants, to
+secure lower prices by competition.</p>
+
+<p>The Europeans concentrated especially on the purchase of silk and tea;
+but what could they import into China? The higher the price of the goods
+and the smaller the cargo space involved, the better were the chances of
+profit for the merchants. It proved, however, that European woollens or
+luxury goods could not be sold; the Chinese would probably have been
+glad to buy food, but transport was too expensive to permit profitable
+business. Thus a new article was soon discovered&mdash;opium, carried from
+India to China: the price was high and the cargo space involved was very
+small. The Chinese were familiar with opium, and bought it readily.
+Accordingly, from 1800 onwards opium became more and more the chief
+article of trade, especially for the English, who were able to bring it
+conveniently from India. Opium is harmful to the people; the opium trade
+resulted in certain groups of merchants being inordinately enriched; a
+great deal of Chinese money went abroad. The government became
+apprehensive and sent Lin Ts&ecirc;-hs&uuml; as its commissioner to Canton. In 1839
+he prohibited the opium trade and burned the chests of opium found in
+British possession. The British view was that to tolerate the Chinese
+action might mean the destruction of British trade in the Far East and
+that, on the other hand, it might be possible by active intervention to
+compel the Chinese to open other ports to European trade and to shake
+off the monopoly of the Canton merchants. In 1840 British ships-of-war
+appeared off the south-eastern coast of China and bombarded it. In 1841
+the Chinese opened negotiations and dismissed Lin Ts&ecirc;-hs&uuml;. As the
+Chinese concessions were regarded as inadequate, hostilities continued;
+the British entered the Yangtze estuary and threatened Nanking. In this
+first armed conflict with the West, China found herself defenceless
+owing to her lack of a navy, and it was also found that the European
+weapons were far superior to those of the Chinese. In 1842 China was
+compelled to capitulate: under the Treaty of Nanking Hong Kong was ceded
+to Great Britain, a war indemnity was paid, certain ports were thrown
+open to European trade, and the monopoly was brought to an end. A great
+deal of opium came, however, into China through smuggling&mdash;regrettably,
+for the state lost the customs revenue!<!-- Page 287 --><span class='pagenum'><a name="Page_287" id="Page_287">[Pg 287]</a></span></p>
+
+<p>This treaty introduced the period of the Capitulations. It contained the
+dangerous clause which added most to China's misfortunes&mdash;the Most
+Favoured Nation clause, providing that if China granted any privilege to
+any other state, that privilege should also automatically be granted to
+Great Britain. In connection with this treaty it was agreed that the
+Chinese customs should be supervised by European consuls; and a trade
+treaty was granted. Similar treaties followed in 1844 with France and
+the United States. The missionaries returned; until 1860, however, they
+were only permitted to work in the treaty ports. Shanghai was thrown
+open in 1843, and developed with extraordinary rapidity from a town to a
+city of a million and a centre of world-wide importance.</p>
+
+<p>The terms of the Nanking Treaty were not observed by either side; both
+evaded them. In order to facilitate the smuggling, the British had
+permitted certain Chinese junks to fly the British flag. This also
+enabled these vessels to be protected by British ships-of-war from
+pirates, which at that time were very numerous off the southern coast
+owing to the economic depression. The Chinese, for their part, placed
+every possible obstacle in the way of the British. In 1856 the Chinese
+held up a ship sailing under the British flag, pulled down its flag, and
+arrested the crew on suspicion of smuggling. In connection with this and
+other events, Britain decided to go to war. Thus began the "Lorcha War"
+of 1857, in which France joined for the sake of the booty to be
+expected. Britain had just ended the Crimean War, and was engaged in
+heavy fighting against the Moguls in India. Consequently only a small
+force of a few thousand men could be landed in China; Canton, however,
+was bombarded, and also the forts of Tientsin. There still seemed no
+prospect of gaining the desired objectives by negotiation, and in 1860 a
+new expedition was fitted out, this time some 20,000 strong. The troops
+landed at Tientsin and marched on Peking; the emperor fled to Jehol and
+did not return; he died in 1861. The new Treaty of Tientsin (1860)
+provided for (a) the opening of further ports to European traders; (b)
+the session of Kowloon, the strip of land lying opposite Hong Kong; (c)
+the establishment of a British legation in Peking; (d) freedom of
+navigation along the Yangtze; (e) permission for British subjects to
+purchase land in China; (f) the British to be subject to their own
+consular courts and not to the Chinese courts; (g) missionary activity
+to be permitted throughout the country. In addition to this, the
+commercial treaty was revised, the opium trade was permitted once more,
+and a war indemnity was to be paid by China. In the eyes of Europe,
+Britain had now succeeded in turning China not actually into a colony,
+but at all events into a semi-colony; China must be expected soon to
+share the <!-- Page 288 --><span class='pagenum'><a name="Page_288" id="Page_288">[Pg 288]</a></span>fate of India. China, however, with her very different
+conceptions of intercourse between states, did not realize the full
+import of these terms; some of them were regarded as concessions on
+unimportant points, which there was no harm in granting to the trading
+"barbarians", as had been done in the past; some were regarded as simple
+injustices, which at a given moment could be swept away by
+administrative action.</p>
+
+<p>But the result of this European penetration was that China's balance of
+trade was adverse, and became more and more so, as under the commercial
+treaties she could neither stop the importation of European goods nor
+set a duty on them; and on the other hand she could not compel
+foreigners to buy Chinese goods. The efflux of silver brought general
+impoverishment to China, widespread financial stringency to the state,
+and continuous financial crises and inflation. China had never had much
+liquid capital, and she was soon compelled to take up foreign loans in
+order to pay her debts. At that time internal loans were out of the
+question (the first internal loan was floated in 1894): the population
+did not even know what a state loan meant; consequently the loans had to
+be issued abroad. This, however, entailed the giving of securities,
+generally in the form of economic privileges. Under the Most Favoured
+Nation clause, however, these privileges had then to be granted to other
+states which had made no loans to China. Clearly a vicious spiral, which
+in the end could only bring disaster.</p>
+
+<p>The only exception to the general impoverishment, in which not only the
+peasants but the old upper classes were involved, was a certain section
+of the trading community and the middle class, which had grown rich
+through its dealings with the Europeans. These people now accumulated
+capital, became Europeanized with their staffs, acquired land from the
+impoverished gentry, and sent their sons abroad to foreign universities.
+They founded the first industrial undertakings, and learned European
+capitalist methods. This class was, of course, to be found mainly in the
+treaty ports in the south and in their environs. The south, as far north
+as Shanghai, became more modern and more advanced; the north made no
+advance. In the south, European ways of thought were learnt, and Chinese
+and European theories were compared. Criticism began. The first
+revolutionary societies were formed in this atmosphere in the south.</p>
+
+
+<p class="sect">8 <i>Risings in Turkestan and within China: the T'ai P'ing Rebellion</i></p>
+
+<p>But the emperor Hs&uuml;an Tsung (reign name Tao-kuang), a man in poor health
+though not without ability, had much graver anxieties <!-- Page 289 --><span class='pagenum'><a name="Page_289" id="Page_289">[Pg 289]</a></span>than those caused
+by the Europeans. He did not yet fully realize the seriousness of the
+European peril.</p>
+
+<div class="center">
+<a name="image23" id="image23"></a>
+<img src="images/image23.jpg" width="680" height="522"
+alt="16 The imperial summer palace of the Manchu rulers, at Jehol."
+title="16 The imperial summer palace of the Manchu rulers, at Jehol." />
+<p class="caption">16 The imperial summer palace of the Manchu rulers, at
+Jehol.<br />
+
+<i>Photo H.&nbsp;Hammer-Morrisson.</i></p>
+</div>
+
+<div class="center">
+<a name="image24" id="image24"></a>
+<img src="images/image24.jpg" width="696" height="518"
+alt="17 Tower on the city wall of Peking."
+title="17 Tower on the city wall of Peking." />
+<p class="caption">17 Tower on the city wall of Peking.<br />
+
+<i>Photo H.&nbsp;Hammer-Morris son.</i></p>
+</div>
+
+<p>In Turkestan, where Turkish Mohammedans lived under Chinese rule,
+conditions were far from being as the Chinese desired. The Chinese, a
+fundamentally rationalistic people, regarded religion as a purely
+political matter, and accordingly required every citizen to take part in
+the official form of worship. Subject to that, he might privately belong
+to any other religion. To a Mohammedan, this was impossible and
+intolerable. The Mohammedans were only ready to practise their own
+religion, and absolutely refused to take part in any other. The Chinese
+also tried to apply to Turkestan in other matters the same legislation
+that applied to all China, but this proved irreconcilable with the
+demands made by Islam on its followers. All this produced continual
+unrest.</p>
+
+<p>Turkestan had had a feudal system of government with a number of feudal
+lords (<i>beg</i>), who tried to maintain their influence and who had the
+support of the Mohammedan population. The Chinese had come to Turkestan
+as soldiers and officials, to administer the country. They regarded
+themselves as the lords of the land and occupied themselves with the
+extraction of taxes. Most of the officials were also associated with the
+Chinese merchants who travelled throughout Turkestan and as far as
+Siberia. The conflicts implicit in this situation produced great
+Mohammedan risings in the nineteenth century. The first came in
+1825-1827; in 1845 a second rising flamed up, and thirty years later
+these revolts led to the temporary loss of the whole of Turkestan.</p>
+
+<p>In 1848, native unrest began in the province of Hunan, as a result of
+the constantly growing pressure of the Chinese settlers on the native
+population; in the same year there was unrest farther south, in the
+province of Kwangsi, this time in connection with the influence of the
+Europeans. The leader was a quite simple man of Hakka blood, Hung
+Hsiu-ch'&uuml;an (born 1814), who gathered impoverished Hakka peasants round
+him as every peasant leader had done in the past. Very often the nucleus
+of these peasant movements had been a secret society with a particular
+religious tinge; this time the peasant revolutionaries came forward as
+at the same time the preachers of a new religion of their own. Hung had
+heard of Christianity from missionaries (1837), and he mixed up
+Christian ideas with those of ancient China and proclaimed to his
+followers a doctrine that promised the Kingdom of God on earth. He
+called himself "Christ's younger brother", and his kingdom was to be
+called <i>T'ai P'ing</i> ("Supreme Peace"). He made his first comrades,
+charcoal makers, local doctors, peddlers and farmers, into kings, and
+made himself emperor. At bottom the movement, <!-- Page 290 --><span class='pagenum'><a name="Page_290" id="Page_290">[Pg 290]</a></span>like all similar ones
+before it, was not religious but social; and it produced a great
+response from the peasants. The programme of the T'ai P'ing, in some
+points influenced by Christian ideas but more so by traditional Chinese
+thought, was in many points revolutionary: (a) all property was communal
+property; (b) land was classified into categories according to its
+fertility and equally distributed among men and women. Every producer
+kept of the produce as much as he and his family needed and delivered
+the rest into the communal granary; (c) administration and tax systems
+were revised; (d) women were given equal rights: they fought together
+with men in the army and had access to official position. They had to
+marry, but monogamy was requested; (e) the use of opium, tobacco and
+alcohol was prohibited, prostitution was illegal; (f) foreigners were
+regarded as equals, capitulations as the Manchus had accepted were not
+recognized. A large part of the officials, and particularly of the
+soldiers sent against the revolutionaries, were Manchus, and
+consequently the movement very soon became a nationalist movement, much
+as the popular movement at the end of the Mongol epoch had done. Hung
+made rapid progress; in 1852 he captured Hankow, and in 1853 Nanking,
+the important centre in the east. With clear political insight he made
+Nanking his capital. In this he returned to the old traditions of the
+beginning of the Ming epoch, no doubt expecting in this way to attract
+support from the eastern Chinese gentry, who had no liking for a capital
+far away in the north. He made a parade of adhesion to the ancient
+Chinese tradition: his followers cut off their pigtails and allowed
+their hair to grow as in the past.</p>
+
+<p>He did not succeed, however, in carrying his reforms from the stage of
+sporadic action to a systematic reorganization of the country, and he
+also failed to enlist the elements needed for this as for all other
+administrative work, so that the good start soon degenerated into a
+terrorist regime.</p>
+
+<p>Hung's followers pressed on from Nanking, and in 1853-1855 they advanced
+nearly to Tientsin; but they failed to capture Peking itself.</p>
+
+<p>The new T'ai P'ing state faced the Europeans with big problems. Should
+they work with it or against it? The T'ai P'ing always insisted that
+they were Christians; the missionaries hoped now to have the opportunity
+of converting all China to Christianity. The T'ai P'ing treated the
+missionaries well but did not let them operate. After long hesitation
+and much vacillation, however, the Europeans placed themselves on the
+side of the Manchus. Not out of any belief that the T'ai P'ing movement
+was without justification, but because they had concluded treaties with
+the Manchu <!-- Page 291 --><span class='pagenum'><a name="Page_291" id="Page_291">[Pg 291]</a></span>government and given loans to it, of which nothing would
+have remained if the Manchus had fallen; because they preferred the weak
+Manchu government to a strong T'ai P'ing government; and because they
+disliked the socialistic element in many of the measured adopted by the
+Tai P'ing.</p>
+
+<p>At first it seemed as if the Manchus would be able to cope unaided with
+the T'ai P'ing, but the same thing happened as at the end of the Mongol
+rule: the imperial armies, consisting of the "banners" of the Manchus,
+the Mongols, and some Chinese, had lost their military skill in the long
+years of peace; they had lost their old fighting spirit and were glad to
+be able to live in peace on their state pensions. Now three men came to
+the fore&mdash;a Mongol named Seng-ko-lin-ch'in, a man of great personal
+bravery, who defended the interests of the Manchu rulers; and two
+Chinese, Ts&ecirc;ng Kuo-fan (1811-1892) and Li Hung-chang (1823-1901), who
+were in the service of the Manchus but used their position simply to
+further the interests of the gentry. The Mongol saved Peking from
+capture by the T'ai P'ing. The two Chinese were living in central China,
+and there they recruited, Li at his own expense and Ts&ecirc;ng out of the
+resources at his disposal as a provincial governor, a sort of militia,
+consisting of peasants out to protect their homes from destruction by
+the peasants of the T'ai P'ing. Thus the peasants of central China, all
+suffering from impoverishment, were divided into two groups, one
+following the T'ai P'ing, the other following Ts&ecirc;ng Kuo-fan. Ts&ecirc;ng's
+army, too, might be described as a "national" army, because Ts&ecirc;ng was
+not fighting for the interests of the Manchus. Thus the peasants, all
+anti-Manchu, could choose between two sides, between the T'ai P'ing and
+Ts&ecirc;ng Kuo-fan. Although Ts&ecirc;ng represented the gentry and was thus
+against the simple common people, peasants fought in masses on his side,
+for he paid better, and especially more regularly. Ts&ecirc;ng, being a good
+strategist, won successes and gained adherents. Thus by 1856 the T'ai
+P'ing were pressed back on Nanking and some of the towns round it; in
+1864 Nanking was captured.</p>
+
+<p>While in the central provinces the T'ai P'ing rebellion was raging,
+China was suffering grave setbacks owing to the Lorcha War of 1856; and
+there were also great and serious risings in other parts of the country.
+In 1855 the Yellow River had changed its course, entering the sea once
+more at Tientsin, to the great loss of the regions of Honan and Anhui.
+In these two central provinces the peasant rising of the so-called "Nien
+Fei" had begun, but it only became formidable after 1855, owing to the
+increasing misery of the peasants. This purely peasant revolt was not
+suppressed by the<!-- Page 292 --><span class='pagenum'><a name="Page_292" id="Page_292">[Pg 292]</a></span> Manchu government until 1868, after many collisions.
+Then, however, there began the so-called "Mohammedan risings". Here
+there are, in all, five movements to distinguish: (1) the Mohammedan
+rising in Kansu (1864-5); (2) the Salar movement in Shensi; (3) the
+Mohammedan revolt in Y&uuml;nnan (1855-1873); (4) the rising in Kansu (1895);
+(5) the rebellion of Yakub Beg in Turkestan (from 1866 onward).</p>
+
+<p>While we are fairly well informed about the other popular risings of
+this period, the Mohammedan revolts have not yet been well studied. We
+know from unofficial accounts that these risings were suppressed with
+great brutality. To this day there are many Mohammedans in, for
+instance, Y&uuml;nnan, but the revolt there is said to have cost a million
+lives. The figures all rest on very rough estimates: in Kansu the
+population is said to have fallen from fifteen millions to one million;
+the Turkestan revolt is said to have cost ten million lives. There are
+no reliable statistics; but it is understandable that at that time the
+population of China must have fallen considerably, especially if we bear
+in mind the equally ferocious suppression of the risings of the T'ai
+P'ing and the Nien Fei within China, and smaller risings of which we
+have made no mention.</p>
+
+<p>The Mohammedan risings were not elements of a general Mohammedan revolt,
+but separate events only incidentally connected with each other. The
+risings had different causes. An important factor was the general
+distress in China. This was partly due to the fact that the officials
+were exploiting the peasant population more ruthlessly than ever. In
+addition to this, owing to the national feeling which had been aroused
+in so unfortunate a way, the Chinese felt a revulsion against
+non-Chinese, such as the Salars, who were of Turkish race. Here there
+were always possibilities of friction, which might have been removed
+with a little consideration but which swelled to importance through the
+tactless behaviour of Chinese officials. Finally there came divisions
+among the Mohammedans of China which led to fighting between themselves.</p>
+
+<p>All these risings were marked by two characteristics. They had no
+general political aim such as the founding of a great and universal
+Islamic state. Separate states were founded, but they were too small to
+endure; they would have needed the protection of great states. But they
+were not moved by any pan-Islamic idea. Secondly, they all took place on
+Chinese soil, and all the Mohammedans involved, except in the rising of
+the Salars, were Chinese. These Chinese who became Mohammedans are
+called Dungans. The Dungans are, of course, no longer pure Chinese,
+because<!-- Page 293 --><span class='pagenum'><a name="Page_293" id="Page_293">[Pg 293]</a></span> Chinese who have gone over to Islam readily form mixed
+marriages with Islamic non-Chinese, that is to say with Turks and
+Mongols.</p>
+
+<p>The revolt, however, of Yakub Beg in Turkestan had a quite different
+character. Yakub Beg (his Chinese name was An Chi-yeh) had risen to the
+Chinese governorship when he made himself ruler of Kashgar. In 1866 he
+began to try to make himself independent of Chinese control. He
+conquered Ili, and then in a rapid campaign made himself master of all
+Turkestan.</p>
+
+<p>His state had a much better prospect of endurance than the other
+Mohammedan states. He had full control of it from 1874. Turkestan was
+connected with China only by the few routes that led between the desert
+and the Tibetan mountains. The state was supported against China by
+Russia, which was continually pressing eastward, and in the south by
+Great Britain, which was pressing towards Tibet. Farther west was the
+great Ottoman empire; the attempt to gain direct contact with it was not
+hopeless in itself, and this was recognized at Istanbul. Missions went
+to and fro, and Turkish officers came to Yakub Beg and organized his
+army; Yakub Beg recognized the Turkish sultan as Khalif. He also
+concluded treaties with Russia and Great Britain. But in spite of all
+this he was unable to maintain his hold of Turkestan. In 1877 the famous
+Chinese general Tso Tsung-t'ang (1812-1885), who had fought against the
+T'ai P'ing and also against the Mohammedans in Kansu, marched into
+Turkestan and ended Yakub Beg's rule.</p>
+
+<p>Yakub was defeated, however, not so much by Chinese superiority as by a
+combination of circumstances. In order to build up his kingdom he was
+compelled to impose heavy taxation, and this made him unpopular with his
+own followers: they had had to pay taxes under the Chinese, but the
+Chinese collection had been much less rigorous than that of Yakub Beg.
+It was technically impossible for the Ottoman empire to give him any
+aid, even had its internal situation permitted it. Britain and Russia
+would probably have been glad to see a weakening of the Chinese hold
+over Turkestan, but they did not want a strong new state there, once
+they had found that neither of them could control the country while it
+was in Yakub Beg's hands. In 1881 Russia occupied the Ili region,
+Yakub's first conquest. In the end the two great powers considered it
+better for Turkestan to return officially into the hands of the weakened
+China, hoping that in practice they would be able to bring Turkestan
+more and more under their control. Consequently, when in 1880, three
+years after the removal of Yakub Beg, China sent a mission to Russia
+with the request for the return of the Ili region to her, Russia gave
+way, and the Treaty of Ili was concluded, ending for the time the
+Russian penetration of Turkestan.<!-- Page 294 --><span class='pagenum'><a name="Page_294" id="Page_294">[Pg 294]</a></span> In 1882 the Manchu government raised
+Turkestan to a "new frontier" (Sinkiang) with a special administration.</p>
+
+<p>This process of colonial penetration of Turkestan continued. Until the
+end of the first world war there was no fundamental change in the
+situation in the country, owing to the rivalry between Great Britain and
+Russia. But after 1920 a period began in which Turkestan became almost
+independent, under a number of rulers of parts of the country. Then,
+from 1928 onward, a more and more thorough penetration by Russia began,
+so that by 1940 Turkestan could almost be called a Soviet Republic. The
+second world war diverted Russian attention to the West, and at the same
+time compelled the Chinese to retreat into the interior from the
+Japanese, so that by 1943 the country was more firmly held by the
+Chinese government than it had been for seventy years. After the
+creation of the People's Democracy mass immigration into Sinkiang began,
+in connection with the development of oil fields and of many new
+industries in the border area between Sinkiang and China proper. Roads
+and air communications opened Sinkiang. Yet, the differences between
+immigrant Chinese and local, Muslim Turks, continue to play a role.</p>
+
+
+<p class="sect">9 <i>Collision with Japan; further Capitulations</i></p>
+
+<p>The reign of Wen Tsung (reign name Hsien-feng 1851-1861) was marked
+throughout by the T'ai P'ing and other rebellions and by wars with the
+Europeans, and that of Mu Tsung (reign name T'ung-chih: 1862-1874) by
+the great Mohammedan disturbances. There began also a conflict with
+Japan which lasted until 1945. Mu Tsung came to the throne as a child of
+five, and never played a part of his own. It had been the general rule
+for princes to serve as regents for minors on the imperial throne, but
+this time the princes concerned won such notoriety through their
+intrigues that the Peking court circles decided to entrust the regency
+to two concubines of the late emperor. One of these, called Tz&#365; Hsi
+(born 1835), of the Manchu tribe of the Yehe-Nara, quickly gained the
+upper hand. The empress Tz&#365; Hsi was one of the strongest personalities
+of the later nineteenth century who played an active part in Chinese
+political life. She played a more active part than any emperor had
+played for many decades.</p>
+
+<p>Meanwhile great changes had taken place in Japan. The restoration of the
+Meiji had ended the age of feudalism, at least on the surface. Japan
+rapidly became Westernized, and at the same time entered on an
+imperialist policy. Her aims from 1868 onward were clear, and remained
+unaltered until the end of the second<!-- Page 295 --><span class='pagenum'><a name="Page_295" id="Page_295">[Pg 295]</a></span> World War: she was to be
+surrounded by a wide girdle of territories under Japanese domination, in
+order to prevent the approach of any enemy to the Japanese homeland.
+This girdle was divided into several zones&mdash;(1) the inner zone with the
+Kurile Islands, Sakhalin, Korea, the Ryukyu archipelago, and Formosa;
+(2) the outer zone with the Marianne, Philippine, and Caroline Islands,
+eastern China, Manchuria, and eastern Siberia; (3) the third zone, not
+clearly defined, including especially the Netherlands Indies,
+Indo-China, and the whole of China, a zone of undefined extent. The
+outward form of this subjugated region was to be that of the Greater
+Japanese Empire, described as the Imperium of the Yellow Race (the main
+ideas were contained in the Tanaka Memorandum 1927 and in the Tada
+Interview of 1936). Round Japan, moreover, a girdle was to be created of
+producers of raw materials and purchasers of manufactures, to provide
+Japanese industry with a market. Japan had sent a delegation of amity to
+China as early as 1869, and a first Sino-Japanese treaty was signed in
+1871; from then on, Japan began to carry out her imperialistic plans. In
+1874 she attacked the Ryukyu islands and Formosa on the pretext that
+some Japanese had been murdered there. Under the treaty of 1874 Japan
+withdrew once more, only demanding a substantial indemnity; but in 1876,
+in violation of the treaty and without a declaration of war, she annexed
+the Ryukyu Islands. In 1876 began the Japanese penetration into Korea;
+by 1885 she had reached the stage of a declaration that Korea was a
+joint sphere of interest of China and Japan; until then China's
+protectorate over Korea had been unchallenged. At the same time (1876)
+Great Britain had secured further Capitulations in the Chefoo
+Convention; in 1862 France had acquired Cochin China, in 1864 Cambodia,
+in 1874 Tongking, and in 1883 Annam. This led in 1884 to war between
+France and China, in which the French did not by any means gain an
+indubitable victory; but the Treaty of Tientsin left them with their
+acquisitions.</p>
+
+<p>Meanwhile, at the beginning of 1875, the young Chinese emperor died of
+smallpox, without issue. Under the influence of the two empresses, who
+still remained regents, a cousin of the dead emperor, the three-year-old
+prince Tsai T'ien was chosen as emperor T&ecirc; Tsung (reign name Kuang-hs&uuml;:
+1875-1909). He came of age in 1889 and took over the government of the
+country. The empress Tz&#365; Hsi retired, but did not really relinquish the
+reins.</p>
+
+<p>In 1894 the Sino-Japanese War broke out over Korea, as an outcome of the
+undefined position that had existed since 1885 owing to the
+imperialistic policy of the Japanese. China had created a North China
+squadron, but this was all that can be <!-- Page 296 --><span class='pagenum'><a name="Page_296" id="Page_296">[Pg 296]</a></span>regarded as Chinese preparation
+for the long-expected war. The Governor General of Chihli (now
+Hopei&mdash;the province in which Peking is situated), Li Hung-chang, was a
+general who had done good service, but he lost the war, and at
+Shimonoseki (1895) he had to sign a treaty on very harsh terms, in which
+China relinquished her protectorate over Korea and lost Formosa. The
+intervention of France, Germany, and Russia compelled Japan to content
+herself with these acquisitions, abandoning her demand for South
+Manchuria.</p>
+
+
+<p class="sect">10 <i>Russia in Manchuria</i></p>
+
+<p>After the Crimean War, Russia had turned her attention once more to the
+East. There had been hostilities with China over eastern Siberia, which
+were brought to an end in 1858 by the Treaty of Aigun, under which China
+ceded certain territories in northern Manchuria. This made possible the
+founding of Vladivostok in 1860. Russia received Sakhalin from Japan in
+1875 in exchange for the Kurile Islands. She received from China the
+important Port Arthur as a leased territory, and then tried to secure
+the whole of South Manchuria. This brought Japan's policy of expansion
+into conflict with Russia's plans in the Far East. Russia wanted
+Manchuria in order to be able to pursue a policy in the Pacific; but
+Japan herself planned to march into Manchuria from Korea, of which she
+already had possession. This imperialist rivalry made war inevitable:
+Russia lost the war; under the Treaty of Portsmouth in 1905 Russia gave
+Japan the main railway through Manchuria, with adjoining territory. Thus
+Manchuria became Japan's sphere of influence and was lost to the Manchus
+without their being consulted in any way. The Japanese penetration of
+Manchuria then proceeded stage by stage, not without occasional
+setbacks, until she had occupied the whole of Manchuria from 1932 to
+1945. After the end of the second world war, Manchuria was returned to
+China, with certain reservations in favour of the Soviet Union, which
+were later revoked.</p>
+
+
+<p class="sect">11 <i>Reform and reaction: the Boxer Rising</i></p>
+
+<p>China had lost the war with Japan because she was entirely without
+modern armament. While Japan went to work at once with all her energy to
+emulate Western industrialization, the ruling class in China had shown a
+marked repugnance to any modernization; and the centre of this
+conservatism was the dowager empress Tz&#365; Hsi. She was a woman of strong
+personality, but too uneducated&mdash;in <!-- Page 297 --><span class='pagenum'><a name="Page_297" id="Page_297">[Pg 297]</a></span>the modern sense&mdash;to be able to
+realize that modernization was an absolute necessity for China if it was
+to remain an independent state. The empress failed to realize that the
+Europeans were fundamentally different from the neighbouring tribes or
+the pirates of the past; she had not the capacity to acquire a general
+grasp of the realities of world politics. She felt instinctively that
+Europeanization would wreck the foundations of the power of the Manchus
+and the gentry, and would bring another class, the middle class and the
+merchants, into power.</p>
+
+<p>There were reasonable men, however, who had seen the necessity of
+reform&mdash;especially Li Hung-chang, who has already been mentioned. In
+1896 he went on a mission to Moscow, and then toured Europe. The
+reformers were, however, divided into two groups. One group advocated
+the acquisition of a certain amount of technical knowledge from abroad
+and its introduction by slow reforms, without altering the social
+structure of the state or the composition of the government. The others
+held that the state needed fundamental changes, and that superficial
+loans from Europe were not enough. The failure in the war with Japan
+made the general desire for reform more and more insistent not only in
+the country but in Peking. Until now Japan had been despised as a
+barbarian state; now Japan had won! The Europeans had been despised; now
+they were all cutting bits out of China for themselves, extracting from
+the government one privilege after another, and quite openly dividing
+China into "spheres of interest", obviously as the prelude to annexation
+of the whole country.</p>
+
+<p>In Europe at that time the question was being discussed over and over
+again, why Japan had so quickly succeeded in making herself a modern
+power, and why China was not succeeding in doing so; the Japanese were
+praised for their capacity and the Chinese blamed for their lassitude.
+Both in Europe and in Chinese circles it was overlooked that there were
+fundamental differences in the social structures of the two countries.
+The basis of the modern capitalist states of the West is the middle
+class. Japan had for centuries had a middle class (the merchants) that
+had entered into a symbiosis with the feudal lords. For the middle class
+the transition to modern capitalism, and for the feudal lords the way to
+Western imperialism, was easy. In China there was only a weak middle
+class, vegetating under the dominance of the gentry; the middle class
+had still to gain the strength to liberate itself before it could become
+the support for a capitalistic state. And the gentry were still strong
+enough to maintain their dominance and so to prevent a radical
+reconstruction; all they would agree to were a <!-- Page 298 --><span class='pagenum'><a name="Page_298" id="Page_298">[Pg 298]</a></span>few reforms from which
+they might hope to secure an increase of power for their own ends.</p>
+
+<p>In 1895 and in 1898 a scholar, K'ang Yo-wei, who was admitted into the
+presence of the emperor, submitted to him memoranda in which he called
+for radical reform. K'ang was a scholar who belonged to the empiricist
+school of philosophy of the early Manchu period, the so-called Han
+school. He was a man of strong and persuasive personality, and had such
+an influence on the emperor that in 1898 the emperor issued several
+edicts ordering the fundamental reorganization of education, law, trade,
+communications, and the army. These laws were not at all bad in
+themselves; they would have paved the way for a liberalization of
+Chinese society. But they aroused the utmost hatred in the conservative
+gentry and also in the moderate reformers among the gentry. K'ang Yo-wei
+and his followers, to whom a number of well-known modern scholars
+belonged, had strong support in South China. We have already mentioned
+that owing to the increased penetration of European goods and ideas,
+South China had become more progressive than the north; this had added
+to the tension already existing for other reasons between north and
+south. In foreign policy the north was more favourable to Russia and
+radically opposed to Japan and Great Britain; the south was in favour of
+co-operation with Britain and Japan, in order to learn from those two
+states how reform could be carried through. In the north the men of the
+south were suspected of being anti-Manchu and revolutionary in feeling.
+This was to some extent true, though K'ang Yo-wei and his friends were
+as yet largely unconscious of it.</p>
+
+<p>When the empress Tz&#365; Hsi saw that the emperor was actually thinking
+about reforms, she went to work with lightning speed. Very soon the
+reformers had to flee; those who failed to make good their escape were
+arrested and executed. The emperor was made a prisoner in a palace near
+Peking, and remained a captive until his death; the empress resumed her
+regency on his behalf. The period of reforms lasted only for a few
+months of 1898. A leading part in the extermination of the reformers was
+played by troops from Kansu under the command of a Mohammedan, Tung
+Fu-hsiang. General Y&uuml;an Shih-k'ai, who was then stationed at Tientsin in
+command of 7,000 troops with modern equipment, the only ones in China,
+could have removed the empress and protected the reformers; but he was
+already pursuing a personal policy, and thought it safer to give the
+reformers no help.</p>
+
+<p>There now began, from 1898, a thoroughly reactionary rule of the dowager
+empress. But China's general situation permitted no <!-- Page 299 --><span class='pagenum'><a name="Page_299" id="Page_299">[Pg 299]</a></span>breathing-space. In
+1900 came the so-called Boxer Rising, a new popular movement against the
+gentry and the Manchus similar to the many that had preceded it. The
+Peking government succeeded, however, in negotiations that brought the
+movement into the service of the government and directed it against the
+foreigners. This removed the danger to the government and at the same
+time helped it against the hated foreigners. But incidents resulted
+which the Peking government had not anticipated. An international army
+was sent to China, and marched from Tientsin against Peking, to liberate
+the besieged European legations and to punish the government. The
+Europeans captured Peking (1900); the dowager empress and her prisoner,
+the emperor, had to flee; some of the palaces were looted. The peace
+treaty that followed exacted further concessions from China to the
+Europeans and enormous war indemnities, the payment of which continued
+into the 1940's, though most of the states placed the money at China's
+disposal for educational purposes. When in 1902 the dowager empress
+returned to Peking and put the emperor back into his palace-prison, she
+was forced by what had happened to realize that at all events a certain
+measure of reform was necessary. The reforms, however, which she
+decreed, mainly in 1904, were very modest and were never fully carried
+out. They were only intended to make an impression on the outer world
+and to appease the continually growing body of supporters of the reform
+party, especially numerous in South China. The south remained,
+nevertheless, a focus of hostility to the Manchus. After his failure in
+1898, K'ang Yo-wei went to Europe, and no longer played any important
+political part. His place was soon taken by a young Chinese physician
+who had been living abroad, Sun Yat-sen (1866-1925), who turned the
+reform party into a middle-class revolutionary party.</p>
+
+
+<p class="sect">12 <i>End of the dynasty</i></p>
+
+<p>Meanwhile the dowager empress held her own. General Y&uuml;an Shih-k'ai, who
+had played so dubious a part in 1898, was not impeccably loyal to her,
+and remained unreliable. He was beyond challenge the strongest man in
+the country, for he possessed the only modern army; but he was still
+biding his time.</p>
+
+<p>In 1908 the dowager empress fell ill; she was seventy-four years old.
+When she felt that her end was near, she seems to have had the captive
+emperor T&ecirc; Tsung assassinated (at 5 p.m. on November 14th); she herself
+died next day (November 15th, 2 p.m.): she was evidently determined that
+this man, whom she had ill-treated and oppressed all his life, should
+not regain independence. As T&ecirc;<!-- Page 300 --><span class='pagenum'><a name="Page_300" id="Page_300">[Pg 300]</a></span> Tsung had no children, she nominated on
+the day of her death the two-year-old prince P'u Yi as emperor (reign
+name Hs&uuml;an-t'ung, 1909-1911).</p>
+
+<p>The fact that another child was to reign and a new regency to act for
+him, together with all the failures in home and foreign policy, brought
+further strength to the revolutionary party. The government believed
+that it could only maintain itself if it allowed Y&uuml;an Shih-k'ai, the
+commander of the modern troops, to come to power. The chief regent,
+however, worked against Y&uuml;an Shih-k'ai and dismissed him at the
+beginning of 1909; Y&uuml;an's supporters remained at their posts. Y&uuml;an
+himself now entered into relations with the revolutionaries, whose
+centre was Canton, and whose undisputed leader was now Sun Yat-sen. At
+this time Sun and his supporters had already made attempts at
+revolution, but without success, as his following was as yet too small.
+It consisted mainly of young intellectuals who had been educated in
+Europe and America; the great mass of the Chinese people remained
+unconvinced: the common people could not understand the new ideals, and
+the middle class did not entirely trust the young intellectuals.</p>
+
+<p>The state of China in 1911 was as lamentable as could be: the European
+states, Russia, America, and Japan regarded China as a field for their
+own plans, and in their calculations paid scarcely any attention to the
+Chinese government. Foreign capital was penetrating everywhere in the
+form of loans or railway and other enterprises. If it had not been for
+the mutual rivalries of the powers, China would long ago have been
+annexed by one of them. The government needed a great deal of money for
+the payment of the war indemnities, and for carrying out the few reforms
+at last decided on. In order to get money from the provinces, it had to
+permit the viceroys even more freedom than they already possessed. The
+result was a spectacle altogether resembling that of the end of the
+T'ang dynasty, about <span class="smcap">A.D.</span> 900: the various governors were
+trying to make themselves independent. In addition to this there was the
+revolutionary movement in the south.</p>
+
+<p>The government made some concession to the progressives, by providing
+the first beginnings of parliamentary rule. In 1910 a national assembly
+was convoked. It had a Lower House with representatives of the provinces
+(provincial diets were also set up), and an Upper House, in which sat
+representatives of the imperial house, the nobility, the gentry, and
+also the protectorates. The members of the Upper House were all
+nominated by the regent. It very soon proved that the members of the
+Lower House, mainly representatives of the provincial gentry, had a much
+more practical outlook than the routineers of Peking. Thus the Lower
+House grew <!-- Page 301 --><span class='pagenum'><a name="Page_301" id="Page_301">[Pg 301]</a></span>in importance, a fact which, of course, brought grist to the
+mills of the revolutionary movement.</p>
+
+<p>In 1910 the first risings directed actually against the regency took
+place, in the province of Hunan. In 1911 the "railway disturbances"
+broke out in western China as a reply of the railway shareholders in the
+province of Szechwan to the government decree of nationalization of all
+the railways. The modernist students, most of whom were sons of
+merchants who owned railway shares, supported the movement, and the
+government was unable to control them. At the same time a great
+anti-Manchu revolution began in Wuch'ang, one of the cities of which
+Wuhan, on the Yangtze, now consists. The revolution was the result of
+government action against a group of terrorists. Its leader was an
+officer named Li Y&uuml;an-hung. The Manchus soon had some success in this
+quarter, but the other provincial governors now rose in rapid
+succession, repudiated the Manchus, and declared themselves independent.
+Most of the Manchu garrisons in the provinces were murdered. The
+governors remained at the head of their troops in their provinces, and
+for the moment made common cause with the revolutionaries, from whom
+they meant to break free at the first opportunity. The Manchus
+themselves failed at first to realize the gravity of the revolutionary
+movement; they then fell into panic-stricken desperation. As a last
+resource, Y&uuml;an Shih-k'ai was recalled (November 10th, 1911) and made
+prime minister.</p>
+
+<p>Y&uuml;an's excellent troops were loyal to his person, and he could have made
+use of them in fighting on behalf of the dynasty. But a victory would
+have brought no personal gain to him; for his personal plans he
+considered that the anti-Manchu side provided the springboard he needed.
+The revolutionaries, for their part, had no choice but to win over Y&uuml;an
+Shih-k'ai for the sake of his troops, since they were not themselves
+strong enough to get rid of the Manchus, or even to wrest concessions
+from them, so long as the Manchus were defended by Y&uuml;an's army. Thus
+Y&uuml;an and the revolutionaries were forced into each other's arms. He then
+began negotiations with them, explaining to the imperial house that the
+dynasty could only be saved by concessions. The revolutionaries&mdash;apart
+from their desire to neutralize the prime minister and general, if not
+to bring him over to their side&mdash;were also readier than ever to
+negotiate, because they were short of money and unable to obtain loans
+from abroad, and because they could not themselves gain control of the
+individual governors. The negotiations, which had been carried on at
+Shanghai, were broken off on December 18th, 1911, because the
+revolutionaries demanded a republic, but the imperial house was only
+ready to grant a constitutional monarchy.<!-- Page 302 --><span class='pagenum'><a name="Page_302" id="Page_302">[Pg 302]</a></span></p>
+
+<p>Meanwhile the revolutionaries set up a provisional government at Nanking
+(December 29th, 1911), with Sun Yat-sen as president and Li Y&uuml;an-hung as
+vice-president. Y&uuml;an Shih-k'ai now declared to the imperial house that
+the monarchy could no longer be defended, as his troops were too
+unreliable, and he induced the Manchu government to issue an edict on
+February 12th, 1912, in which they renounced the throne of China and
+declared the Republic to be the constitutional form of state. The young
+emperor of the Hs&uuml;an-t'ung period, after the Japanese conquest of
+Manchuria in 1931, was installed there. He was, however, entirely
+without power during the melancholy years of his nominal rule, which
+lasted until 1945.</p>
+
+<p>In 1912 the Manchu dynasty came in reality to its end. On the news of
+the abdication of the imperial house, Sun Yat-sen resigned in Nanking,
+and recommended Y&uuml;an Shih-k'ai as president.</p>
+
+
+<p><!-- Page 303 --><span class='pagenum'><a name="Page_303" id="Page_303">[Pg 303]</a></span></p>
+
+<hr />
+<h2><a name="Chapter_Eleven" id="Chapter_Eleven"></a>Chapter Eleven</h2>
+
+<h2 class="ln2">THE REPUBLIC (1912-1948)</h2>
+
+
+<p class="sect">1 <i>Social and intellectual position</i></p>
+
+<p>In order to understand the period that now followed, let us first
+consider the social and intellectual position in China in the period
+between 1911 and 1927. The Manchu dynasty was no longer there, nor were
+there any remaining real supporters of the old dynasty. The gentry,
+however, still existed. Alongside it was a still numerically small
+middle class, with little political education or enlightenment.</p>
+
+<p>The political interests of these two groups were obviously in conflict.
+But after 1912 there had been big changes. The gentry were largely in a
+process of decomposition. They still possessed the basis of their
+existence, their land, but the land was falling in value, as there were
+now other opportunities of capital investment, such as export-import,
+shareholding in foreign enterprises, or industrial undertakings. It is
+important to note, however, that there was not much fluid capital at
+their disposal. In addition to this, cheaper rice and other foodstuffs
+were streaming from abroad into China, bringing the prices for Chinese
+foodstuffs down to the world market prices, another painful business
+blow to the gentry. Silk had to meet the competition of Japanese silk
+and especially of rayon; the Chinese silk was of very unequal quality
+and sold with difficulty. On the other hand, through the influence of
+the Western capitalistic system, which was penetrating more and more
+into China, land itself became "capital", an object of speculation for
+people with capital; its value no longer depended entirely on the rents
+it could yield but, under certain circumstances, on quite other
+things&mdash;the construction of railways or public buildings, and so on.
+These changes impoverished and demoralized the gentry, who in the course
+of the past century had grown fewer in number. The gentry were not in a
+position to take part fully in the capitalist manipulations, because
+they had never possessed much capital; <!-- Page 304 --><span class='pagenum'><a name="Page_304" id="Page_304">[Pg 304]</a></span>their wealth had lain entirely
+in their land, and the income from their rents was consumed quite
+unproductively in luxurious living.</p>
+
+<p>Moreover, the class solidarity of the gentry was dissolving. In the
+past, politics had been carried on by cliques of gentry families, with
+the emperor at their head as an unchangeable institution. This edifice
+had now lost its summit; the struggles between cliques still went on,
+but entirely without the control which the emperor's power had after all
+exercised, as a sort of regulative element in the play of forces among
+the gentry. The arena for this competition had been the court. After the
+destruction of the arena, the field of play lost its boundaries: the
+struggles between cliques no longer had a definite objective; the only
+objective left was the maintenance or securing of any and every hold on
+power. Under the new conditions cliques or individuals among the gentry
+could only ally themselves with the possessors of military power, the
+generals or governors. In this last stage the struggle between rival
+groups turned into a rivalry between individuals. Family ties began to
+weaken and other ties, such as between school mates, or origin from the
+same village or town, became more important than they had been before.
+For the securing of the aim in view any means were considered
+justifiable. Never was there such bribery and corruption among the
+officials as in the years after 1912. This period, until 1927, may
+therefore be described as a period of dissolution and destruction of the
+social system of the gentry.</p>
+
+<p>Over against this dying class of the gentry stood, broadly speaking, a
+tripartite opposition. To begin with, there was the new middle class,
+divided and without clear political ideas; anti-dynastic of course, but
+undecided especially as to the attitude it should adopt towards the
+peasants who, to this day, form over 80 per cent of the Chinese
+population. The middle class consisted mainly of traders and bankers,
+whose aim was the introduction of Western capitalism in association with
+foreign powers. There were also young students who were often the sons
+of old gentry families and had been sent abroad for study with grants
+given them by their friends and relatives in the government; or sons of
+businessmen sent away by their fathers. These students not always
+accepted the ideas of their fathers; they were influenced by the
+ideologies of the West, Marxist or non-Marxist, and often created clubs
+or groups in the University cities of Europe or the United States. Such
+groups of people who had studied together or passed the exams together,
+had already begun to play a role in politics in the nineteenth century.
+Now, the influence of such organizations of usually informal character
+increased. Against the returned students who often had difficulties in
+adjustment, stood the students at<!-- Page 305 --><span class='pagenum'><a name="Page_305" id="Page_305">[Pg 305]</a></span> Chinese Universities, especially the
+National University in Peking (Peita). They represented people of the
+same origin, but of the lower strata of the gentry or of business; they
+were more nationalistic and politically active and often less influenced
+by Western ideologies.</p>
+
+<p>In the second place, there was a relatively very small genuine
+proletariat, the product of the first activities of big capitalists in
+China, found mainly in Shanghai. Thirdly and finally, there was a
+gigantic peasantry, uninterested in politics and uneducated, but ready
+to give unthinking allegiance to anyone who promised to make an end of
+the intolerable conditions in the matter of rents and taxes, conditions
+that were growing steadily worse with the decay of the gentry. These
+peasants were thinking of popular risings on the pattern of all the
+risings in the history of China&mdash;attacks on the towns and the killing of
+the hated landowners, officials, and money-lenders, that is to say of
+the gentry.</p>
+
+<p>Such was the picture of the middle class and those who were ready to
+support it, a group with widely divergent interests, held together only
+by its opposition to the gentry system and the monarchy. It could not
+but be extremely difficult, if not impossible, to achieve political
+success with such a group. Sun Yat-sen (1866-1925), the "Father of the
+Republic", accordingly laid down three stages of progress in his many
+works, of which the best-known are <i>San-min chu-i</i>, ("The Three
+Principles of the People"), and <i>Chien-kuo fang-l&uuml;eh</i> ("Plans for the
+Building up of the Realm"). The three phases of development through
+which republican China was to pass were: the phase of struggle against
+the old system, the phase of educative rule, and the phase of truly
+democratic government. The phase of educative rule was to be a sort of
+authoritarian system with a democratic content, under which the people
+should be familiarized with democracy and enabled to grow politically
+ripe for true democracy.</p>
+
+<p>Difficult as was the internal situation from the social point of view,
+it was no less difficult in economic respects. China had recognized that
+she must at least adopt Western technical and industrial progress in
+order to continue to exist as an independent state. But the building up
+of industry demanded large sums of money. The existing Chinese banks
+were quite incapable of providing the capital needed; but the acceptance
+of capital from abroad led at once, every time, to further political
+capitulations. The gentry, who had no cash worth mention, were violently
+opposed to the capitalization of their properties, and were in favour of
+continuing as far as possible to work the soil in the old style. Quite
+apart from all this, all over the country there were generals <!-- Page 306 --><span class='pagenum'><a name="Page_306" id="Page_306">[Pg 306]</a></span>who had
+come from the ranks of the gentry, and who collected the whole of the
+financial resources of their region for the support of their private
+armies. Investors had little confidence in the republican government so
+long as they could not tell whether the government would decide in
+favour of its right or of its left wing.</p>
+
+<p>No less complicated was the intellectual situation at this time.
+Confucianism, and the whole of the old culture and morality bound up
+with it, was unacceptable to the middle-class element. In the first
+place, Confucianism rejected the principle, required at least in theory
+by the middle class, of the equality of all people; secondly, the
+Confucian great-family system was irreconcilable with middle-class
+individualism, quite apart from the fact that the Confucian form of
+state could only be a monarchy. Every attempt to bolster up Confucianism
+in practice or theory was bound to fail and did fail. Even the gentry
+could scarcely offer any real defence of the Confucian system any
+longer. With Confucianism went the moral standards especially of the
+upper classes of society. Taoism was out of the question as a
+substitute, because of its anarchistic and egocentric character.
+Consequently, in these years, part of the gentry turned to Buddhism and
+part to Christianity. Some of the middle class who had come under
+European influence also turned to Christianity, regarding it as a part
+of the European civilization they had to adopt. Others adhered to modern
+philosophic systems such as pragmatism and positivism. Marxist doctrines
+spread rapidly.</p>
+
+<p>Education was secularized. Great efforts were made to develop modern
+schools, though the work of development was continually hindered by the
+incessant political unrest. Only at the universities, which became foci
+of republican and progressive opinion, was any positive achievement
+possible. Many students and professors were active in politics,
+organizing demonstrations and strikes. They pursued a strong national
+policy, often also socialistic. At the same time real scientific work
+was done; many young scholars of outstanding ability were trained at the
+Chinese universities, often better than the students who went abroad.
+There is a permanent disagreement between these two groups of young men
+with a modern education: the students who return from abroad claim to be
+better educated, but in reality they often have only a very superficial
+knowledge of things modern and none at all of China, her history, and
+her special circumstances. The students of the Chinese universities have
+been much better instructed in all the things that concern China, and
+most of them are in no way behind the returned students in the modern
+sciences. They are therefore a much more serviceable element.<!-- Page 307 --><span class='pagenum'><a name="Page_307" id="Page_307">[Pg 307]</a></span></p>
+
+<p>The intellectual modernization of China goes under the name of the
+"Movement of May Fourth", because on May 4th, 1919, students of the
+National University in Peking demonstrated against the government and
+their pro-Japanese adherents. When the police attacked the students and
+jailed some, more demonstrations and student strikes and finally a
+general boycott of Japanese imports were the consequence. In these
+protest actions, professors such as Ts'ai Y&uuml;an-p'ei, later president of
+the Academia Sinica (died 1940), took an active part. The forces which
+had now been mobilized, rallied around the journal "New Youth" (<i>Hsin
+Ch'ing-nien</i>), created in 1915 by Ch'en Tu-hsiu. The journal was
+progressive, against the monarchy, Confucius, and the old traditions.
+Ch'en Tu-hsiu who put himself strongly behind the students, was more
+radical than other contributors but at first favoured Western democracy
+and Western science; he was influenced mainly by John Dewey who was
+guest professor in Peking in 1919-20. Similarly tending towards
+liberalism in politics and Dewey's ideas in the field of philosophy were
+others, mainly Hu Shih. Finally, some reformers criticized
+conservativism purely on the basis of Chinese thought. Hu Shih (born
+1892) gained greatest acclaim by his proposal for a "literary
+revolution", published in the "New Youth" in 1917. This revolution was
+the logically necessary application of the political revolution to the
+field of education. The new "vernacular" took place of the old
+"classical" literary language. The language of the classical works is so
+remote from the language of daily life that no uneducated person can
+understand it. A command of it requires a full knowledge of all the
+ancient literature, entailing decades of study. The gentry had
+elaborated this style of speech for themselves and their dependants; it
+was their monopoly; nobody who did not belong to the gentry and had not
+attended its schools could take part in literary or in administrative
+life. The literary revolution introduced the language of daily life, the
+language of the people, into literature: newspapers, novels, scientific
+treatises, translations, appeared in the vernacular, and could thus be
+understood by anyone who could read and write, even if he had no
+Confucianist education.</p>
+
+<p>It may be said that the literary revolution has achieved its main
+objects. As a consequence of it, a great quantity of new literature has
+been published. Not only is every important new book that appears in the
+West published in translation within a few months, but modern novels and
+short stories and poems have been written, some of them of high literary
+value.</p>
+
+<p>At the same time as this revolution there took place another fundamental
+change in the language. It was necessary to take over <!-- Page 308 --><span class='pagenum'><a name="Page_308" id="Page_308">[Pg 308]</a></span>a vast number of
+new scientific and technical terms. As Chinese, owing to the character
+of its script, is unable to write foreign words accurately and can do no
+more than provide a rather rough paraphrase, the practice was started of
+expressing new ideas by newly formed native words. Thus modern Chinese
+has very few foreign words, and yet it has all the new ideas. For
+example, a telegram is a "lightning-letter"; a wireless telegram is a
+"not-have-wire-lightning-communication"; a fountain-pen is a
+"self-flow-ink-water-brush"; a typewriter is a "strike-letter-machine".
+Most of these neologisms are similar in the modern languages of China
+and Japan.</p>
+
+<p>There had been several proposals in recent decades to do away with the
+Chinese characters and to introduce an alphabet in their place. They
+have all proved to be unsatisfactory so far, because the character of
+the Chinese language, as it is at this moment, is unsuited to an
+alphabetical script. They would also destroy China's cultural unity:
+there are many dialects in China that differ so greatly from each other
+that, for instance, a man from Canton cannot understand a man from
+Shanghai. If Chinese were written with letters, the result would be a
+Canton literature and another literature confined to Shanghai, and China
+would break up into a number of areas with different languages. The old
+Chinese writing is independent of pronunciation. A Cantonese and a
+Pekinger can read each other's newspapers without difficulty. They
+pronounce the words quite differently, but the meaning is unaltered.
+Even a Japanese can understand a Chinese newspaper without special study
+of Chinese, and a Chinese with a little preparation can read a Japanese
+newspaper without understanding a single word of Japanese.</p>
+
+<p>The aim of modern education in China is to work towards the
+establishment of "High Chinese", the former official (Mandarin)
+language, throughout the country, and to set limits to the use of the
+various dialects. Once this has been done, it will be possible to
+proceed to a radical reform of the script without running the risk of
+political separatist movements, which are always liable to spring up,
+and also without leading, through the adoption of various dialects as
+the basis of separate literatures, to the break-up of China's cultural
+unity. In the last years, the unification of the spoken language has
+made great progress. Yet, alphabetic script is used only in cases in
+which illiterate adults have to be enabled in a short time to read very
+simple informations. More attention is given to a simplification of the
+script as it is; Japanese had started this some forty years earlier.
+Unfortunately, the new Chinese abbreviated forms of characters are not
+always identical with long-established<!-- Page 309 --><span class='pagenum'><a name="Page_309" id="Page_309">[Pg 309]</a></span> Japanese forms, and are not
+developed in such a systematic form as would make learning of Chinese
+characters easier.</p>
+
+
+<p class="sect">2 <i>First period of the Republic: The warlords</i></p>
+
+<p>The situation of the Republic after its foundation was far from hopeful.
+Republican feeling existed only among the very small groups of students
+who had modern education, and a few traders, in other words, among the
+"middle class". And even in the revolutionary party to which these
+groups belonged there were the most various conceptions of the form of
+republican state to be aimed at. The left wing of the party, mainly
+intellectuals and manual workers, had in view more or less vague
+socialistic institutions; the liberals, for instance the traders,
+thought of a liberal democracy, more or less on the American pattern;
+and the nationalists merely wanted the removal of the alien Manchu rule.
+The three groups had come together for the practical reason that only so
+could they get rid of the dynasty. They gave unreserved allegiance to
+Sun Yat-sen as their leader. He succeeded in mobilizing the enthusiasm
+of continually widening circles for action, not only by the integrity of
+his aims but also because he was able to present the new socialistic
+ideology in an alluring form. The anti-republican gentry, however, whose
+power was not yet entirely broken, took a stand against the party. The
+generals who had gone over to the republicans had not the slightest
+intention of founding a republic, but only wanted to get rid of the rule
+of the Manchus and to step into their place. This was true also of Y&uuml;an
+Shih-k'ai, who in his heart was entirely on the side of the gentry,
+although the European press especially had always energetically defended
+him. In character and capacity he stood far above the other generals,
+but he was no republican.</p>
+
+<p>Thus the first period of the Republic, until 1927, was marked by
+incessant attempts by individual generals to make themselves
+independent. The Government could not depend on its soldiers, and so was
+impotent. The first risings of military units began at the outset of
+1912. The governors and generals who wanted to make themselves
+independent sabotaged every decree of the central government; especially
+they sent it no money from the provinces and also refused to give their
+assent to foreign loans. The province of Canton, the actual birthplace
+of the republican movement and the focus of radicalism, declared itself
+in 1912 an independent republic.</p>
+
+<p>Within the Peking government matters soon came to a climax.<!-- Page 310 --><span class='pagenum'><a name="Page_310" id="Page_310">[Pg 310]</a></span> Y&uuml;an
+Shih-k'ai and his supporters represented the conservative view, with the
+unexpressed but obvious aim of setting up a new imperial house and
+continuing the old gentry system. Most of the members of the parliament
+came, however, from the middle class and were opposed to any reaction of
+this sort. One of their leaders was murdered, and the blame was thrown
+upon Y&uuml;an Shih-k'ai; there then came, in the middle of 1912, a new
+revolution, in which the radicals made themselves independent and tried
+to gain control of South China. But Y&uuml;an Shih-k'ai commanded better
+troops and won the day. At the end of October 1912 he was elected,
+against the opposition, as president of China, and the new state was
+recognized by foreign countries.</p>
+
+<p>China's internal difficulties reacted on the border states, in which the
+European powers were keenly interested. The powers considered that the
+time had come to begin the definitive partition of China. Thus there
+were long negotiations and also hostilities between China and Tibet,
+which was supported by Great Britain. The British demanded the complete
+separation of Tibet from China, but the Chinese rejected this (1912);
+the rejection was supported by a boycott of British goods. In the end
+the Tibet question was left undecided. Tibet remained until recent years
+a Chinese dependency with a good deal of internal freedom. The Second
+World War and the Chinese retreat into the interior brought many Chinese
+settlers into Eastern Tibet which was then separated from Tibet proper
+and made a Chinese province (Hsi-k'ang) in which the native Khamba will
+soon be a minority. The communist r&eacute;gime soon after its establishment
+conquered Tibet (1950) and has tried to change the character of its
+society and its system of government which lead to the unsuccessful
+attempt of the Tibetans to throw off Chinese rule (1959) and the flight
+of the Dalai Lama to India. The construction of highways, air and
+missile bases and military occupation have thus tied Tibet closer to
+China than ever since early Manchu times.</p>
+
+<p>In Outer Mongolia Russian interests predominated. In 1911 there were
+diplomatic incidents in connection with the Mongolian question. At the
+end of 1911 the Hutuktu of Urga declared himself independent, and the
+Chinese were expelled from the country. A secret treaty was concluded in
+1912 with Russia, under which Russia recognized the independence of
+Outer Mongolia, but was accorded an important part as adviser and helper
+in the development of the country. In 1913 a Russo-Chinese treaty was
+concluded, under which the autonomy of Outer Mongolia was recognized,
+but Mongolia became a part of the Chinese realm. After the Russian
+revolution had begun, revolution was carried <!-- Page 311 --><span class='pagenum'><a name="Page_311" id="Page_311">[Pg 311]</a></span>also into Mongolia. The
+country suffered all the horrors of the struggles between White Russians
+(General Ungern-Sternberg) and the Reds; there were also Chinese
+attempts at intervention, though without success, until in the end
+Mongolia became a Soviet Republic. As such she is closely associated
+with Soviet Russia. China, however, did not quickly recognize Mongolia's
+independence, and in his work <i>China's Destiny</i> (1944) Chiang Kai-shek
+insisted that China's aim remained the recovery of the frontiers of
+1840, which means among other things the recovery of Outer Mongolia. In
+spite of this, after the Second World War Chiang Kai-shek had to
+renounce <i>de jure</i> all rights in Outer Mongolia. Inner Mongolia was
+always united to China much more closely; only for a time during the war
+with Japan did the Japanese maintain there a puppet government. The
+disappearance of this government went almost unnoticed.</p>
+
+<p>At the time when Russian penetration into Mongolia began, Japan had
+entered upon a similar course in Manchuria, which she regarded as her
+"sphere of influence". On the outbreak of the first world war Japan
+occupied the former German-leased territory of Tsingtao, at the
+extremity of the province of Shantung, and from that point she occupied
+the railways of the province. Her plan was to make the whole province a
+protectorate; Shantung is rich in coal and especially in metals. Japan's
+plans were revealed in the notorious "Twenty-one Demands" (1915).
+Against the furious opposition especially of the students of Peking,
+Y&uuml;an Shih-k'ai's government accepted the greater part of these demands.
+In negotiations with Great Britain, in which Japan took advantage of the
+British commitments in Europe, Japan had to be conceded the predominant
+position in the Far East.</p>
+
+<p>Meanwhile Y&uuml;an Shih-k'ai had made all preparations for turning the
+Republic once more into an empire, in which he would be emperor; the
+empire was to be based once more on the gentry group. In 1914 he secured
+an amendment of the Constitution under which the governing power was to
+be entirely in the hands of the president; at the end of 1914 he secured
+his appointment as president for life, and at the end of 1915 he induced
+the parliament to resolve that he should become emperor.</p>
+
+<p>This naturally aroused the resentment of the republicans, but it also
+annoyed the generals belonging to the gentry, who had had the same
+ambition. Thus there were disturbances, especially in the south, where
+Sun Yat-sen with his followers agitated for a democratic republic. The
+foreign powers recognized that a divided China would be much easier to
+penetrate and annex than a united China, and accordingly opposed Y&uuml;an
+Shih-k'ai. Before he could <!-- Page 312 --><span class='pagenum'><a name="Page_312" id="Page_312">[Pg 312]</a></span>ascend the throne, he died suddenly&mdash;and
+this terminated the first attempt to re-establish monarchy.</p>
+
+<p>Y&uuml;an was succeeded as president by Li Y&uuml;an-hung. Meanwhile five
+provinces had declared themselves independent. Foreign pressure on China
+steadily grew. She was forced to declare war on Germany, and though this
+made no practical difference to the war, it enabled the European powers
+to penetrate further into China. Difficulties grew to such an extent in
+1917 that a dictatorship was set up and soon after came an interlude,
+the recall of the Manchus and the reinstatement of the deposed emperor
+(July 1st-8th, 1917).</p>
+
+<p>This led to various risings of generals, each aiming simply at the
+satisfaction of his thirst for personal power. Ultimately the victorious
+group of generals, headed by Tuan Ch'i-jui, secured the election of F&ecirc;ng
+Kuo-chang in place of the retiring president. F&ecirc;ng was succeeded at the
+end of 1918 by Hs&uuml; Shih-ch'ang, who held office until 1922. Hs&uuml;, as a
+former ward of the emperor, was a typical representative of the gentry,
+and was opposed to all republican reforms.</p>
+
+<p>The south held aloof from these northern governments. In Canton an
+opposition government was set up, formed mainly of followers of Sun
+Yat-sen; the Peking government was unable to remove the Canton
+government. But the Peking government and its president scarcely counted
+any longer even in the north. All that counted were the generals, the
+most prominent of whom were: (1) Chang Tso-lin, who had control of
+Manchuria and had made certain terms with Japan, but who was ultimately
+murdered by the Japanese (1928); (2) Wu P'ei-fu, who held North China;
+(3) the so-called "Christian general", F&ecirc;ng Y&uuml;-hsiang, and (4) Ts'ao
+K'un, who became president in 1923.</p>
+
+<p>At the end of the first world war Japan had a hold over China amounting
+almost to military control of the country. China did not sign the Treaty
+of Versailles, because she considered that she had been duped by Japan,
+since Japan had driven the Germans out of China but had not returned the
+liberated territory to the Chinese. In 1921 peace was concluded with
+Germany, the German privileges being abolished. The same applied to
+Austria. Russia, immediately after the setting up of the Soviet
+government, had renounced all her rights under the Capitulations. This
+was the first step in the gradual rescinding of the Capitulations; the
+last of them went only in 1943, as a consequence of the difficult
+situation of the Europeans and Americans in the Pacific produced by the
+Second World War.</p>
+
+<p>At the end of the first world war the foreign powers revised their
+attitude towards China. The idea of territorial partitioning of the
+country was replaced by an attempt at financial exploitation; <!-- Page 313 --><span class='pagenum'><a name="Page_313" id="Page_313">[Pg 313]</a></span>military
+friction between the Western powers and Japan was in this way to be
+minimized. Financial control was to be exercised by an international
+banking consortium (1920). It was necessary for political reasons that
+this committee should be joined by Japan. After her Twenty-one Demands,
+however, Japan was hated throughout China. During the world war she had
+given loans to the various governments and rebels, and in this way had
+secured one privilege after another. Consequently China declined the
+banking consortium. She tried to secure capital from her own resources;
+but in the existing political situation and the acute economic
+depression internal loans had no success.</p>
+
+<p>In an agreement between the United States and Japan in 1917, the United
+States, in consequence of the war, had had to give their assent to
+special rights for Japan in China. After the war the international
+conference at Washington (November 1921-February 1922) tried to set
+narrower limits to Japan's influence over China, and also to
+re-determine the relative strength in the Pacific of the four great
+powers (America, Britain, France, Japan). After the failure of the
+banking plan this was the last means of preventing military conflicts
+between the powers in the Far East. This brought some relief to China,
+as Japan had to yield for the time to the pressure of the western
+powers.</p>
+
+<p>The years that followed until 1927 were those of the complete collapse
+of the political power of the Peking government&mdash;years of entire
+dissolution. In the south Sun Yat-sen had been elected generalissimo in
+1921. In 1924 he was re-elected with a mandate for a campaign against
+the north. In 1924 there also met in Canton the first general congress
+of the Kuomintang ("People's Party"). The Kuomintang (in 1929 it had
+653,000 members, or roughly 0.15 per cent of the population) is the
+continuation of the Komingtang ("Revolutionary Party") founded by Sun
+Yat-sen, which as a middle-class party had worked for the removal of the
+dynasty. The new Kuomintang was more socialistic, as is shown by its
+admission of Communists and the stress laid upon land reform.</p>
+
+<p>At the end of 1924 Sun Yat-sen with some of his followers went to
+Peking, to discuss the possibility of a reunion between north and south
+on the basis of the programme of the People's Party. There, however, he
+died at the beginning of 1925, before any definite results had been
+attained; there was no prospect of achieving anything by the
+negotiations, and the south broke them off. But the death of Sun Yat-sen
+had been followed after a time by tension within the party between its
+right and left wings. The southern government had invited a number of
+Russian advisers in 1923 to assist in building up the administration,
+civil and military, and on <!-- Page 314 --><span class='pagenum'><a name="Page_314" id="Page_314">[Pg 314]</a></span>their advice the system of government had
+been reorganized on lines similar to those of the soviet and commissar
+system. This change had been advocated by an old friend of Sun Yat-sen,
+Chiang Kai-shek, who later married Sun's sister-in-law. Chiang Kai-shek,
+who was born in 1886, was the head of the military academy at Whampoa,
+near Canton, where Russian instructors were at work. The new system was
+approved by Sun Yat-sen's successor, Hu Han-min (who died in 1936), in
+his capacity of party leader. It was opposed by the elements of the
+right, who at first had little influence. Chiang Kai-shek soon became
+one of the principal leaders of the south, as he had command of the
+efficient troops of Canton, who had been organized by the Russians.</p>
+
+<p>The People's Party of the south and its governments, at that time fairly
+radical in politics, were disliked by the foreign powers; only Japan
+supported them for a time, owing to the anti-British feeling of the
+South Chinese and in order to further her purpose of maintaining
+disunion in China. The first serious collision with the outer world came
+on May 30th, 1925, when British soldiers shot at a crowd demonstrating
+in Shanghai. This produced a widespread boycott of British goods in
+Canton and in British Hong Kong, inflicting a great loss on British
+trade with China and bringing considerable advantages in consequence to
+Japanese trade and shipping: from the time of this boycott began the
+Japanese grip on Chinese coastwise shipping.</p>
+
+<p>The second party congress was held in Canton in 1926. Chiang Kai-shek
+already played a prominent part. The People's Party, under Chiang
+Kai-shek and with the support of the communists, began the great
+campaign against the north. At first it had good success: the various
+provincial governors and generals and the Peking government were played
+off against each other, and in a short time one leader after another was
+defeated. The Yangtze was reached, and in 1926 the southern government
+moved to Hankow. All over the southern provinces there now came a
+genuine rising of the masses of the people, mainly the result of
+communist propaganda and of the government's promise to give land to the
+peasants, to set limits to the big estates, and to bring order into the
+taxation. In spite of its communist element, at the beginning of 1927
+the southern government was essentially one of the middle class and the
+peasantry, with a socialistic tendency.</p>
+
+
+<p class="sect">3 <i>Second period of the Republic: Nationalist China</i></p>
+
+<p>With the continued success of the northern campaign, and with Chiang
+Kai-shek's southern army at the gates of Shanghai (March<!-- Page 315 --><span class='pagenum'><a name="Page_315" id="Page_315">[Pg 315]</a></span> 21st, 1927), a
+decision had to be taken. Should the left wing be allowed to gain the
+upper hand, and the great capitalists of Shanghai be expropriated as it
+was proposed to expropriate the gentry? Or should the right wing
+prevail, an alliance be concluded with the capitalists, and limits be
+set to the expropriation of landed estates? Chiang Kai-shek, through his
+marriage with Sun Yat-sen's wife's sister, had become allied with one of
+the greatest banking families. In the days of the siege of Shanghai
+Chiang, together with his closest colleagues (with the exception of Hu
+Han-min and Wang Chying-wei, a leader who will be mentioned later),
+decided on the second alternative. Shanghai came into his hands without
+a struggle, and the capital of the Shanghai financiers, and soon foreign
+capital as well, was placed at his disposal, so that he was able to pay
+his troops and finance his administration. At the same time the Russian
+advisers were dismissed or executed.</p>
+
+<p>The decision arrived at by Chiang Kai-shek and his friends did not
+remain unopposed, and he parted from the "left group" (1927) which
+formed a rival government in Hankow, while Chiang Kai-shek made Nanking
+the seat of his government (April 1927). In that year Chiang not only
+concluded peace with the financiers and industrialists, but also a sort
+of "armistice" with the landowning gentry. "Land reform" still stood on
+the party programme, but nothing was done, and in this way the
+confidence and cooperation of large sections of the gentry was secured.
+The choice of Nanking as the new capital pleased both the industrialists
+and the agrarians: the great bulk of China's young industries lay in the
+Yangtze region, and that region was still the principal one for
+agricultural produce; the landowners of the region were also in a better
+position with the great market of the capital in their neighbourhood.</p>
+
+<p>Meanwhile the Nanking government had succeeded in carrying its dealings
+with the northern generals to a point at which they were largely
+out-man&#339;uvred and became ready for some sort of collaboration (1928).
+There were now four supreme commanders&mdash;Chiang Kai-shek, F&ecirc;ng Y&uuml;-hsiang
+(the "Christian general"), Yen Hsi-shan, the governor of Shansi, and the
+Muslim Li Chung-yen. Naturally this was not a permanent solution; not
+only did Chiang Kai-shek's three rivals try to free themselves from his
+ever-growing influence and to gain full power themselves, but various
+groups under military leadership rose again and again, even in the home
+of the Republic, Canton itself. These struggles, which were carried on
+more by means of diplomacy and bribery than at arms, lasted until 1936.
+Chiang Kai-shek, as by far the most skilful player in this game, and at
+the same time the man who had the <!-- Page 316 --><span class='pagenum'><a name="Page_316" id="Page_316">[Pg 316]</a></span>support of the foreign governments
+and of the financiers of Shanghai, gained the victory. China became
+unified under his dictatorship.</p>
+
+<p>As early as 1928, when there seemed a possibility of uniting China, with
+the exception of Manchuria, which was dominated by Japan, and when the
+European powers began more and more to support Chiang Kai-shek, Japan
+felt that her interests in North China were threatened, and landed
+troops in Shantung. There was hard fighting on May 3rd, 1928. General
+Chang Tso-lin, in Manchuria, who was allied to Japan, endeavoured to
+secure a cessation of hostilities, but he fell victim to a Japanese
+assassin; his place was taken by his son, Chang Hs&uuml;eh-liang, who pursued
+an anti-Japanese policy. The Japanese recognized, however, that in view
+of the international situation the time had not yet come for
+intervention in North China. In 1929 they withdrew their troops and
+concentrated instead on their plans for Manchuria.</p>
+
+<p>Until the time of the "Manchurian incident" (1931), the Nanking
+government steadily grew in strength. It gained the confidence of the
+western powers, who proposed to make use of it in opposition to Japan's
+policy of expansion in the Pacific sphere. On the strength of this
+favourable situation in its foreign relations, the Nanking government
+succeeded in getting rid of one after another of the Capitulations.
+Above all, the administration of the "Maritime Customs", that is to say
+of the collection of duties on imports and exports, was brought under
+the control of the Chinese government: until then it had been under
+foreign control. Now that China could act with more freedom in the
+matter of tariffs, the government had greater financial resources, and
+through this and other measures it became financially more independent
+of the provinces. It succeeded in building up a small but modern army,
+loyal to the government and superior to the still existing provincial
+armies. This army gained its military experience in skirmishes with the
+Communists and the remaining generals.</p>
+
+<p>It is true that when in 1931 the Japanese occupied Manchuria, Nanking
+was helpless, since Manchuria was only loosely associated with Nanking,
+and its governor, Chang Hs&uuml;eh-liang, had tried to remain independent of
+it. Thus Manchuria was lost almost without a blow. On the other hand,
+the fighting with Japan that broke out soon afterwards in Shanghai
+brought credit to the young Nanking army, though owing to its numerical
+inferiority it was unsuccessful. China protested to the League of
+Nations against its loss of Manchuria. The League sent a commission (the
+Lytton Commission), which condemned Japan's action, but nothing further
+happened, and China indignantly broke away from her association with
+the<!-- Page 317 --><span class='pagenum'><a name="Page_317" id="Page_317">[Pg 317]</a></span> Western powers (1932-1933). In view of the tense European situation
+(the beginning of the Hitler era in Germany, and the Italian plans of
+expansion), the Western powers did not want to fight Japan on China's
+behalf, and without that nothing more could be done. They pursued,
+indeed, a policy of playing off Japan against China, in order to keep
+those two powers occupied with each other, and so to divert Japan from
+Indo-China and the Pacific.</p>
+
+<p>China had thus to be prepared for being involved one day in a great war
+with Japan. Chiang Kai-shek wanted to postpone war as long as possible.
+He wanted time to establish his power more thoroughly within the
+country, and to strengthen his army. In regard to external relations,
+the great powers would have to decide their attitude sooner or later.
+America could not be expected to take up a clear attitude: she was for
+peace and commerce, and she made greater profits out of her relations
+with Japan than with China; she sent supplies to both (until 1941). On
+the other hand, Britain and France were more and more turning away from
+Japan, and Russo-Japanese relations were at all times tense. Japan tried
+to emerge from her isolation by joining the "axis powers", Germany and
+Italy (1936); but it was still doubtful whether the Western powers would
+proceed with Russia, and therefore against Japan, or with the Axis, and
+therefore in alliance with Japan.</p>
+
+<p>Japan for her part considered that if she was to raise the standard of
+living of her large population and to remain a world power, she must
+bring into being her "Greater East Asia", so as to have the needed raw
+material sources and export markets in the event of a collision with the
+Western powers; in addition to this, she needed a security girdle as
+extensive as possible in case of a conflict with Russia. In any case,
+"Greater East Asia" must be secured before the European conflict should
+break out.</p>
+
+
+<p class="sect">4 <i>The Sino-Japanese war</i> (1937-1945)</p>
+
+<p>Accordingly, from 1933 onward Japan followed up her conquest of
+Manchuria by bringing her influence to bear in Inner Mongolia and in
+North China. She succeeded first, by means of an immense system of
+smuggling, currency manipulation, and propaganda, in bringing a number
+of Mongol princes over to her side, and then (at the end of 1935) in
+establishing a semi-dependent government in North China. Chiang Kai-shek
+took no action.</p>
+
+<p>The signal for the outbreak of war was an "incident" by the Marco Polo
+Bridge, south of Peking (July 7th, 1937). The Japanese government
+profited by a quite unimportant incident, undoubtedly provoked by the
+Japanese, in order to extend its dominion a little <!-- Page 318 --><span class='pagenum'><a name="Page_318" id="Page_318">[Pg 318]</a></span>further. China still
+hesitated; there were negotiations. Japan brought up reinforcements and
+put forward demands which China could not be expected to be ready to
+fulfil. Japan then occupied Peking and Tientsin and wide regions between
+them and south of them. The Chinese soldiers stationed there withdrew
+almost without striking a blow, but formed up again and began to offer
+resistance. In order to facilitate the planned occupation of North
+China, including the province of Shantung, Japan decided on a
+diversionary campaign against Shanghai. The Nanking government sent its
+best troops to the new front, and held it for nearly three months
+against superior forces; but meanwhile the Japanese steadily advanced in
+North China. On November 9th Nanking fell into their hands. By the
+beginning of January 1938, the province of Shantung had also been
+conquered.</p>
+
+<p>Chiang Kai-shek and his government fled to Ch'ung-k'ing (Chungking), the
+most important commercial and financial centre of the interior after
+Hankow, which was soon threatened by the Japanese fleet. By means of a
+number of landings the Japanese soon conquered the whole coast of China,
+so cutting off all supplies to the country; against hard fighting in
+some places they pushed inland along the railways and conquered the
+whole eastern half of China, the richest and most highly developed part
+of the country. Chiang Kai-shek had the support only of the
+agriculturally rich province of Szechwan, and of the scarcely developed
+provinces surrounding it. Here there was as yet no industry. Everything
+in the way of machinery and supplies that could be transported from the
+hastily dismantled factories was carried westwards. Students and
+professors went west with all the contents of their universities, and
+worked on in small villages under very difficult conditions&mdash;one of the
+most memorable achievements of this war for China. But all this was by
+no means enough for waging a defensive war against Japan. Even the
+famous Burma Road could not save China.</p>
+
+<p>By 1940-1941 Japan had attained her war aim: China was no longer a
+dangerous adversary. She was still able to engage in small-scale
+fighting, but could no longer secure any decisive result. Puppet
+governments were set up in Peking, Canton, and Nanking, and the Japanese
+waited for these governments gradually to induce supporters of Chiang
+Kai-shek to come over to their side. Most was expected of Wang
+Ching-wei, who headed the new Nanking government. He was one of the
+oldest followers of Sun Yat-sen, and was regarded as a democrat. In
+1925, after Sun Yat-sen's death, he had been for a time the head of the
+Nanking government, and for a short time in 1930 he had led a government
+in Peking that was opposed to Chiang Kai-shek's dictatorship. Beyond any
+question<!-- Page 319 --><span class='pagenum'><a name="Page_319" id="Page_319">[Pg 319]</a></span> Wang still had many followers, including some in the highest
+circles at Chungking, men of eastern China who considered that
+collaboration with Japan, especially in the economic field, offered good
+prospects. Japan paid lip service to this policy: there was talk of
+sister peoples, which could help each other and supply each other's
+needs. There was propaganda for a new "Greater East Asian" philosophy,
+<i>Wang-tao</i>, in accordance with which all the peoples of the East could
+live together in peace under a thinly disguised dictatorship. What
+actually happened was that everywhere Japanese capitalists established
+themselves in the former Chinese industrial plants, bought up land and
+securities, and exploited the country for the conduct of their war.</p>
+
+<p>After the great initial successes of Hitlerite Germany in 1939-1941,
+Japan became convinced that the time had come for a decisive blow
+against the positions of the Western European powers and the United
+States in the Far East. Lightning blows were struck at Hong Kong and
+Singapore, at French Indo-China, and at the Netherlands East Indies. The
+American navy seemed to have been eliminated by the attack on Pearl
+Harbour, and one group of islands after another fell into the hands of
+the Japanese. Japan was at the gates of India and Australia. Russia was
+carrying on a desperate defensive struggle against the Axis, and there
+was no reason to expect any intervention from her in the Far East.
+Greater East Asia seemed assured against every danger.</p>
+
+<p>The situation of Chiang Kai-shek's Chungking government seemed hopeless.
+Even the Burma Road was cut, and supplies could only be sent by air;
+there was shortage of everything. With immense energy small industries
+were begun all over western China, often organized as co-operatives;
+roads and railways were built&mdash;but with such resources would it ever be
+possible to throw the Japanese into the sea? Everything depended on
+holding out until a new page was turned in Europe. Infinitely slow
+seemed the progress of the first gleams of hope&mdash;the steady front in
+Burma, the reconquest of the first groups of inlands; the first bomb
+attacks on Japan itself. Even in May, 1945, with the war ended in
+Europe, there seemed no sign of its ending in the Far East. Then came
+the atom bomb, bringing the collapse of Japan; the Japanese armies
+receded from China, and suddenly China was free, mistress once more in
+her own country as she had not been for decades.</p>
+
+
+<p><!-- Page 320 --><span class='pagenum'><a name="Page_320" id="Page_320">[Pg 320]</a></span></p>
+
+<hr />
+<h2><a name="Chapter_Twelve" id="Chapter_Twelve"></a>Chapter Twelve</h2>
+
+<h2 class="ln2">PRESENT-DAY CHINA</h2>
+
+
+<p class="sect">1 <i>The growth of communism</i></p>
+
+<p>In order to understand today's China, we have to go back in time to
+report events which were cut short or left out of our earlier discussion
+in order to present them in the context of this chapter.</p>
+
+<p>Although socialism and communism had been known in China long ago, this
+line of development of Western philosophy had interested Chinese
+intellectuals much less than liberalistic, democratic Western ideas. It
+was widely believed that communism had no real prospects for China, as a
+dictatorship of the proletariat seemed to be relevant only in a highly
+industrialized and not in an agrarian society. Thus, in its beginning
+the "Movement of May Fourth" of 1919 had Western ideological traits but
+was not communistic. This changed with the success of communism in
+Russia and with the theoretical writings of Lenin. Here it was shown
+that communist theories could be applied to a country similar to China
+in its level of development. Already from 1919 on, some of the leaders
+of the Movement turned towards communism: the National University of
+Peking became the first centre of this movement, and Ch'en Tu-hsiu, then
+dean of the College of Letters, from 1920 on became one of its leaders.
+Hu Shih did not move to the left with this group; he remained a liberal.
+But another well-known writer, Lu Hs&uuml;n (1881-1936), while following Hu
+Shih in the "Literary Revolution," identified politically with Ch'en.
+There was still another man, the Director of the University Library, Li
+Ta-chao, who turned towards communism. With him we find one of his
+employees in the Library, Mao Tse-tung. In fact, the nucleus of the
+Communist Party, which was officially created as late as 1921, was a
+student organization including some professors in Peking. On the other
+hand, a student group in Paris had also learned about communism and had
+organized; the leaders of this group were Chou En-lai and Li Li-san. A
+little later, a third group organized in<!-- Page 321 --><span class='pagenum'><a name="Page_321" id="Page_321">[Pg 321]</a></span> Germany; Chu T&ecirc; belonged to
+this group. The leadership of Communist China since 1949 has been in the
+hands of men of these three former student groups.</p>
+
+<p>After 1920, Sun Yat-sen, too, became interested in the developments in
+Soviet Russia. Yet, he never actually became a communist; his belief
+that the soil should belong to the tiller cannot really be combined with
+communism, which advocates the abolition of individual landholdings.
+Yet, Soviet Russia found it useful to help Sun Yat-sen and advised the
+Chinese Communist Party to collaborate with the KMT (Kuo-min-tang). This
+collaboration, not always easy, continued until the fall of Shanghai in
+1927.</p>
+
+<p>In the meantime, Mao Tse-tung had given up his studies in Peking and had
+returned to his home in Hunan. Here, he organized his countrymen, the
+farmers of Hunan. It is said that at the verge of the northern
+expedition of Chiang Kai-shek, Mao's adherents in Hunan already numbered
+in the millions; this made the quick and smooth advance of the
+communist-advised armies of Chiang Kai-shek possible. Mao developed his
+ideas in written form in 1927; he showed that communism in China could
+be successful only if it was based upon farmers. Because of this
+unorthodox attitude, he was for years severely attacked as a
+deviationist.</p>
+
+<p>When Chiang Kai-shek separated from the KMT in 1927, the main body of
+the KMT remained in Hankow as the legal government. But now, while
+Chiang Kai-shek executed all leftists, union leaders, and communists who
+fell into his hands, tensions in Hankow increased between the Chinese
+Communist Party and the rest of the KMT. Finally, the KMT turned against
+the communists and reunited with Chiang Kai-shek. The remaining
+communists retreated to the Hunan-Kiangsi border area, the centre of
+Mao's activities; even the orthodox communist wing, which had condemned
+Mao, now had to come to him for protection from the KMT. A small
+communist state began to develop in Kiangsi, in spite of pressure and,
+later, attacks of the KMT against them. By 1934, this pressure became so
+strong that Kiangsi had to be abandoned, and in the epic "Long March"
+the rest of the communists and their army fought their way through all
+of western and northwestern China into the sparsely inhabited,
+underdeveloped northern part of Shensi, where a new socialistic state
+was created with Yen-an as its capital.</p>
+
+<p>After the fall of the communist enclave in Kiangsi, the prospects for
+the Nationalist regime were bright; indeed, the unification of China was
+almost achieved. At this moment a new Japanese invasion threatened and
+demanded the full attention of the regime. Thus, in spite of talk about
+land reform and other reforms which might have <!-- Page 322 --><span class='pagenum'><a name="Page_322" id="Page_322">[Pg 322]</a></span>led to a liberalization
+of the government, no attention was given to internal and social
+problems except to the suppression of communist thought. Although all
+leftist publications were prohibited, most historians and sociologists
+succeeded in writing Marxist books without using Marxist terminology, so
+that they escaped Chiang's censors. These publications contributed
+greatly to preparing China's intellectuals and youth for communism.</p>
+
+<p>When the Japanese War began, the communists in Yen-an and the
+Nationalists under Chiang Kai-shek agreed to cooperate against the
+invaders. Yet, each side remembered its experiences in 1927 and
+distrusted the other. Chiang's resistance against the invaders became
+less effective after the Japanese occupied all of China's ports;
+supplies could reach China only in small quantities by airlift or via
+the Burma Road. There was also the belief that Japan could be defeated
+only by an attack on Japan itself and that this would have to be
+undertaken by the Western powers, not by China. The communists, on their
+side, set up a guerilla organization behind the Japanese lines, so that,
+although the Japanese controlled the cities and the lines of
+communication, they had little control over the countryside. The
+communists also attempted to infiltrate the area held by the
+Nationalists, who in turn were interested in preventing the communists
+from becoming too strong; so, Nationalist troops guarded also the
+borders of communist territory.</p>
+
+<p>American politicians and military advisers were divided in their
+opinions. Although they recognized the internal weakness of the
+Nationalist government, the fighting between cliques within the
+government, and the ever-increasing corruption, some advocated more help
+to the Nationalists and a firm attitude against the communists. Others,
+influenced by impressions gained during visits to Yen-an, and believing
+in the possibility of honest cooperation between a communist regime and
+any other, as Roosevelt did, attempted to effect a coalition of the
+Nationalists with the communists.</p>
+
+<p>At the end of the war, when the Nationalist government took over the
+administration, it lacked popular support in the areas liberated from
+the Japanese. Farmers who had been given land by the communists, or who
+had been promised it, were afraid that their former landlords, whether
+they had remained to collaborate with the Japanese or had fled to West
+China, would regain control of the land. Workers hoped for new social
+legislation and rights. Businessmen and industrialists were faced with
+destroyed factories, worn-out or antiquated equipment, and an unchecked
+inflation which induced them to shift their accounts into foreign banks
+or to favor short-term gains rather than long-term investments. As in
+all countries which <!-- Page 323 --><span class='pagenum'><a name="Page_323" id="Page_323">[Pg 323]</a></span>have suffered from a long war and an occupation,
+the youth believed that the old regime had been to blame, and saw
+promise and hope on the political left. And, finally, the Nationalist
+soldiers, most of whom had been separated for years from their homes and
+families, were not willing to fight other Chinese in the civil war now
+well under way; they wanted to go home and start a new life. The
+communists, however, were now well organized militarily and well <ins class="corr" title="Transcriber's note: Normally spelled 'equipped'.">equiped</ins>
+with arms surrendered by the Japanese to the Soviet armies as well as
+with arms and ammunition sold to them by KMT soldiers; moreover, they
+were constantly strengthened by deserters from the KMT. The civil war
+witnessed a steady retreat by the KMT armies, which resisted only
+sporadically. By the end of 1948, most of mainland China was in the
+hands of the communists, who established their new capital in Peking.</p>
+
+
+<p class="sect">2 <i>Nationalist China in Taiwan</i></p>
+
+<p>The Nationalist government retreated to Taiwan with those soldiers who
+remained loyal. This island was returned to China after the defeat of
+Japan, though final disposition of its status had not yet been
+determined.</p>
+
+<p>Taiwan's original population had been made up of more than a dozen
+tribes who are probably distant relatives of tribes in the Philippines.
+These are Taiwan's "aborigines," altogether about 200,000 people in
+1948.</p>
+
+<p>At about the time of the Sung dynasty, Chinese began to establish
+outposts on the island; these developed into regular agricultural
+settlements toward the end of the Ming dynasty. Immigration increased in
+the eighteenth and especially the nineteenth centuries. These Chinese
+immigrants and their descendants are the "Taiwanese," Taiwan's main
+population of about eight million people as of 1948.</p>
+
+<p>Taiwan was at first a part of the province of Fukien, whence most of its
+Chinese settlers came; there was also a minority of Hakka, Chinese from
+Kuangtung province. When Taiwan was ceded to Japan, it was still a
+colonial area with much lawlessness and disorder, but with a number of
+flourishing towns and a growing population. The Japanese, who sent
+administrators but no settlers, established law and order, protected the
+aborigines from land-hungry Chinese settlers, and attempted to abolish
+headhunting by the aborigines and to raise the cultural level in
+general. They built a road and railway system and strongly stressed the
+production of sugar cane and rice. During the Second World War, the
+island suffered from air attacks and from the inability of the Japanese
+to protect its industries.<!-- Page 324 --><span class='pagenum'><a name="Page_324" id="Page_324">[Pg 324]</a></span></p>
+
+<p>After Chiang Kai-shek and the remainder of his army and of his
+government officials arrived in Taiwan, they were followed by others
+fleeing from the communist regime, mainly from Chekiang, Kiangsu, and
+the northern provinces of the mainland. Eventually, there were on Taiwan
+about two million of these "mainlanders," as they have sometimes been
+called.</p>
+
+<p>When the Chinese Nationalists took over from the Japanese, they assumed
+all the leading positions in the government. The Taiwanese nationals who
+had opposed the Japanese were disappointed; for their part, the
+Nationalists felt threatened because of their minority position. The
+next years, especially up to 1952, were characterized by terror and
+bloodshed. Tensions persisted for many years, but have lessened since
+about 1960.</p>
+
+<p>The new government of Taiwan resembled China's pre-war government under
+Chiang Kai-shek. First, to maintain his claim to the legitimate rule of
+all of China, Chiang retained&mdash;and controlled through his party, the
+KMT&mdash;his former government organization, complete with cabinet
+ministers, administrators, and elected parliament, under the name
+"Central Government of China." Secondly, the actual government of
+Taiwan, which he considered one of China's provinces, was organized as
+the "Provincial Government of Taiwan," whose leading positions were at
+first in the hands of KMT mainlanders. There have since been elections
+for the provincial assembly, for local government councils and boards,
+and for various provincial and local positions. Thirdly, the military
+forces were organized under the leadership and command of mainlanders.
+And finally, the education system was set up in accordance with former
+mainland practices by mainland specialists. However, evolutionary
+changes soon occurred.</p>
+
+<p>The government's aim was to make Mandarin Chinese the language of all
+Chinese in Taiwan, as it had been in mainland China long before the War,
+and to weaken the Taiwanese dialects. Soon almost every child had a
+minimum of six years of education (increased in 1968 to nine years),
+with Mandarin Chinese as the medium of instruction. In the beginning few
+Taiwanese qualified as teachers because, under Japanese rule, Japanese
+had been the medium of instruction. As the children of Taiwanese and
+mainland families went to school together, the Taiwanese children
+quickly learned Mandarin, while most mainland children became familiar
+with the Taiwan dialect. For the generation in school today, the
+difference between mainlander and Taiwanese has lost its importance. At
+the same time, more teachers of Taiwanese origin, but with modern
+training, have begun to fill first the ranks of elementary, later of
+<!-- Page 325 --><span class='pagenum'><a name="Page_325" id="Page_325">[Pg 325]</a></span>high-school, and now even of university instructors, so that the end of
+mainland predominance in the educational system is foreseeable.</p>
+
+<p>The country is still ruled by the KMT, but although at first hardly any
+Taiwanese belonged to the Party, many of the elective jobs and almost
+all positions in the provincial government are at present (1969) in the
+hands of Taiwanese independents, or KMT members, more of whom are
+entering the central government as well. Because military service is
+compulsory, the majority of common soldiers are Taiwanese: as career
+officers grow older and their sons show little interest in an army
+career, more Taiwan-Chinese are occupying higher army positions. Foreign
+policy and major political decisions still lie in the hands of mainland
+Chinese, but economic power, once monopolized by them, is now held by
+Taiwan-Chinese.</p>
+
+<p>This shift gained impetus with the end of American economic aid, which
+had tied local businessmen to American industry and thus worked to the
+advantage of mainland Chinese, for these had contacts in the United
+States, whereas the Taiwan-Chinese had contacts only in Japan. After the
+termination of American economic aid, Taiwanese trade with Japan, the
+Philippines, and Korea grew in importance and with it the economic
+strength of Taiwan-Chinese businessmen. After 1964, Taiwan became a
+strong competitor of Hong Kong and Japan in some export industries, such
+as electronics and textiles. We can regard Taiwan from 1964 on as
+occupying the "take-off" stage, to use Rostow's terminology&mdash;a stage of
+rapid development of new, principally light and consumer, industries.
+There has been a rapid rise of industrial towns around the major cities,
+and there are already many factories in the countryside, even in some
+villages. Electrification is essentially completed, and heavy
+industries, such as fertilizer and assembly plants and oil refineries,
+now exist.</p>
+
+<p>This rapid industrialization was accompanied by an unusually fast
+development of agriculture. A land-reform program limited land
+ownership, reduced rents, and redistributed formerly Japanese-owned
+land. This was the program that the Nationalist government had attempted
+unsuccessfully to enforce in liberated China after the Pacific War. It
+is well known that the abolition of landlordism and the distribution of
+land to small farmers do not in themselves improve or enlarge
+production. The Joint Council on Rural Reconstruction, on which American
+advisers worked with Chinese specialists to devise a system comparable
+to American agricultural extension services but possessing added
+elements of community development, introduced better seeds, more and
+better fertilizers, and numerous other innovations which the farmers
+quickly adopted, <!-- Page 326 --><span class='pagenum'><a name="Page_326" id="Page_326">[Pg 326]</a></span>with the result that the island became
+self-supporting, in spite of a steadily growing population (thirteen
+million in 1968).</p>
+
+<p>At the same time, the government succeeded in stabilizing the currency
+and in eliminating corruption, thus re-establishing public confidence
+and security. Good incomes from farming as well as from industries were
+invested on the island instead of flowing into foreign banks. In
+addition, the population had enough surplus money to buy the products of
+the new domestic industries as these appeared. Thus, the
+industrialization of Taiwan may be called "industrialization without
+tears," without the suffering, that is, of proletarian masses who
+produce objects which they cannot afford for themselves. Today, even
+lower middle-class families have television consoles which cost the
+equivalent of US $200; they own electric fans and radios; they are
+buying Taiwan-produced refrigerators and air conditioners; and more and
+more think of buying Taiwan-assembled cars. They encourage their
+children to finish high school and to attend college if at all possible;
+competition for admission is very strong in spite of the continuous
+building of new schools and universities. Education to the level of the
+B.&nbsp;A.&nbsp;is of good quality, but for most graduate study students are still
+sent abroad. Taiwan complains about the "brain drain," as about 93 per
+cent of its students who go overseas do not return, but in many fields
+it has sufficient trained manpower to continue its development, and in
+any case there would not be enough jobs available if all the students
+returned. Most of these expatriates would be available to develop
+mainland China, if conditions there were to change in a way that would
+make them compatible with the values with which these expatriates grew
+up on Taiwan, or with the Western democratic values which they absorbed
+abroad.</p>
+
+<p>Chiang Kai-shek's government still hopes that one day its people will
+return to the mainland. This hope has changed from hope of victory in a
+civil war to hope of revolutionary developments within Communist China
+which might lead to the creation of a more liberal government in which
+men with KMT loyalties could find a place. Because they are Chinese, the
+present government and, it is believed, the majority of the people,
+consider themselves a part of China from which they are temporarily
+separated. Therefore they reject the idea, proposed by some American
+politicians, that Taiwan should become an independent state. There are,
+mainly in the United States and Japan, groups of Taiwan-Chinese who
+favor an independent Taiwan, which naturally would be close to Japan
+politically and economically. One may agree with their belief that
+Taiwan, now larger <!-- Page 327 --><span class='pagenum'><a name="Page_327" id="Page_327">[Pg 327]</a></span>than many European countries, could exist and
+flourish as an independent country; yet few Chinese will wish to divorce
+themselves from the world's largest society.</p>
+
+
+<p class="sect">3 <i>Communist China</i></p>
+
+<p>Both Taiwan and mainland China have developed extremely quickly. The
+reasons do not seem to lie solely in the form of government, for the
+pre-conditions for a "take-off" existed in China as early as the 1920's,
+if not earlier. That is, the quick development of China could have
+started forty years ago but was prevented, primarily for political
+reasons. One of the main pre-conditions for quick development is that a
+large part of the population is inured to hard and repetitive work. The
+Chinese farmer was accustomed to such work; he put more time and energy
+into his land than any other farmer. He and his fellows were the
+industrial workers of the future: reliable, hard-working, tractable,
+intelligent. To train them was easy, and absenteeism was never a serious
+problem, as it is in other developing nations. Another pre-condition is
+the existence of sufficient trained people to manage industry. Forty
+years ago China had enough such men to start modernization; foreign
+assistance would have been necessary in some fields, but only briefly.</p>
+
+<p>Another requirement (at least in the period before radio and television)
+is general literacy. Meaningful statistical data on literacy in China
+before 1937 are lacking. Some authors remark that before 1800 probably
+all upper-class sons and most daughters were educated, and that men in
+the middle and even in the lower classes often had some degree of
+literacy. In this context "educated" means that these persons could read
+classical poetry and essays written in literary Chinese, which was not
+the language of daily conversation. "Literacy," however, might mean only
+that a person could read and write some 600 characters, enough to
+conduct a business and to read simple stories. Although newspapers today
+have a stock of about 6,000 characters, only some 600 characters are
+commonly used, and a farmer or worker can manage well with a knowledge
+of about 100 characters. Statements to the effect that in 1935 some 70
+per cent of all men and 95 per cent of all women were illiterate must
+include the last category in these figures. In any case, the literacy
+program of the Nationalist government had penetrated the countryside and
+had reached even outlying villages before the Pacific War.</p>
+
+<p>The transportation system in China before the war was not highly
+developed, but numerous railroads connecting the main industrial centers
+did exist, and bus and truck services connected small towns <!-- Page 328 --><span class='pagenum'><a name="Page_328" id="Page_328">[Pg 328]</a></span>with the
+larger centers. What were missing in the pre-war years were laws to
+protect the investor, efficient credit facilities, an insurance system
+supported by law, and a modern tax structure. In addition, the monetary
+system was inflation-prone. Although sufficient capital probably could
+have been mobilized within the country, the available resources either
+went into foreign banks or were invested in enterprises providing a
+quick return.</p>
+
+<p>The failure to capitalize on existing means of development before the
+War resulted from the chronic unrest caused by warlordism,
+revolutionaries and foreign invaders, which occupied the energies of the
+Nationalist government from its establishment to its fall. Once a stable
+government free from internal troubles arose, national development,
+whether private or socialist, could proceed at a rapid pace.</p>
+
+<p>Thus, the development of Communist China is not a miracle, possible only
+because of its form of government. What is unusual about Communist China
+is the fact that it is the only nation possessing a highly developed
+culture of its own to have jettisoned it in favor of a foreign one. What
+missionaries had dreamed of for centuries and knew they would never
+accomplish, Mao Tse-tung achieved; he imposed an ideology created by
+Europeans and understandable only in the context of Central Europe in
+the nineteenth century. How long his success will last is uncertain. One
+school of analysts believes that the friction between Soviet Russia and
+Communist China indicates that China's communism has become Chinese.
+These men point out that Communist Chinese practices are often direct
+continuations of earlier Chinese practices, customs, and attitudes. And
+they predict that this trend will continue, resulting in a form of
+socialism or communism distinctly different from that found in any other
+country. Another school, however, believes that communism precedes
+"Sinism," and that the regime will slowly eliminate traits which once
+were typical of China and replace them with institutions developed out
+of Marxist thinking. In any case, for the present, although the
+Communist government's aim is to impose communist thought and
+institutions in the country, typically Chinese traits are still
+omnipresent.</p>
+
+<p>Soon after the establishment of the Peking regime, a pact of friendship
+and alliance with the Soviet Union was concluded (February 1950), and
+Soviet specialists and civil and military products poured into China to
+speed its development. China had to pay for this assistance as well as
+for the loans it received from Russia, but the application of Russian
+experience, often involving the duplication of whole factories, was
+successful. In a few years, China developed <!-- Page 329 --><span class='pagenum'><a name="Page_329" id="Page_329">[Pg 329]</a></span>its heavy industry, just as
+Russia had done. It should not be forgotten that Manchuria, as well as
+other parts of China, had had modern heavy industries long before 1949.
+The Manchurian factories ceased production because, when the Russians
+invaded Manchuria at the end of the war, they removed the machinery to
+Russia.</p>
+
+<p>Russian aid to Communist China continued to 1960. Its termination slowed
+development briefly but was not disastrous. Russian assistance was a
+"shot in the arm," as stimulating and about as lasting as American aid
+to Taiwan or to European countries. The stress laid upon heavy industry,
+in imitation of Russia, increased China's military strength quickly, but
+the consumer had to wait for goods which would make his life more
+enjoyable. One cause of friction in China today concerns the relative
+desirability of heavy industry versus consumer industry, a problem which
+arose in Russia after the death of Stalin.</p>
+
+<p>China's military strength was first demonstrated in the Korean War when
+Chinese armies entered Korea (October 1950). Their successes contributed
+to the prestige of the Peking regime at home and abroad, but they also
+foreshadowed a conflict with Soviet Russia, which regarded North Korea
+as lying within its own sphere of influence.</p>
+
+<p>In the same year, China invaded and conquered Tibet. Tibet, under Manchu
+rule until 1911, had achieved a certain degree of independence
+thereafter: no republican Chinese regime ever ruled Lhasa. The military
+conquest of Tibet is regarded by many as an act of Chinese imperialism,
+or colonialism, as the Tibetans certainly did not want to belong to
+China or be forced to change their traditional form of government.
+Having regarded themselves as subjects of the Manchu but not of the
+Chinese, they rose against the communist rulers in March 1959, but
+without success.</p>
+
+<p>Chinese control of Tibet, involving the construction of numerous roads,
+airstrips, and military installations, as well as differences concerning
+the international border, led in 1959 to conflicts with India, a country
+which had previously sided with the new China in international affairs.
+Indeed, the borders were uncertain and looked different depending on
+whether one used Manchu or Indian maps. China's other border problem was
+with Burma. Early in 1960 the two countries concluded a border agreement
+which ended disputes dating from British colonial times.</p>
+
+<p>Very early in its existence Communist China assumed control of Sinkiang,
+Chinese Central Asia, a large area originally inhabited by Turkish and
+Mongolian tribes and states, later conquered by the Manchu, and then
+integrated into China in the early nineteenth century.<!-- Page 330 --><span class='pagenum'><a name="Page_330" id="Page_330">[Pg 330]</a></span> The communist
+action was to be expected, although after the Revolution of 1911 Chinese
+rule over this area had been spotty, and during the Pacific War some
+Soviet-inspired hope had existed that Sinkiang might gain independence,
+following the example of Outer Mongolia, another country which had been
+attached to the Manchu until 1911 and which, with Russian assistance,
+had gained its independence from China. Sinkiang is of great importance
+to Communist China as the site of large sources of oil and of atomic
+industries and testing grounds. The government has stimulated and often
+forced Chinese immigration into Sinkiang, so that the erstwhile Turkish
+and Mongolian majorities have become minorities, envious of their ethnic
+brothers in Soviet Central Asia who enjoy a much higher standard of
+living and more freedom.</p>
+
+<p>Inner Mongolia had a brief dream of independence under Japanese
+protection during the war. But the majority of the population were
+Chinese, and already before the Pacific War, the country had been
+divided into three Chinese provinces, of which the Chinese Communists
+gained control without delay.</p>
+
+<p>In general, when the Chinese Communists discuss territorial claims, they
+appear to seek the restoration of borders that China claimed in the
+eighteenth century. Thus, they make occasional remarks about the Ili
+area and parts of Eastern Siberia, which the Manchu either lost to the
+Russians or claimed as their territory. North Vietnam is probably aware
+that Imperial China exercised political rights over Tongking and Annam
+(the present-day North and part of South Vietnam). And, treaty or no,
+the Sino-Burmese question may be reopened one day, for Burma was
+semi-dependent on China under the Manchu.</p>
+
+<p>The build-up of heavy industry enabled China to conduct an aggressive
+policy towards the countries surrounding her, but industrialization had
+to be paid for, and, as in other countries, it was basically agriculture
+that had to create the necessary capital. Therefore, in June 1950 a
+land-reform law was promulgated. By October 1952 it had been implemented
+at an estimated cost of two million human lives: the landlords. The next
+step, socialization of the land, began in 1953.</p>
+
+<p>The cooperative farms were supposed to achieve higher production than
+small individual farms. It may be that any farmer, but particularly the
+Chinese, is emotionally involved in his crop, in contrast to the
+industrial worker, who often is alienated from the product he makes.
+Thus the farmer is unwilling to put unlimited energy and time into
+working on a farm that does not belong to him. But it may also be that
+the application of principles of industrial operation to <!-- Page 331 --><span class='pagenum'><a name="Page_331" id="Page_331">[Pg 331]</a></span>agriculture
+fails because emergencies often occur in farming and are followed by
+periods of leisure, whereas in industry steady work is possible.</p>
+
+<p>In any case, in 1956 strains began to appear in China's economy. In
+early 1958 the "Great Leap Forward" was promoted in an attempt to speed
+production in all sectors. Soon after, the first communes were created,
+against the advise of Russian specialists. The objective of the communes
+seems to have been not only the creation of a new organizational form
+which would allow the government to exercise more pressure upon farmers
+to increase production, but also the correlation of labor and other
+needs of industry with agriculture. The communes may have represented an
+attempt to set up an organization which could function independently,
+even in the event of a governmental breakdown in wartime. At the same
+time, the decentralization of industries began and a people's militia
+was created. The "back-yard furnaces," which produced high-cost iron of
+low quality, seem to have had a similar purpose: to teach citizens how
+to produce iron for armaments in case of war and enemy occupation, when
+only guerrilla resistance would be possible. In the same year,
+aggressive actions against offshore, Nationalist-held islands increased.
+China may have believed that war with the United States was imminent.
+Perhaps as a result of Russian talks with China, a d&eacute;tente followed in
+1959, but so too did increased tension between Russia and China, while
+the results of the Great Leap and its policies proved catastrophic. The
+years 1961-64 provided a needed respite from the failures of the Great
+Leap. Farmers regained limited rights to income from private efforts,
+and improved farm techniques such as better seed and the use of
+fertilizer began to produce results. China can now feed her population
+in normal years.</p>
+
+<p>Chinese leaders realize that an improved level of living is difficult to
+attain while the birth rate remains high. They have hesitated to adopt a
+family-planning policy, which would fly in the face of Marxist doctrine,
+although for a short period family planning was openly recommended.
+Their most efficient method of limiting the birth rate has been to
+recommend postponement of marriage.</p>
+
+<p>First the limitation of private enterprise and business and then the
+nationalization of all important businesses following the completion of
+land reform deprived many employers as well as small shopkeepers of an
+occupation. But the new industries could not absorb all of the labor
+that suddenly became available. When rural youth inundated the cities in
+search of employment, the government returned the excess urban
+population to the countryside and <!-- Page 332 --><span class='pagenum'><a name="Page_332" id="Page_332">[Pg 332]</a></span>recruited students and other urban
+youth to work on farms. Re-education camps in outlying areas also
+provided cheap farm labor.</p>
+
+<p>The problem facing China or any nation that modernizes and
+industrializes in the twentieth century can be simply stated.
+Nineteenth-century industry needed large masses of workers which only
+the rural areas could supply; and, with the development of farming
+methods, the countryside could afford to send its youth to the cities.
+Twentieth-century industry, on the other hand, needs technicians and
+highly qualified personnel, often with college degrees, but few
+unskilled workers. China has traditionally employed human labor where
+machines would have been cheaper and more efficient, simply because
+labor was available and capital was not. But since, with the growth of
+modern industry and modern farming, the problem will arise again, the
+policy of employing urban youth on farms is shortsighted.</p>
+
+<p>The labor force also increased as a result of the "liberation" of women,
+in which the marriage law of April 1950 was the first step. Nationalist
+China had earlier created a modern and liberal marriage law; moreover,
+women were never the slaves that they have sometimes been painted. In
+many parts of China, long before the Pacific War, women worked in the
+fields with their husbands. Elsewhere they worked in secondary
+agricultural industries (weaving, preparation of food conserves, home
+industries, and even textile factories) and provided supplementary
+income for their families. All that "liberation" in 1950 really meant
+was that women had to work a full day as their husbands did, and had, in
+addition, to do house work and care for their children much as before.
+The new marriage law did, indeed, make both partners equal; it also made
+it easier for men to divorce their wives, political incompatibility
+becoming a ground for divorce.</p>
+
+<p>The ideological justification for a new marriage law was the
+desirability of destroying the traditional Chinese family and its
+economic basis because a close family, and all the more an extended
+family or a clan, could obviously serve as a center of resistance. Land
+collectivization and the nationalization of business destroyed the
+economic basis of families. The "liberation" of women brought them out
+of the house and made it possible for the government to exploit
+dissention between husband and wife, thereby increasing its control over
+the family. Finally, the new education system, which indoctrinated all
+children from nursery to the end of college, separated children from
+parents, thus undermining parental control and enabling the state to
+intimidate parents by encouraging their children to denounce their
+"deviations." Sporadic efforts to dissolve <!-- Page 333 --><span class='pagenum'><a name="Page_333" id="Page_333">[Pg 333]</a></span>the family completely by
+separating women from men in communes&mdash;recalling an attempt made almost
+a century earlier by the T'ai-p'ing&mdash;were unsuccessful.</p>
+
+<p>The best formula for a revolution seems to involve turning youth against
+its elders, rather than turning one class against another. Not all
+societies have a class system so clear-cut that class antagonism is
+effective. On the other hand, Chinese youth, in its opposition to the
+"establishment," to conservatism, to traditional religion, to blind
+emulation of Western customs and institutions, to the traditional family
+structure and the position of women, had hopes that communism would
+eradicate the specific "evil" which each individual wanted abolished.
+Mao and his followers had once been such rebellious youths, but by the
+1960's they were mostly old men and a new youth had appeared, a
+generation of revolutionaries for whom the "old regime" was dim history,
+not reality. In the struggle between Mao and Liu Shao-ch'i, which became
+increasingly apparent in 1966, Mao tried to retain his power by
+mobilizing young people as "Red Guards" and by inciting them to make the
+"Great Proletarian Revolution." The motives behind the struggle are
+diverse. It is on the one hand a conflict of persons contending for
+power, but there are also disagreements over theory: for example, should
+China's present generation toil to make possible a better life only for
+the next generation, or should it enjoy the fruits of its labor, after
+its many years of suffering? Mao opposes such "weakening" and favors a
+new generation willing to endure hardships, as he did in his youth.
+There is also a question whether the Chinese Communist Party under the
+banner of Maoism should replace the Russian party, establish Mao as the
+fourth founder after Marx, Lenin, and Stalin, and become the leader of
+world communism, or whether it should collaborate with the Russian
+party, at least temporarily, and thus ensure China Russian support.
+When, however, Chinese youth was summoned to take up the fight for Mao
+and his group, forces were loosed which could not be controlled.
+Following independent action by youth groups similar in nature to youth
+revolts in Western countries, the power and prestige of older leaders
+suffered. Even now (1969) it is impossible to re-establish unity and
+order; the Mao and Liu groups still oppose each other, and local
+factions have arisen. Violent confrontations, often resulting in
+hundreds of deaths, occur in many provinces. The regime is no longer so
+strong and unified as it was before 1966, although its end is not in
+sight. Quite possibly far-reaching changes may occur in the future.</p>
+
+<p>Three factors will probably influence the future of China. First, <!-- Page 334 --><span class='pagenum'><a name="Page_334" id="Page_334">[Pg 334]</a></span>the
+emergence of neo-communism, as in Czechoslovakia in 1968, in an attempt
+to soften traditional communist practice. Second, the outcome of the war
+in Vietnam. Will China be able to continue its eighteenth-century dream
+of direct or indirect domination of Southeast Asia? Will North Vietnam
+detach itself from China and attach itself more closely to Russia? Will
+Russia and China continue to create separate spheres of influence in
+Asia, Africa, and South America? The first factor depends on
+developments inside China, the second on events outside, and at least in
+part on decisions in the United States, Japan, and Europe.</p>
+
+<p>The third factor has to do with human nature. One may justifiably ask
+whether the change in human personality which Chinese communism has
+attempted to achieve is possible, let alone desirable. Studies of
+animals and of human beings have demonstrated a tendency to identify
+with a territory, with property, and with kin. Can the Chinese eradicate
+this tendency? The Chinese have been family-centered and accustomed to
+subordinating their individual inclinations to the requirements of
+family and neighborhood. But beyond these established frameworks they
+have been individualistic and highly idiosyncratic at all times. Under
+the communist regime, however, the government is omnipresent, and people
+must toe the official line. One senses the tragedy that affects
+well-known scholars, writers and poets, who must degrade themselves,
+their work, their past and their families in order to survive. They may
+hope for comprehension of their actions, but nonetheless they must
+suffer shame. Will the present government change the minds of these men
+and eradicate their feelings?</p>
+
+<p>Communist China has made great progress, no doubt. Soon it may equal
+other developed nations. But its progress has been achieved at an
+unnecessary cost in human lives and happiness.</p>
+
+<p>That the regime is no longer so strong and unified as it was before 1966
+does not mean that its end is in sight. Far-reaching changes may occur
+in the near future. Public opinion is impressed with mainland China's
+progress, as the world usually is with strong nations. And public
+opinion is still unimpressed by the achievements of Taiwan and has
+hardly begun to change its attitude toward the government of the
+"Republic of China." To the historian and the sociologist, the
+experience of Taiwan indicates that China, if left alone and freed from
+ideological pressures, could industrialize more quickly than any other
+presently underdeveloped nation. Taiwan offers a model with which to
+compare mainland China.</p>
+
+
+<p><!-- Page 335 --><span class='pagenum'><a name="Page_335" id="Page_335">[Pg 335]</a></span></p>
+
+<hr />
+<h2><a name="NOTES_AND_REFERENCES" id="NOTES_AND_REFERENCES"></a>NOTES AND REFERENCES</h2>
+
+
+<p>The following notes and references are intended to help the interested
+reader. They draw his attention to some more specialized literature in
+English, and occasionally in French and German. They also indicate for
+the more advanced reader the sources for some of the interpretations of
+historical events. As such sources are most often written in Chinese or
+Japanese and, therefore, inaccessible to most readers, only brief hints
+and not full bibliographical data are given. The specialists know the
+names and can easily find details in the standard bibliographies. The
+general reader will profit most from the bibliography on Chinese history
+published each year in the <i>Journal of Asian Studies</i>. These Notes do
+not mention the original Chinese sources which are the factual basis of
+this book.</p>
+
+
+<p class="noindent"><i>Chapter One</i></p>
+
+<p>p. <a href="#Page_7">7</a>: Reference is made here to the <i>T'ung-chien kang-mu</i> and its
+translation by de Mailla (1777-85). Criticism by O.&nbsp;Franke, Ku
+Chieh-kang and his school, also by G.&nbsp;Haloun.</p>
+
+<p>p. <a href="#Page_8">8</a>: For the chronology, I rely here upon Ijima Tadao and my own
+research. Excavations at Chou-k'ou-tien still continue and my account
+should be taken as very preliminary. An earlier analysis is given by E.&nbsp;
+von Eickstedt (<i>Rassendynamik von Ostasien</i>, Berlin 1944). For the
+following periods, the best general study is still J.&nbsp;G.&nbsp;Andersson,
+<i>Researches into the Prehistory of the Chinese</i>, Stockholm 1943. A great
+number of new findings has been made recently, but no comprehensive
+analysis in a Western language is available.</p>
+
+<p>p. <a href="#Page_9">9</a>: Comparison with Ainu has been made by Weidenreich. The theory of
+desiccation of Asia is not the Huntington theory, but I rely here upon
+arguments by J.&nbsp;G.&nbsp;<ins class="corr" title="Transcriber's note: Normally spelled Andersson.">Andersoon</ins> and Sven Hedin.</p>
+
+<p>p. <a href="#Page_10">10</a>: The earlier theories of R.&nbsp;Heine-Geldern have been used here.</p>
+
+<p>p. <a href="#Page_11">11</a>: This is a summary of my own theories. Concerning the Tungus
+tribes, K.&nbsp;Jettmar (<i>Wiener Beitr&auml;ge zur Kulturgeschichte</i>, vol. 9,
+1952, p. 484f and later studies) has proposed a more refined theory;
+other parts of the theory, as far as it is concerned with conditions in
+Central Asia, have been modified by F.&nbsp;Kussmaul (in: <i>Tribus</i>, vol.
+1952-3, pp. 305-60). Archaeological data from Central Asia have been
+analysed again by K.&nbsp;Jettmar (in: <i>The Museum of Far Eastern
+Antiquities, Bulletin</i> No. 23, 1951). The discussion on domestication of
+large animals relies on the studies by C.&nbsp;O.&nbsp;Sauer, H.&nbsp;von Wissmann,
+Menghin, Amschler, Flohr and, most recently, F.&nbsp;Han&#269;ar (in: <i>Saeculum</i>,
+vol. 10, 1959, pp. 21-37 with further literature), and also on my own
+research.</p>
+
+<p>p. <a href="#Page_12">12</a>: An analysis of the situation in the South according to Western
+and Chinese studies is found in H.&nbsp;J.&nbsp;Wiens, <i>China's March toward the
+Tropics</i>, Hamden 1954. Much further work is now published by Ling<!-- Page 336 --><span class='pagenum'><a name="Page_336" id="Page_336">[Pg 336]</a></span>
+Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best
+analysis of denshiring in the Far East is still the book by K.&nbsp;J.&nbsp;Pelzer,
+<i>Population and Land Utilization</i>, New York 1941. The anthropological
+theories on this page are my own, influenced by ideas of R.&nbsp;
+Heine-Geldern and Gordon Luce.</p>
+
+<p>p. <a href="#Page_14">14</a>: Sociological theory, as developed by R.&nbsp;Thurnwald and others, has
+been used as a theoretical tool here, together with observations by A.&nbsp;
+Credner and H.&nbsp;Bernatzik. Concerning rice in Yang-shao see R.&nbsp;
+Heine-Geldern in <i>Anthropos</i>, vol. 27, p. 595.</p>
+
+<p>p. <a href="#Page_15">15</a>: Wu Chin-ting defended the local origin of Yang-shao; T.&nbsp;J.&nbsp;Arne,
+J.&nbsp;G.&nbsp;Andersson and many others suggested Western influences. Most
+recently R.&nbsp;Heine-Geldern elaborated this theory. The allusion to
+Indo-Europeans refers to the studies by G.&nbsp;Haloun and others concerning
+the Ta-Hsia, the later Y&uuml;eh-chih, and the Tocharian problem.</p>
+
+<p>p. <a href="#Page_16">16</a>: R.&nbsp;Heine-Geldern proposed a "Pontic migration". Yin Huan-chang
+discussed most recently Lung-shan culture and the mound-dwellers.</p>
+
+<p>p. <a href="#Page_17">17</a>: The original <i>Chu-shu chi-nien</i> version of the stories about Yao
+has been accepted here, together with my own research and the studies by
+B.&nbsp;Karlgren, M.&nbsp;Loehr, G.&nbsp;Haloun, E.&nbsp;H.&nbsp;Minns and others concerning the
+origin and early distribution of bronze and the animal style. Smith
+families or tribes are well known from Central Asia, but also from India
+and Africa (see W.&nbsp;Ruben, <i>Eisenschmiede und D&auml;monen in Indien</i>, Leiden
+1939, for general discussion).&mdash;For a discussion of the Hsia see E.&nbsp;
+Erkes.</p>
+
+
+<p class="noindent"><i>Chapter Two</i></p>
+
+<p>p. <a href="#Page_19">19</a>: The discussion in this chapter relies mainly upon the An-yang
+excavation reports and the studies by Tung Tso-pin and, most strongly,
+Ch'en Meng-chia. In English, the best work is still H.&nbsp;G.&nbsp;Creel, <i>The
+Birth of China</i>, London 1936 and his more specialized <i>Studies in Early
+Chinese Culture</i>, Baltimore 1937.</p>
+
+<p>p. <a href="#Page_20">20</a>: The possibility of a "megalithic" culture in the Far East has
+often been discussed, by O.&nbsp;Menghin, R.&nbsp;Heine-Geldern, Cheng T&ecirc;-k'un,
+Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia,
+southern China, Korea and Japan.&mdash;Teng Ch'u-min and others believe that
+silk existed already in the time of Yang-shao.</p>
+
+<p>p. <a href="#Page_21">21</a>: Kuo Mo-jo believes, that the Shang already used a real plough
+drawn by animals. The main discussion on ploughs in China is by Hs&uuml;
+Chung-shu; for general anthropological discussion see E.&nbsp;Werth and H.&nbsp;
+Kothe.</p>
+
+<p>p. <a href="#Page_22">22</a>: For the discussion of the T'ao-t'ieh see the research by B.&nbsp;
+Karlgren and C.&nbsp;Hentze.</p>
+
+<p>p. <a href="#Page_23">23</a>: I follow here mainly Ch'en Meng-chia, but work by B.&nbsp;Schindler,
+C.&nbsp;Hentze, H.&nbsp;Maspero and also my own research has been considered.</p>
+
+<p>p. <a href="#Page_24">24</a>: I am accepting here a narrow definition of feudalism (see my
+<i>Conquerors and Rulers</i>, Leiden 1952).&mdash;The division of armies into
+"right" and "left" is interesting in the light of the theories
+concerning the importance of systems of orientation (Fr. R&ouml;ck and
+others).</p>
+
+<p>p. <a href="#Page_25">25</a>: Here, the work by W.&nbsp;Koppers, O.&nbsp;Spengler, F.&nbsp;Han&#269;ar, V.&nbsp;G.&nbsp;Childe
+and many others, concerning the domestication of the horse and the
+introduction of the war-chariot in general, and work by Shih Chang-ju,
+Ch'en Meng-chia, O.&nbsp;Maenchen, Uchida Gimpu and others concerning
+<!-- Page 337 --><span class='pagenum'><a name="Page_337" id="Page_337">[Pg 337]</a></span>horses, riding and chariots in China has been used, in addition to my
+own research.</p>
+
+<p>p. <a href="#Page_26">26</a>: Concerning the wild animals, I have relied upon Ch'en Meng-chia,
+Hs&uuml; Chung-shu and Tung Tso-pin.&mdash;The discussion as to whether there was
+a period of "slave society" (as postulated by Marxist theory) in China,
+and when it <ins class="corr" title="typo for flourished">florished,</ins> is still going on under the leadership of Kuo
+Mo-jo and his group. I prefer to differentiate between slaves and serfs,
+and relied for factual data upon texts from oracle bones, not upon
+historical texts.&mdash;The problem of Shang chronology is still not solved,
+in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many
+Japanese and Western scholars. The old chronology, however, seems to be
+rejected by most scholars now.</p>
+
+
+<p class="noindent"><i>Chapter Three</i></p>
+
+<p>p. <a href="#Page_29">29</a>: Discussing the early script and language, I refer to the great
+number of unidentified Shang characters and, especially, to the
+composite characters which have been mentioned often by C.&nbsp;Hentze in his
+research; on the other hand, the original language of the Chou may have
+been different from classical Chinese, if we can judge from the form of
+the names of the earliest Chou ancestors. Problems of substrata
+languages enter at this stage. Our first understanding of Chou language
+and dialects seems to come through the method applied by P.&nbsp;Serruys,
+rather than through the more generally accepted theories and methods of
+B.&nbsp;Karlgren and his school.</p>
+
+<p>p. <a href="#Page_30">30</a>: I reject here the statement of classical texts that the last
+Shang ruler was unworthy, and accept the new interpretation of Ch'en
+Meng-chia which is based upon oracle bone texts.&mdash;The most recent
+general study on feudalism, and on feudalism in China, is in R.&nbsp;
+Coulborn, <i>Feudalism in History</i>, Princeton 1956. Stimulating, but in
+parts antiquated, is M.&nbsp;Granet, <i>La F&eacute;odalit&eacute; Chinoise</i>, Oslo 1952. I
+rely here on my own research. The instalment procedure has been
+described by H.&nbsp;Maspero and Ch'i Sz&#365;-ho.</p>
+
+<p>p. <a href="#Page_31">31</a>: The interpretation of land-holding and clans follows my own
+research which is influenced by Niida Noboru, Kat&#333; Shigeru and other
+Japanese scholars, as well as by G.&nbsp;Haloun.&mdash;Concerning the origin of
+family names see preliminarily Yang Hsi-mei; much further research is
+still necessary. The general development of Chinese names is now studied
+by Wolfgang Bauer.&mdash;The spread of cities in this period has been studied
+by Li Chi, <i>The Formation of the Chinese People</i>, Cambridge 1928. My
+interpretation relies mainly upon a study of the distribution of
+non-Chinese tribes and data on early cities coming from excavation
+reports (see my "Data on the Structure of the Chinese City" in <i>Economic
+Development and Cultural Change</i>, 1956, pp. 253-68, and "The Formation
+of Chinese Civilization" in <i>Sociologus</i> 7, 1959, pp. 97-112).</p>
+
+<p>p. <a href="#Page_32">32</a>: The work on slaves by T.&nbsp;Pippon, E.&nbsp;Erkes, M.&nbsp;Wilbur, Wan
+Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been
+consulted; the interpretation by E.&nbsp;G.&nbsp;Pulleyblank, however, was not
+accepted.</p>
+
+<p>p. <a href="#Page_33">33</a>: This interpretation of the "well-field" system relies in part
+upon the work done by Hs&uuml; Ti-shan, in part upon M.&nbsp;Granet and H.&nbsp;
+Maspero, and attempts to utilize insight from general anthropological
+theory and field-work mainly in South-East Asia. Other interpretations
+have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Sz&#365;-ho P.&nbsp;
+Demi&eacute;ville, Hu Shih, Chi Ch'ao-ting, K.&nbsp;A.&nbsp;Wittfogel, and others.<!-- Page 338 --><span class='pagenum'><a name="Page_338" id="Page_338">[Pg 338]</a></span> Some
+authors, such as Kuo Mo-jo, regard the whole system as an utopia, but
+believe in an original "village community".&mdash;The characterization of the
+<i>Chou-li</i> relies in part upon the work done by Hs&uuml; Chung-shu and Ku
+Chieh-kang on the titles of nobility, research by Yang K'uan and textual
+criticism by B.&nbsp;Karlgren, O.&nbsp;Franke, and again Ku Chieh-kang and his
+school.&mdash;The discussion on twin cities is intended to draw attention to
+its West Asian parallels, the "acropolis" or "ark" city, as well as to
+the theories on the difference between Western and Asian cities (M.&nbsp;
+Weber) and the specific type of cities in "dual societies" (H.&nbsp;Boeke).</p>
+
+<p>p. <a href="#Page_34">34</a>: This is a modified form of the Hu Shih theory.&mdash;The problem of
+nomadic agrarian inter-action and conflict has been studied for a later
+period mainly by O.&nbsp;Lattimore. Here, general anthropological research as
+well as my own have been applied.</p>
+
+<p>p. <a href="#Page_36">36</a>: The supra-stratification theory as developed by R.&nbsp;Thurnwald has
+been used as analytic tool here.</p>
+
+<p>p. <a href="#Page_38">38</a>: For this period, a novel interpretation is presented by R.&nbsp;L.&nbsp;
+Walker, <i>The Multi-State System of China</i>, Hamden 1953. For the concepts
+of sovereignty, I have used here the <i>Chou-li</i> text and interpretations
+based upon this text.</p>
+
+<p>p. <a href="#Page_40">40</a>: For the introduction of iron and the importance of Ch'i, see Chu
+Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.&mdash;Some scholars (G.&nbsp;
+Haloun) tend to interpret attacks such as the one of 660 <span class="smcap">B.C.</span>
+as attacks from outside the borders of China.</p>
+
+<p>p. <a href="#Page_41">41</a>: For Confucius see H.&nbsp;G.&nbsp;Creel, <i>Confucius</i>, New York 1949. I do
+not, however, follow his interpretation, but rather the ideas of Hu
+Shih, O.&nbsp;Franke and others.</p>
+
+<p>p. <a href="#Page_42">42</a>: For "ch&uuml;n-tzu" and its counterpart "hsiao-jen" see D.&nbsp;Bodde and
+Ch'en Meng-chia.</p>
+
+<p>p. <a href="#Page_43">43</a>: I rely strongly here upon O.&nbsp;Franke and Ku Chieh-kang and upon my
+own work on eclipses.</p>
+
+<p>p. <a href="#Page_44">44</a>: I regard the Confucian traditions concerning the model emperors
+of early time as such a falsification. The whole concept of "abdication"
+has been analysed by M.&nbsp;Granet. The later ceremony of abdication was
+developed upon the basis of the interpretations of Confucius and has
+been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius'
+disciple Meng Tz&#365;, and later Chuang Tz&#365; and Han Fei Tz&#365; were against
+this theory.&mdash;As a general introduction to the philosophy of this
+period, Y.&nbsp;L.&nbsp;Feng's <i>History of Chinese Philosophy</i>, London 1937 has
+still to be recommended, although further research has made many
+advances.&mdash;My analysis of the role of Confucianism in society is
+influenced by theories in the field of Sociology of religion.</p>
+
+<p>p. <a href="#Page_45">45</a>: The temple in Turkestan was in Khotan and is already mentioned in
+the <i>Wei-shu</i> chapter 102. The analysis of the famous "Book on the
+transfiguration of Lao Tz&#365; into a Western Barbarian" by Wang Wei-cheng
+is penetrating and has been used here. The evaluation of Lao Tz&#365; and his
+pupils as against Confucius by J.&nbsp;Needham, in his <i>Science and
+Civilization in China</i>, Cambridge 1954 <i>et sqq.</i> (in volume 2) is very
+stimulating, though necessarily limited to some aspects only.</p>
+
+<p>p. <a href="#Page_47">47</a>: The concept of <i>wu-wei</i> has often been discussed; some, such as
+Masaaki Matsumoto, interpreted the concept purely in social terms as
+"refusal of actions carrying wordly estimation".</p>
+
+<p>p. <a href="#Page_49">49</a>: Further literature concerning alchemy and breathing exercises is
+found in J.&nbsp;Needham's book.<!-- Page 339 --><span class='pagenum'><a name="Page_339" id="Page_339">[Pg 339]</a></span></p>
+
+
+<p class="noindent"><i>Chapter Four</i></p>
+
+<p>p. <a href="#Page_51">51</a>: I have used here the general frame-work of R.&nbsp;L.&nbsp;Walker, but more
+upon Yang K'uan's studies.</p>
+
+<p>p. <a href="#Page_52">52</a>: The interpretation of the change of myths in this period is based
+in part upon the work done by H.&nbsp;Maspero, G.&nbsp;Haloun, and Ku Chieh-kang.
+The analysis of legends made by B.&nbsp;Karlgren from a philological point of
+view ("Legends and Cults in Ancient China", <i>The Museum of Far Eastern
+Antiquities, Bulletin</i> No. 18, 1946, pp. 199-365) follows another
+direction.</p>
+
+<p>p. <a href="#Page_53">53</a>: The discussion on riding involves the theories concerning
+horse-nomadic tribes and the period of this way of life. It also
+involves the problem of the invention of stirrup and saddle. The saddle
+seems to have been used in China already at the beginning of our period;
+the stirrup seems to be as late as the fifth century <span class="smcap">A.D.</span> The
+article by A.&nbsp;Kroeber, <i>The Ancient Oikumene as an Historic Culture
+Aggregate</i>, Huxley Memorial Lecture for 1945, is very instructive for
+our problems and also for its theoretical approach.&mdash;The custom of
+attracting settlers from other areas in order to have more production as
+well as more man-power seems to have been known in India at the same
+time.</p>
+
+<p>p. <a href="#Page_54">54</a>: The work done by Kat&#333; Shigeru and Niida Noboru on property and
+family has been used here. For the later period, work done by Makino
+Tatsumi has also been incorporated.&mdash;Literature on the plough and on
+iron for implements has been mentioned above. Concerning the fallow
+system, I have incorporated the ideas of Kat&#333; Shigeru, &#332;shima Toshikaza,
+Hs&uuml; Ti-shan and Wan Kuo-ting. Hs&uuml; Ti-shan believes that a kind of
+3-field system had developed by this time. Traces of such a system have
+been observed in modern China (H.&nbsp;D.&nbsp;Scholz). For these questions, the
+translation by N.&nbsp;Lee Swann, <i>Food and Money in Ancient China</i>, 1959 is
+very important.</p>
+
+<p>p. <a href="#Page_55">55</a>: For all questions of money and credit from this period down to
+modern times, the best brief introduction is by Lien-sheng Yang, <i>Money
+and Credit in China</i>, Cambridge 1952. The <i>Introduction to the Economic
+History of China</i>, London 1954, by E.&nbsp;Stuart Kirby is certainly still
+the best brief introduction into all problems of Chinese Economic
+history and contains a bibliography in Western and Chinese-Japanese
+languages. Articles by Chinese authors on economic problems have been
+translated in E-tu Zen Sun and J.&nbsp;de Francis, <i>Chinese Social History</i>;
+Washington 1956.&mdash;Data on the size of early cities have been collected
+by T.&nbsp;Sekino and Kat&#333; Shigeru.</p>
+
+<p>p. <a href="#Page_56">56</a>: T.&nbsp;Sekino studied the forms of cities. G.&nbsp;Hentze believes that
+the city even in the Shang period normally had a square plan.&mdash;T.&nbsp;Sekino
+has also made the first research on city coins. Such a privilege and
+such independence of cities disappear later, but occasionally the
+privilege of minting was given to persons of high rank.&mdash;K.&nbsp;A.&nbsp;Wittfogel,
+<i>Oriental Despotism</i>, New Haven 1957 regards irrigation as a key
+economic and social factor and has built up his theory around this
+concept. I do not accept his theory here or later. Evidence seems to
+point towards the importance of transportation systems rather than of
+government-sponsored or operated irrigation systems.&mdash;Concerning steel,
+we follow Yang K'uan; a special study by J.&nbsp;Needham is under
+preparation. Centre of steel production at this time was Wan (later
+Nan-yang in Honan).&mdash;For early Chinese law, the study by A.&nbsp;F.&nbsp;P.&nbsp;Hulsew&eacute;,
+<i>Remnants of Han Law</i>, Leiden 1955 is the best work in English. He does
+not, however, regard Li K'ui as the main creator of Chinese law, though
+Kuo Mo-jo and others <!-- Page 340 --><span class='pagenum'><a name="Page_340" id="Page_340">[Pg 340]</a></span>do. It is obvious, however, that Han law was not a
+creation of the Han Chinese alone and that some type of code must have
+existed before Han, even if such a code was not written by the man Li
+K'ui. A special study on Li was made by O.&nbsp;Franke.</p>
+
+<p>p. <a href="#Page_57">57</a>: In the description of border conditions, research by O.&nbsp;Lattimore
+has been taken into consideration.</p>
+
+<p>p. <a href="#Page_59">59</a>: For Shang Yang and this whole period, the classical work in
+English is still J.&nbsp;J.&nbsp;L.&nbsp;Duyvendak, <i>The Book of Lord Shang</i>, London
+1928; the translation by Ma Perleberg of <i>The Works of Kung-sun
+Lung-tzu</i>, Hongkong 1952 as well as the translation of the <i>Economic
+Dialogues in Ancient China: The Kuan-tzu</i>, edited by L.&nbsp;Maverick, New
+Haven 1954 have not found general approval, but may serve as
+introductions to the way philosophers of our period worked. Han Fei Tz&#365;
+has been translated by W.&nbsp;K.&nbsp;Liao, <i>The Complete Works of Han Fei Tz&#365;</i>,
+London 1939 (only part 1).</p>
+
+<p>p. <a href="#Page_60">60</a>: Needham does not have such a positive attitude towards Tsou Yen,
+and regards Western influences upon Tsou Yen as not too likely. The
+discussion on pp. 60-1 follows mainly my own researches.</p>
+
+<p>p. <a href="#Page_61">61</a>: The interpretation of secret societies is influenced by general
+sociological theory and detailed reports on later secret societies. S.&nbsp;
+Murayama and most modern Chinese scholars stress almost solely the
+social element in the so-called "peasant rebellions".</p>
+
+
+<p class="noindent"><i>Chapter Five</i></p>
+
+<p>p. <a href="#Page_63">63</a>: The analysis of the emergence of Ch'in bureaucracy has profitted
+from general sociological theory, especially M.&nbsp;Weber (see the new
+analysis by R.&nbsp;Bendix, <i>Max Weber, an Intellectual Portrait</i>, Garden
+City 1960, p. 117-157). Early administration systems of this type in
+China have been studied in several articles in the journal <i>Y&uuml;-kung</i>
+(vol. 6 and 7).</p>
+
+<p>p. <a href="#Page_65">65</a>: In the discussion of language, I use arguments which have been
+brought forth by P.&nbsp;Serruys against the previously generally accepted
+theories of B.&nbsp;Karlgren.&mdash;For weights and measures I have referred to T.&nbsp;
+Sekino, Liu Fu and Wu Ch'eng-lo.</p>
+
+<p>p. <a href="#Page_66">66</a>: For this period, D.&nbsp;Bodde's <i>China's First Unifier</i>, Leiden 1938
+and his <i>Statesman, Patriot, and General in Ancient China</i>, New Haven
+1940 remain valuable studies.</p>
+
+
+<p class="noindent"><i>Chapter Six</i></p>
+
+<p>p. <a href="#Page_71">71</a>: The basic historical text for this whole period, the <i>Dynastic
+History of the Han Dynasty</i>, is now in part available in English
+translation (H.&nbsp;H.&nbsp;Dubs, <i>The History of the Former Han Dynasty</i>,
+Baltimore 1938, 3 volumes).</p>
+
+<p>p. <a href="#Page_72">72</a>: The description of the gentry is based upon my own research.
+Other scholars define the word "gentry", if applied to China,
+differently (some of the relevant studies are discussed in my note in
+the <i>Bull. School of Orient. &amp; African Studies</i>, 1955, p. 373 f.).</p>
+
+<p>p. <a href="#Page_73">73</a>: The theory of the cycle of mobility has been brought forth by Fr.
+L.&nbsp;K.&nbsp;Hsu and others. I have based my criticism upon a forthcoming study
+of <i>Social Mobility in Traditional Chinese Society</i>. The basic point is
+not the momentary economic or political power of such a family, but the
+social status of the family (<i>Li-shih yen-chiu</i>, Peking 1955, No. 4, p.
+122). The social status was, increasingly, defined and fixed by law
+(Ch'&uuml; T'ung-tsu).&mdash;The difference in the size of gentry and other
+families has been pointed out by a number of scholars such as Fr. L.&nbsp;K.&nbsp;
+Hsu, H.&nbsp;T.&nbsp;Fei,<!-- Page 341 --><span class='pagenum'><a name="Page_341" id="Page_341">[Pg 341]</a></span> O.&nbsp;Lang. My own research seems to indicate that gentry
+families, on the average, married earlier than other families.</p>
+
+<p>p. <a href="#Page_74">74</a>: The Han system of examinations or rather of selection has been
+studied by Yang Lien-sheng; and analysis of the social origin of
+candidates has been made in the <i>Bull. Chinese Studies</i>, vol. 2, 1941,
+and 3, 1942.&mdash;The meaning of the term "Hundred Families" has been
+discussed by W.&nbsp;Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by
+Hs&uuml; T'ung-hsin. It was later also a fiscal term.</p>
+
+<p>p. <a href="#Page_75">75</a>: The analysis of Hsiung-nu society is based mainly upon my own
+research. There is no satisfactory history of these northern federations
+available in English. The compilation of W.&nbsp;M.&nbsp;MacGovern, <i>The Early
+Empires of Central Asia</i>, Chapel Hill 1939, is now quite antiquated.&mdash;An
+attempt to construct a model of Central Asian nomadic social structure
+has been made by E.&nbsp;E.&nbsp;Bacon, <i>Obok, a Study of Social Structure in
+Eurasia</i>, New York 1958, but the model constructed by B.&nbsp;Vladimirtsov
+and modified by O.&nbsp;Lattimore remains valuable.&mdash;For origin and
+early-development of Hsiung-nu society see O.&nbsp;Maenchen, K.&nbsp;Jettmar, B.&nbsp;
+Bernstam, Uchida Gimpu and many others.</p>
+
+<p>p. <a href="#Page_79">79</a>: Material on the "classes" (<i>sz&#365; min</i>) will be found in a
+forthcoming book. Studies by Ch'&uuml; T'ung-tsu and Tamai Korehiro are
+important here. An up-to-date history of Chinese education is still a
+desideratum.</p>
+
+<p>p. <a href="#Page_80">80</a>: For Tung Chung-shu, I rely mainly upon O.&nbsp;Franke.&mdash;Some scholars
+do not accept this "double standard", although we have clear texts which
+show that cases were evaluated on the basis of Confucian texts and not
+on the basis of laws. In fact, local judges probably only in exceptional
+cases knew the text of the law or had the code. They judged on the basis
+of "customary law".</p>
+
+<p>p. <a href="#Page_81">81</a>: Based mainly upon my own research. K.&nbsp;A.&nbsp;Wittfogel, <i>Oriental
+Despotism</i>, New Haven 1957, has a different interpretation.</p>
+
+<p>p. <a href="#Page_82">82</a>: Cases in which the Han emperors disregarded the law code were
+studied by Y.&nbsp;Hisamura.&mdash;I have used here studies published in the
+<i>Bull. of Chinese Studies</i>, vol. 2 and 3 and in <i>T&ocirc;y&ocirc; gakuho</i>, vol. 8
+and 9, in addition to my own research.</p>
+
+<p>p. <a href="#Page_85">85</a>: On local administration see Kat&#333; Shigeru and Yen Keng-wang's
+studies.</p>
+
+<p>p. <a href="#Page_86">86</a>: The problem of the Chinese gold, which will be touched upon later
+again, has gained theoretical interest, because it could be used as a
+test of M.&nbsp;Lombard's theories concerning the importance of gold in the
+West (<i>Annales, Economies, Soci&eacute;t&eacute;s, Civilisations</i>, vol. 12, Paris
+1957, No. 1, p. 7-28). It was used in China from <i>c.</i> 600 <span class="smcap">B.C.</span> on
+in form of coins or bars, but disappeared almost completely from
+<span class="smcap">A.D.</span> 200 on, i.e. the period of economic decline (see L.&nbsp;S.&nbsp;
+Yang, Kat&#333; Shigeru).&mdash;The payment to border tribes occurs many times
+again in Chinese history down to recent times; it has its parallel in
+British payments to tribes in the North-West Frontier Province in India
+which continued even after the Independence.</p>
+
+<p>p. <a href="#Page_88">88</a>: According to later sources, one third of the tributary gifts was
+used in the Imperial ancestor temples, one third in the Imperial
+mausolea, but one third was used as gifts to guests of the Emperor.&mdash;The
+trade aspect of the tributes was first pointed but by E.&nbsp;Parker, later
+by O.&nbsp;Lattimore, recently by J.&nbsp;K.&nbsp;Fairbank.&mdash;The importance of Chang
+Ch'ien for East-West contacts was systematically studied by B.&nbsp;Laufer;
+his <i>Sino-Iranica</i>, Chicago 1919 is still a classic.<!-- Page 342 --><span class='pagenum'><a name="Page_342" id="Page_342">[Pg 342]</a></span></p>
+
+<p>p. <a href="#Page_89">89</a>: The most important trait which points to foreign trade, is the
+occurrence of glass in Chinese tombs in Indo-China and of glass in China
+proper from the fifth century <span class="smcap">B.C.</span> on; it is assumed that this
+glass was imported from the Near East, possibly from Egypt (O.&nbsp;Janse,
+N.&nbsp;Egami, Seligman).</p>
+
+<p>p. <a href="#Page_91">91</a>: Large parts of the "Discussions" have been translated by Esson M.&nbsp;
+Gale, <i>Discourses on Salt and Iron</i>, Leiden 1931; the continuation of
+this translation is in <i>Jour. Royal As. Society, North-China Branch</i>
+1934.&mdash;The history of eunuchs in China remains to be written. They were
+known since at least the seventh century <span class="smcap">B.C.</span> The hypothesis
+has been made that this custom had its origin in Asia Minor and spread
+from there (R.&nbsp;F.&nbsp;Spencer in <i>Ciba Symposia</i>, vol. 8, No. 7, 1946 with
+references).</p>
+
+<p>p. <a href="#Page_92">92</a>: The main source on Wang Mang is translated by C.&nbsp;B.&nbsp;Sargent, <i>Wang
+Mang, a translation</i>, Shanghai 1950 and H.&nbsp;H.&nbsp;Dubs, <i>History of the
+Former Han Dynasty</i>, vol, 3, Baltimore 1955.</p>
+
+<p>p. <a href="#Page_93">93</a>: This evaluation of the "Old character school" is not generally
+accepted. A quite different view is represented by Tjan Tjoe Som and
+R.&nbsp;P.&nbsp;Kramers and others who regard the differences between the schools
+as of a philological and not a political kind. I follow here most
+strongly the Chinese school as represented by Ku Chieh-kang and his
+friends, and my own studies.</p>
+
+<p>p. <a href="#Page_93">93</a>: Falsification of texts refers to changes in the Tso-chuan. My
+interpretation relies again upon Ku Chieh-kang, and Japanese
+astronomical studies (Ijima Tadao), but others, too, admit
+falsifications (H.&nbsp;H.&nbsp;Dubs); B.&nbsp;Karlgren and others regard the book as in
+its main body genuine. The other text mentioned here is the <i>Chou-li</i>
+which is certainly not written by Wang Mang (<i>Jung-chai Hs&uuml;-pi</i> 16), but
+heavily mis-used by him (in general see S.&nbsp;Uno).</p>
+
+<p>p. <a href="#Page_94">94</a>: I am influenced here by some of H.&nbsp;H.&nbsp;Dubs's studies. For this and
+the following period, the work by H.&nbsp;Bielenstein, <i>The Restoration of
+the Han Dynasty</i>, Stockholm 1953 and 1959 is the best monograph.&mdash;The
+"equalization offices" and their influence upon modern United States has
+been studied by B.&nbsp;Bodde in the <i>Far Eastern Quarterly</i>, vol. 5, 1946.</p>
+
+<p>p. <a href="#Page_95">95</a>: H.&nbsp;Bielenstein regards a great flood as one of the main reasons
+for the breakdown of Wang Mang's rule.</p>
+
+<p>p. <a href="#Page_98">98</a>: For the understanding of Chinese military colonies in Central
+Asia as well as for the understanding of military organization, civil
+administration and business, the studies of Lao Kan on texts excavated
+in Central Asia and Kansu are of greatest importance.</p>
+
+<p>p. <a href="#Page_101">101</a>: Mazdaistic elements in this rebellion have been mentioned mainly
+by H.&nbsp;H.&nbsp;Dubs. Zoroastrism (Zoroaster born 569 <span class="smcap">B.C.</span>) and
+Mazdaism were eminently "political" religions from their very beginning
+on. Most scholars admit the presence of Mazdaism in China only from 519
+on (Ishida Mikinosuke, O.&nbsp;Franke). Dubs's theory can be strengthened by
+astronomical material.&mdash;The basic religious text of this group, the
+"Book of the Great Peace" has been studied by W.&nbsp;<ins class="corr" title="Transcriber's note: Normally spelled Eichhorn.">Eichhron</ins>, H.&nbsp;Maspero
+and Ho Ch'ang-ch'&uuml;n.</p>
+
+<p>p. <a href="#Page_102">102</a>: For the "church" I rely mainly upon H.&nbsp;Maspero and W.&nbsp;Eichhorn.</p>
+
+<p>p. <a href="#Page_103">103</a>: I use here concepts developed by Cheng Chen-to and especially by
+Jung Chao-tsu.</p>
+
+<p>p. <a href="#Page_104">104</a>: Wang Ch'ung's importance has recently been mentioned again by J.&nbsp;
+Needham.<!-- Page 343 --><span class='pagenum'><a name="Page_343" id="Page_343">[Pg 343]</a></span></p>
+
+<p>p. <a href="#Page_105">105</a>: These "court poets" have their direct parallel in Western Asia.
+This trend, however, did not become typical in China.&mdash;On the general
+history of paper read A.&nbsp;Kroeber, <i>Anthropology</i>, New York 1948, p.
+490f., and Dard Hunter, <i>Paper Making</i>, New York 1947 (2nd ed.).</p>
+
+
+<p class="noindent"><i>Chapter Seven</i></p>
+
+<p>p. <a href="#Page_109">109</a>: The main historical sources for this period have been translated
+by Achilles Fang, <i>The Chronicle of the Three Kingdoms</i>, Cambridge,
+Mass. 1952; the epic which describes this time is C.&nbsp;H.&nbsp;Brewitt-Taylor,
+<i>San Kuo, or Romance of the Three Kingdoms</i>, Shanghai 1925.</p>
+
+<p>p. <a href="#Page_112">112</a>: For problems of migration and settlement in the South, we relied
+in part upon research by Ch'en Y&uuml;an and Wang Yi-t'ung.</p>
+
+<p>p. <a href="#Page_114">114</a>: For the history of the Hsiung-nu I am relying mainly upon my own
+studies.</p>
+
+<p>p. <a href="#Page_117">117</a>: This analysis of tribal structure is based mainly upon my own
+research; it differs in detail from the studies by E.&nbsp;Bacon, <i>Obok, a
+Study of Social Structure in Eurasia</i>, New York 1958, B.&nbsp;Vladimirtsov,
+O.&nbsp;Lattimore's <i>Inner Asian Frontiers of China</i>, New York 1951 (2nd
+edit.) and the studies by L.&nbsp;M.&nbsp;J.&nbsp;Schram, <i>The Monguors of the
+Kansu-Tibetan Frontier</i>, Philadelphia 1954 and 1957.</p>
+
+<p>p. <a href="#Page_118">118</a>: The use of the word "Huns" does not imply that we identify the
+early or the late Hsiung-nu with the European Huns. This question is
+still very much under discussion (O.&nbsp;Maenchen, W.&nbsp;Haussig, W.&nbsp;Henning,
+and others).</p>
+
+<p>p. <a href="#Page_119">119</a>: For the history of the early Hsien-pi states see the monograph
+by G.&nbsp;Schreiber, "The History of the Former Yen Dynasty", in <i>Monomenta
+Serica</i>, vol. 14 and 15 (1949-56). For all translations from Chinese
+Dynastic Histories of the period between 220 and 960 the <i>Catalogue of
+Translations from the Chinese Dynastic Histories for the Period
+220-960</i>, by Hans H.&nbsp;Frankel, Berkeley 1957, is a reliable guide.</p>
+
+<p>p. <a href="#Page_125">125</a>: For the description of conditions in Turkestan, especially in
+Tunhuang, I rely upon my own studies, but studies by A.&nbsp;von Gabein, L.&nbsp;
+Ligeti, J.&nbsp;R.&nbsp;Ware, O.&nbsp;Franke and Tsukamoto Zenry&ucirc; have been used, too.</p>
+
+<p>p. <a href="#Page_133">133</a>: These songs have first been studied by Hu Shih, later by Chinese
+folklorists.</p>
+
+<p>p. <a href="#Page_134">134</a>: For problems of Chinese Buddhism see Arthur F.&nbsp;Wright, <i>Buddhism
+in Chinese History</i>, Stanford 1959, with further bibliography. I have
+used for this and later periods, in addition to my own sociological
+studies, R.&nbsp;Michihata, J.&nbsp;Gernet, and Tamai Korehiro.&mdash;It is interesting
+that the rise of land-owning temples in India occurred at exactly the
+same time (R.&nbsp;S.&nbsp;Sharma in <i>Journ. Econ. and Soc. Hist. Orient</i>, vol. 1,
+1958, p. 316). Perhaps even more interesting, but still unstudied, is
+the existence of Buddhist temples in India which owned land and villages
+which were donated by contributions from China.&mdash;For the use of foreign
+monks in Chinese bureaucracies, I have used M.&nbsp;Weber's theory as an
+interpretative tool.</p>
+
+<p>p. 135: The important deities of Khotan Buddhism are Vai&#353;ramana and
+Kubera, (research by P.&nbsp;Demi&eacute;ville, R.&nbsp;Stein and others).&mdash;Where, how,
+and why Hinayana and Mahayana developed as separate sects, is not yet
+studied. Also, a sociological analysis of the different Buddhist sects
+in China has not even been attempted yet.</p>
+
+<p>p. <a href="#Page_136">136</a>: Such public religious disputations were known also in India.</p>
+
+<p>p. <a href="#Page_137">137</a>: Analysis of the tribal names has been made by L.&nbsp;Bazin.<!-- Page 344 --><span class='pagenum'><a name="Page_344" id="Page_344">[Pg 344]</a></span></p>
+
+<p>p. <a href="#Page_138">138</a>-9: The personality type which was the ideal of the Toba
+corresponded closely to the type described by G.&nbsp;Geesemann, <i>Heroische
+Lebensform</i>, Berlin 1943.</p>
+
+<p>p. <a href="#Page_142">142</a>: The Toba occur in contemporary Western sources as Tabar, Tabga&ccedil;,
+Tafka&ccedil; and similar names. The ethnic name also occurs as a title (O.&nbsp;
+Pritsak, P.&nbsp;Pelliot, W.&nbsp;Haussig and others).&mdash;On the <i>ch&uuml;n-t'ien</i> system
+cf. the article by Wan Kuo-ting in E-tu Zen Sun, <i>Chinese Social
+History</i>, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and
+T'ang Ch'ang-ju.&mdash;Census fragments from Tunhuang have been published by
+L.&nbsp;Giles, Niida Noboru and other Japanese scholars.</p>
+
+<p>p. <a href="#Page_143">143</a>: On slaves for the earlier time see M.&nbsp;Wilbur, <i>Slavery in China
+during the Former Han Dynasty</i>, Chicago 1943. For our period Wang
+Yi-t'ung and especially Niida Noboru and Ch'&uuml; T'ung-tsu. I used for this
+discussion Niida, Ch'&uuml; and Tamai Korehiro.&mdash;For the <i>pu-ch'&uuml;</i> I used in
+addition Yang Chung-i, H.&nbsp;Maspero, E.&nbsp;Balazs, W.&nbsp;Eichhorn. Yang's
+article is translated in E-tu Zen Sun's book, <i>Chinese Social History</i>,
+pp. 142-56.&mdash;The question of slaves and their importance in Chinese
+society has always been given much attention by Chinese Communist
+authors. I believe that a clear distinction between slaves and serfs is
+very important.</p>
+
+<p>p. <a href="#Page_145">145</a>: The political use of Buddhism has been asserted for Japan as
+well as for Korea and Tibet (H.&nbsp;Hoffmann, <i>Quellen zur Geschichte der
+tibetischen Bon-Religion</i>, Mainz 1950, p. 220 f.). A case could be made
+for Burma. In China, Buddhism was later again used as a tool by rulers
+(see below).</p>
+
+<p>p. <a href="#Page_146">146</a>: The first text in which such problems of state versus church are
+mentioned is Mou Tz&#365; (P.&nbsp;Pelliot transl.). More recently, some of the
+problems have been studied by R.&nbsp;Michihata and E.&nbsp;Z&uuml;rcher. Michihata
+also studied the temple slaves. Temple families were slightly different.
+They have been studied mainly by R.&nbsp;Michihata, J.&nbsp;Gernet and Wang
+Yi-t'ung. The information on T'an-yao is mainly in <i>Wei-shu</i> 114
+(transl. J.&nbsp;Ware).&mdash;The best work on Y&uuml;n-kang is now Seiichi Mizuno and
+Toshio Nagahiro, <i>Y&uuml;n-kang. The Buddhist Cave-Temples of the Fifth
+Century <span class="smcap">A.D.</span> in North China</i>, Kyoto 1951-6, thus far 16
+volumes. For Chinese Buddhist art, the work by Tokiwa Daij&ocirc; and Sekino
+Tadashi, <i>Chinese Buddhist Monuments</i>, Tokyo 1926-38, 5 volumes, is most
+profusely illustrated.&mdash;As a general reader for the whole of Chinese
+art, Alexander Soper and L.&nbsp;Sickman's <i>The Art and Architecture of
+China</i>, Baltimore 1956 may be consulted.</p>
+
+<p>p. <a href="#Page_147">147</a>: Zenry&ucirc; Tsukamoto has analysed one such popular, revolutionary
+Buddhist text from the fifth century <span class="smcap">A.D.</span> I rely here for the
+whole chapter mainly upon my own research.</p>
+
+<p>p. <a href="#Page_150">150</a>: On the Ephtalites (or Hephtalites) see R.&nbsp;Ghirshman and
+Enoki.&mdash;The carpet ceremony has been studied by P.&nbsp;Boodberg, and in a
+comparative way by L.&nbsp;Olschki, <i>The Myth of Felt</i>, Berkeley 1949.</p>
+
+<p>p. <a href="#Page_151">151</a>: For Yang Chien and his time see now A.&nbsp;F.&nbsp;Wright, "The Formation
+of Sui Ideology" in John K.&nbsp;Fairbank, <i>Chinese Thought and
+Institutions</i>, Chicago 1957, pp. 71-104.</p>
+
+<p>p. <a href="#Page_153">153</a>: The processes described here, have not yet been thoroughly
+analysed. A preliminary review of literature is given by H.&nbsp;Wiens,
+<i>China's March towards the Tropics</i>, Hamden 1954. I used Ch'en Y&uuml;an,
+Wang Yi-t'ung and my own research.</p>
+
+<p>p. <a href="#Page_154">154</a>: It is interesting to compare such hunting parks with the
+"<i>paradeisos</i>" (Paradise) of the Near East and with the "Garden of
+Eden".&mdash;Most of the data on gardens and manors have been brought
+together and <!-- Page 345 --><span class='pagenum'><a name="Page_345" id="Page_345">[Pg 345]</a></span>studied by Japanese scholars, especially by Kat&#333; Shigeru,
+some also by Ho Tz&ucirc;-ch'&uuml;an.&mdash;The disappearance of "village commons" in
+China should be compared with the same process in Europe; both
+processes, however, developed quite differently. The origin of manors
+and their importance for the social structure of the Far East (China as
+well as Japan) is the subject of many studies in Japan and in modern
+China. This problem is connected with the general problem of feudalism
+East and West. The manor (<i>chuang</i>: Japanese <i>sh&ocirc;</i>) in later periods has
+been studied by Y.&nbsp;Sud&ocirc;. H.&nbsp;Maspero also devotes attention to this
+problem. Much more research remains to be done.</p>
+
+<p>p. <a href="#Page_158">158</a>: This popular rebellion by Sun En has been studied by W.&nbsp;
+Eichhorn.</p>
+
+<p>p. <a href="#Page_163">163</a>: On foreign music in China see L.&nbsp;C.&nbsp;Goodrich and Ch'&uuml; T'ung-tsu,
+H.&nbsp;G.&nbsp;Farmer, S.&nbsp;Kishibe and others.&mdash;Niida Noboru pointed out that
+musicians belonged to one of the lower social classes, but had special
+privileges because of their close relations to the rulers.</p>
+
+<p>p. <a href="#Page_164">164</a>: Meditative or <i>Ch'an</i> (Japanese: <i>Zen</i>) Buddhism in this period
+has been studied by Hu Shih, but further analysis is necessary.&mdash;The
+philosophical trends of this period have been analysed by E.&nbsp;
+Balazs.&mdash;Mention should also be made of the aesthetic-philosophical
+conversation which was fashionable in the third century, but in other
+form still occurred in our period, the so-called "pure talk"
+(<i>ch'ing-t'an</i>) (E.&nbsp;Balazs, H.&nbsp;Wilhelm and others).</p>
+
+
+<p class="noindent"><i>Chapter Eight</i></p>
+
+<p>p. <a href="#Page_167">167</a>: For genealogies and rules of giving names, I use my own research
+and the study by W.&nbsp;Bauer.</p>
+
+<p>p. <a href="#Page_168">168</a>: For Emperor Wen Ti, I rely mainly upon A.&nbsp;F.&nbsp;Wright's
+above-mentioned article, but also upon O.&nbsp;Franke.</p>
+
+<p>p. <a href="#Page_169">169</a>: The relevant texts concerning the T'u-ch&uuml;eh are available in
+French (E.&nbsp;Chavannes) and recently also in German translation (Liu
+Mau-tsai, <i>Die chinesischen Nachrichten zur Geschichte der Ost-T&#365;rken</i>,
+Wiesbaden 1958, 2 vol.).&mdash;The T&ouml;l&ouml;s are called T'e-lo in Chinese
+sources; the T'u-y&uuml;-hun are called Aza in Central Asian sources (P.&nbsp;
+Pelliot, A.&nbsp;Minorsky, F.&nbsp;W.&nbsp;Thomas, L.&nbsp;Hambis, <i>et al.</i>). The most
+important text concerning the T'u-y&uuml;-hun had been translated by Th.&nbsp;D.&nbsp;
+Caroll, <i>Account of the T'u-y&uuml;-hun in the History of the Chin Dynasty</i>,
+Berkeley 1953.</p>
+
+<p>p. <a href="#Page_171">171</a>: The transcription of names on this and on the other maps could
+not be adjusted to the transcription of the text for technical reasons.</p>
+
+<p>p. <a href="#Page_172">172</a>: It is possible that I have underestimated the role of Li Y&uuml;an. I
+relied here mainly upon O.&nbsp;Franke and upon W.&nbsp;Bingham's <i>The Founding of
+the T'ang Dynasty</i>, Baltimore 1941.</p>
+
+<p>p. <a href="#Page_173">173</a>: The best comprehensive study of T'ang economy in a Western
+language is still E.&nbsp;Balazs's work. I relied, however, strongly upon Wan
+Kuo-ting, Yang Chung-i, Kat&#333; Shigeru, J.&nbsp;Gernet, T.&nbsp;Naba, Niida Noboru,
+Yoshimi Matsumoto.</p>
+
+<p>p. <a href="#Page_173">173</a>-4: For the description of the administration I used my own
+studies and the work of R.&nbsp;des Rotours; for the military organization I
+used Kikuehi Hideo. A real study of Chinese army organization and
+strategy does not yet exist. The best detailed study, but for the Han
+period, is written by H.&nbsp;Maspero.</p>
+
+<p>p. <a href="#Page_174">174</a>: For the first occurrence of the title <i>tu-tu</i> we used W.&nbsp;
+Eichhorn; in the form <i>tutuq</i> the title occurs since 646 in Central Asia
+(J.&nbsp;Hamilton).</p>
+
+<p>p. <a href="#Page_177">177</a>: The name T'u-fan seems to be a transcription of T&uuml;p&ouml;t which, <!-- Page 346 --><span class='pagenum'><a name="Page_346" id="Page_346">[Pg 346]</a></span>in
+turn, became our Tibet. (J.&nbsp;Hamilton).&mdash;The Uigurs are the Hui-ho or
+Hui-hu of Chinese sources.</p>
+
+<p>p. <a href="#Page_179">179</a>: On relations with Central Asia and the West see Ho Chien-min and
+Hsiang Ta, whose classical studies on Ch'ang-an city life have recently
+been strongly criticized by Chinese scholars.&mdash;Some authors (J.&nbsp;K.&nbsp;
+Rideout) point to the growing influence of eunuchs in this period.&mdash;The
+sources paint the pictures of the Empress Wu in very dark colours. A
+more detailed study of this period seems to be necessary.</p>
+
+<p>p. <a href="#Page_180">180</a>: The best study of "family privileges" (<i>yin</i>) in general is by
+E.&nbsp;A.&nbsp;Kracke, <i>Civil Service in Early Sung China</i>, Cambridge, Mass. 1953.</p>
+
+<p>p. <a href="#Page_180">180</a>-1: The economic importance of organized Buddhism has been studied
+by many authors, especially J.&nbsp;Gernet, Yang Lien-sheng, Ch'&uuml;an
+Han-sheng, K.&nbsp;Tamai and R.&nbsp;Michihata.</p>
+
+<p>p. <a href="#Page_182">182</a>: The best comprehensive study on T'ang prose in English is still
+E.&nbsp;D.&nbsp;Edwards, <i>Chinese Prose Literature of the T'ang Period</i>, London
+1937-8, 2 vol. On Li T'ai-po and Po Ch&uuml;-i we have well-written books by
+A.&nbsp;Waley, <i>The Poetry and Career of Li Po</i>, London 1951 and <i>The Life
+and Times of Po Ch&uuml;-i</i>, London 1950.&mdash;On the "free poem" (<i>tz'&#365;</i>), which
+technically is not a free poem, see A.&nbsp;Hoffmann and Hu Shih. For the
+early Chinese theatre, the classical study is still Wang Kuo-wei's
+analysis, but there is an almost unbelievable number of studies
+constantly written in China and Japan, especially on the later theatre
+and drama.</p>
+
+<p>p. <a href="#Page_184">184</a>: Conditions at the court of Hs&uuml;an Tsung and the life of Yang
+Kui-fei have been studied by Howard Levy and others, An Lu-shan's
+importance mainly by E.&nbsp;G.&nbsp;Pulleyblank, <i>The Background of the Rebellion
+of An Lu-shan</i>, London 1955.</p>
+
+<p>p. <a href="#Page_187">187</a>: The tax reform of Yang Yen has been studied by K.&nbsp;Hino; the most
+important figures in T'ang economic history are Liu Yen (studied by Ch&uuml;
+Ch'ing-y&uuml;an) and Lu Chih (754-805; studied by E.&nbsp;Balazs and others).</p>
+
+<p>p. <a href="#Page_187">187</a>-8: The conditions at the time of this persecution are well
+described by E.&nbsp;O.&nbsp;Reischauer, <i>Ennin's Travels in T'ang China</i>, New York
+1955, on the basis of his <i>Ennin's Diary. The Record of a Pilgrimage to
+China</i>, New York 1955. The persecution of Buddhism has been analysed in
+its economic character by Niida Noboru and other Japanese
+scholars.&mdash;Metal statues had to be delivered to the Salt and Iron Office
+in order to be converted into cash; iron statues were collected by local
+offices for the production of agricultural implements; figures in gold,
+silver or other rare materials were to be handed over to the Finance
+Office. Figures made of stone, clay or wood were not affected
+(Michihata).</p>
+
+<p>p. <a href="#Page_189">189</a>: It seems important to note that popular movements are often not
+led by simple farmers or members of the lower classes. There are other
+salt merchants and persons of similar status known as leaders.</p>
+
+<p>p. <a href="#Page_190">190</a>: For the Sha-t'o, I am relying upon my own research. Tatars are
+the Ta-tan of the Chinese sources. The term is here used in a narrow
+sense.</p>
+
+<p>p. <a href="#Page_195">195</a>: Many Chinese and Japanese authors have a new period begin with
+the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li
+Chien-nung), while others prefer a cut already in the Middle of the
+T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the
+period which we called "Modern Times" is at best a sub-period within a
+larger period which really started with what we called "Medieval China".</p>
+
+<p>p. <a href="#Page_196">196</a>: For the change in the composition of the gentry, I am using my
+own research.&mdash;For clan rules, clan foundations, etc., I used D.&nbsp;C.&nbsp;
+Twitchett, J.&nbsp;Fischer, Hu Hsien-chin, Ch'&uuml; T'ung-tsu, Niida Noboru <!-- Page 347 --><span class='pagenum'><a name="Page_347" id="Page_347">[Pg 347]</a></span>and
+T.&nbsp;Makino. The best analysis of the clan rules is by Wang Hui-chen in
+D.&nbsp;S.&nbsp;Nivison, <i>Confucianism in Action</i>, Stanford 1959, p. 63-96.&mdash;I do
+not regard such marriage systems as "survivals" of ancient systems which
+have been studied by M.&nbsp;Granet and systematically analysed by C.&nbsp;
+L&eacute;vy-Strauss in his <i>Les structures &eacute;l&eacute;mentaires de la parent&eacute;</i>, Paris
+1949, pp. 381-443. In some cases, the reasons for the establishment of
+such rules can still be recognized.&mdash;A detailed study of despotism in
+China still has to be written. K.&nbsp;A.&nbsp;Wittfogel's <i>Oriental Despotism</i>,
+New Haven 1957 does not go into the necessary detailed work.</p>
+
+<p>p. <a href="#Page_197">197</a>: The problem of social mobility is now under study, after
+preliminary research by K.&nbsp;A.&nbsp;Wittfogel, E.&nbsp;Kracke, myself and others. E.&nbsp;
+Kracke, Ho Ping-ti, R.&nbsp;M.&nbsp;Marsh and I are now working on this topic.&mdash;For
+the craftsmen and artisans, much material has recently been collected by
+Chinese scholars. I have used mainly Li Chien-nung and articles in
+<i>Li-shih yen-chiu</i> 1955, No. 3 and in <i>Mem. Inst. Orient. Cult.</i>
+1956.&mdash;On the origin of guilds see Kat&#333; Shigeru; a general study of
+guilds and their function has not yet been made (preliminary work by P.&nbsp;
+Maybon, H.&nbsp;B.&nbsp;Morse, J.&nbsp;St. Burgess, K.&nbsp;A.&nbsp;Wittfogel and others).
+Comparisons with Near-Eastern guilds on the one hand and with Japanese
+guilds on the other, are quite interesting but parallels should not be
+over-estimated. The <i>tong</i> of U.&nbsp;S.&nbsp;Chinatowns (<i>tang</i> in Mandarin) are
+late and organizations of businessmen only (S.&nbsp;Yokoyama and Laai
+Yi-faai). They are not the same as the <i>hui-kuan</i>.</p>
+
+<p>p. <a href="#Page_198">198</a>: For the merchants I used Ch'&uuml; T'ung-tsu, Sung Hsi and Wada
+Kiyoshi.&mdash;For trade, I used extensively Ch'&uuml;an Han-sheng and J.&nbsp;
+Kuwabara.&mdash;On labour legislation in early modern times I used Ko
+Ch'ang-chi and especially Li Chien-nung, also my own studies.&mdash;On
+strikes I used Kat&#333; Shigeru and modern Chinese authors.&mdash;The problem of
+"vagrants" has been taken up by Li Chien-nung who always refers to the
+original sources and to modern Chinese research.&mdash;The growth of cities,
+perhaps the most striking event in this period, has been studied for the
+earlier part of our period by Kat&#333; Shigeru. Li Chien-nung also deals
+extensively with investments in industry and agriculture. The problem as
+to whether China would have developed into an industrial society without
+outside stimulus is much discussed by Marxist authors in China.</p>
+
+<p>p. <a href="#Page_199">199</a>: On money policy see Yang Lien-sheng, Kat&#333; Shigeru and others.</p>
+
+<p>p. <a href="#Page_200">200</a>: The history of one of the Southern Dynasties has been translated
+by Ed. H.&nbsp;Schafer, <i>The Empire of Min</i>, Tokyo 1954; Schafer's
+annotations provide much detail for the cultural and economic conditions
+of the coastal area.&mdash;For tea and its history, I use my own research;
+for tea trade a study by K.&nbsp;Kawakami and an article in the <i>Frontier
+Studies</i>, vol. 3, 1943.&mdash;Salt consumption according to H.&nbsp;T.&nbsp;Fei,
+<i>Earthbound China</i>, 1945, p. 163.</p>
+
+<p>p. <a href="#Page_201">201</a>: For salt I used largely my own research. For porcelain
+production Li Chien-nung and other modern articles.&mdash;On paper, the
+classical study is Th. F.&nbsp;Carter, <i>The Invention of Printing in China</i>,
+New York 1925 (a revised edition now published by L.&nbsp;C.&nbsp;Goodrich).</p>
+
+<p>p. <a href="#Page_202">202</a>: For paper money in the early period, see Yang Lien-sheng, <i>Money
+and Credit in China</i>, Cambridge, Mass., 1952. Although the origin of
+paper money seems to be well established, it is interesting to note that
+already in the third century <span class="smcap">A.D.</span> money made of paper was
+produced and was burned during funeral ceremonies to serve as financial
+help for the dead. This money was, however, in the form of coins.&mdash;On
+<!-- Page 348 --><span class='pagenum'><a name="Page_348" id="Page_348">[Pg 348]</a></span>iron money see Yang Lien-sheng; I also used an article in <i>Tung-fang
+tsa-chih</i>, vol. 35, No. 10.</p>
+
+<p>p. <a href="#Page_203">203</a>: For the Kitan (Chines: Ch'i-tan) and their history see K.&nbsp;A.&nbsp;
+Wittfogel and Feng Chia-sheng, <i>History of Chinese Society. Liao</i>,
+Philadelphia 1949.</p>
+
+<p>p. <a href="#Page_204">204</a>: For these dynasties, I rely upon my own research.&mdash;Niida Noboru
+and Kat&#333; Shigeru have studied adoption laws; our specific case has in
+addition been studied by M.&nbsp;Kurihara. This system of adoptions is
+non-Chinese and has its parallels among Turkish tribes (A.&nbsp;Kollantz,
+Abdulkadir Inan, Osman Turan).</p>
+
+<p>p. <a href="#Page_207">207</a>: For the persecution I used K.&nbsp;Tamai and my own research.</p>
+
+<p>p. <a href="#Page_211">211</a>: This is based mainly upon my own research.&mdash;The remark on tax
+income is from Ch'&uuml;an Han-sheng.</p>
+
+<p>p. <a href="#Page_212">212</a>: Fan Chung-yen has been studied recently by J.&nbsp;Fischer and D.&nbsp;
+Twitchett, but these notes on price policies are based upon my own
+work.&mdash;I regard the statement, that it was the gentry which prevented
+the growth of an industrial society&mdash;a statement which has often been
+made before&mdash;as preliminary, and believe that further research,
+especially in the growth of cities and urban institutions may lead to
+quite different explanations.&mdash;On estate management I relied on Y.&nbsp;
+Sud&ocirc;'s work.</p>
+
+<p>p. <a href="#Page_213">213</a>: Research on place names such as mentioned here, has not yet been
+systematically done.&mdash;On <i>i-chuang</i> I relied upon the work by T.&nbsp;Makino
+and D.&nbsp;Twitchett.&mdash;This process of tax-evasion has been used by K.&nbsp;A.&nbsp;
+Wittfogel (1938) to construct a theory of a crisis cycle in China. I do
+not think that such far-reaching conclusions are warranted.</p>
+
+<p>p. <a href="#Page_214">214</a>: This "law" was developed on the basis of Chinese materials from
+different periods as well as on materials from other parts of Asia.&mdash;In
+the study of tenancy, cases should be studied in which wealthier farmers
+rent additional land which gets cultivated by farm labourers. Such cases
+are well known from recent periods, but have not yet been studied in
+earlier periods. At the same time, the problem of farm labourers should
+be investigated. Such people were common in the Sung time. Research
+along these lines could further clarify the importance of the so-called
+"guest families" (<i>k'o-hu</i>) which were alluded to in these pages. They
+constituted often one third of the total population in the Sung period.
+The problem of migration and mobility might also be clarified by
+studying the <i>k'o-hu.</i></p>
+
+<p>p. <a href="#Page_215">215</a>: For Wang An-shih, the most comprehensive work is still H.&nbsp;
+Williamson's <i>Wang An-shih</i>, London 1935, 3 vol., but this work in no
+way exhausts the problems. We have so much personal data on Wang that a
+psychological study could be attempted; and we have since Williamson's
+time much deeper insight into the reforms and theories of Wang. I used,
+in addition to Williamson, O.&nbsp;Franke, and my own research.</p>
+
+<p>p. <a href="#Page_216">216</a>: Based mainly upon Ch'&uuml; T'ung-tsu.&mdash;For the social legislation
+see Hs&uuml; I-t'ang; for economic problems I used Ch'&uuml;an Han-sheng, Ts'en
+Chung-mien and Liu Ming-shu.&mdash;Most of these relief measures had their
+precursors in the T'ang period.</p>
+
+<p>p. <a href="#Page_217">217</a>: It is interesting to note that later Buddhism gave up its
+"social gospel" in China. Buddhist circles in Asian countries at the
+present time attempt to revive this attitude.</p>
+
+<p>p. <a href="#Page_218">218</a>: For slaughtering I used A.&nbsp;Hulsew&eacute;; for greeting R.&nbsp;Michihata;
+on law Ch'&uuml; T'ung-tsu; on philosophy I adapted ideas from Chan
+Wing-sit.<!-- Page 349 --><span class='pagenum'><a name="Page_349" id="Page_349">[Pg 349]</a></span></p>
+
+<p>p. <a href="#Page_219">219</a>: A comprehensive study of Chu Hsi is a great desideratum. Thus
+far, we have in English mainly the essays by Feng Yu-lan (transl. and
+annotated by D.&nbsp;Bodde) in the <i>Harvard Journal of Asiat. Stud.</i>, vol. 7,
+1942. T.&nbsp;Makino emphasized Chu's influence upon the Far East, J.&nbsp;Needham
+his interest in science.</p>
+
+<p>p. <a href="#Page_220">220</a>: For Su Tung-p'o as general introduction see Lin Yutang, <i>The Gay
+Genius. The Life and Times of Su Tungpo</i>, New York 1947.&mdash;For painting,
+I am using concepts of A.&nbsp;Soper here.</p>
+
+<p>p. <a href="#Page_222">222</a>: For this period the standard work is K.&nbsp;A.&nbsp;Wittfogel and Feng
+Chia-sheng, <i>History of Chinese Society, Liao</i>, Philadelphia
+1949.&mdash;Po-hai had been in tributary relations with the dynasties of
+North China before its defeat, and resumed these from 932 on; there were
+even relations with one of the South Chinese states; in the same way,
+Kao-li continuously played one state against the other (M.&nbsp;Rogers <i>et
+al.</i>).</p>
+
+<p>p. <a href="#Page_223">223</a>: On the Kara-Kitai see Appendix to Wittfogel-Feng.</p>
+
+<p>p. <a href="#Page_228">228</a>: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia
+Ssu-tao upon H.&nbsp;Franke.</p>
+
+<p>p. <a href="#Page_229">229</a>: The Ju-ch&ecirc;n (Jurchen) are also called N&uuml;-chih and N&uuml;-chen, but
+Ju-chen seems to be correct (<i>Studia Serica</i>, vol. 3, No. 2).</p>
+
+
+<p class="noindent"><i>Chapter Ten</i></p>
+
+<p>p. <a href="#Page_233">233</a>: I use here mainly Meng Ssu-liang, but also others, such as Ch&uuml;
+Ch'ing-y&uuml;an and Li Chien-nung.&mdash;The early political developments are
+described by H.&nbsp;D.&nbsp;Martin, <i>The Rise of Chingis Khan and his Conquest of
+North China</i>, Baltimore 1950.</p>
+
+<p>p. <a href="#Page_236">236</a>: I am alluding here to such Taoist sects as the Cheng-i-chiao
+(Sun K'o-k'uan and especially the study in <i>Kita Aziya gakuh&#333;</i>, vol. 2).</p>
+
+<p>pp. <a href="#Page_236">236</a>-7: For taxation and all other economic questions I have relied
+upon Wan Kuo-ting and especially upon H.&nbsp;Franke. The first part of the
+main economic text is translated and annotated by H.&nbsp;F.&nbsp;Schurmann,
+<i>Economic Structure of the Y&uuml;an Dynasty</i>, Cambridge, Mass., 1956.</p>
+
+<p>p. <a href="#Page_237">237</a>: On migrations see T.&nbsp;Makino and others.&mdash;For the system of
+communications during the Mongol time and the privileges of merchants, I
+used P.&nbsp;Olbricht.</p>
+
+<p>p. <a href="#Page_238">238</a>: For the popular rebellions of this time, I used a study in the
+<i>Bull. Acad. Sinica</i>, vol. 10, 1948, but also Meng Ssu-liang and others.</p>
+
+<p>p. <a href="#Page_239">239</a>: On the White Lotos Society (Pai-lien-hui) see note to previous
+page and an article by Hagiwara Jumpei.</p>
+
+<p>p. <a href="#Page_240">240</a>: H.&nbsp;Serruys, <i>The Mongols in China during the Hung-wu Period</i>,
+Bruges 1959, has studied in this book and in an article the fate of
+isolated Mongol groups in China after the breakdown of the dynasty.</p>
+
+<p>pp. <a href="#Page_241">241</a>-2: The travel report of Ch'ang-ch'un has been translated by A.&nbsp;
+Waley, <i>The Travels of an Alchemist</i>, London 1931.</p>
+
+<p>pp. <a href="#Page_242">242</a>: <i>Hsi-hsiang-chi</i> has been translated by S.&nbsp;I.&nbsp;Hsiung. <i>The
+Romance of the Western Chamber</i>, London 1935. All important analytic
+literature on drama and theatre is written by Chinese and Japanese
+authors, especially by Yoshikawa K&ocirc;jir&ocirc;.&mdash;For Bon and early Lamaism, I
+used H.&nbsp;Hoffmann.</p>
+
+<p>p. <a href="#Page_243">243</a>: Lamaism in Mongolia disappeared later, however, and was
+re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the
+sixteenth century. See R.&nbsp;J.&nbsp;Miller, <i>Monasteries and Culture Change in
+Inner Mongolia</i>, Wiesbaden 1959.</p>
+
+<p>p. <a href="#Page_245">245</a>: Much more research is necessary to clarify Japanese-Chinese
+relations in this period, especially to determine the size of trade.
+Good <!-- Page 350 --><span class='pagenum'><a name="Page_350" id="Page_350">[Pg 350]</a></span>material is in the article by S.&nbsp;Iwao. Important is also S.&nbsp;Sakuma
+and an article in <i>Li-shih yen-chiu</i> 1955, No. 3. For the loss of coins,
+I relied upon D.&nbsp;Brown.</p>
+
+<p>p. <a href="#Page_246">246</a>: The necessity of transports of grain and salt was one of the
+reasons for the emergence of the Hsin-an and Hui-chou merchants. The
+importance of these developments is only partially known (studies mainly
+by H.&nbsp;Fujii and in <i>Li-shih-yen-chiu</i> 1955, No. 3). Data are also in an
+unpublished thesis by Ch. Mac Sherry, <i>The Impairment of the Ming
+Tributary System</i>, and in an article by Wang Ch'ung-wu.</p>
+
+<p>p. <a href="#Page_247">247</a>: The tax system of the Ming has been studied among others by
+Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in
+the periods before the reform. For the land grants, I used Wan
+Kuo-ting's data.</p>
+
+<p>p. <a href="#Page_248">248</a>: Based mainly upon my own research. On the progress of
+agriculture wrote Li Chien-nung and also Kat&#333; Shigeru and others.</p>
+
+<p>p. <a href="#Page_250">250</a>: I believe that further research would discover that the
+"agrarian revolution" was a key factor in the economic and social
+development of China. It probably led to another change in dietary
+habits; it certainly led to a greater labour input per person, i.e. a
+higher number of full working days per year than before. It may be&mdash;but
+only further research can try to show this&mdash;that the "agrarian
+revolution" turned China away from technology and industry.&mdash;On cotton
+and its importance see the studies by M.&nbsp;Amano, and some preliminary
+remarks by P.&nbsp;Pelliot.</p>
+
+<p>p. <a href="#Page_250">250</a>-1: Detailed study of Central Chinese urban centres in this time
+is a great desideratum. My remarks here have to be taken as very
+preliminary. Notice the special character of the industries
+mentioned!&mdash;The porcelain centre of Ching-t&ecirc;-chen was inhabited by
+workers and merchants (70-80 per cent of population); there were more
+than 200 private kilns.&mdash;On indented labour see Li Chien-nung, H.&nbsp;Iwami
+and Y.&nbsp;Yamane.</p>
+
+<p>p. <a href="#Page_253">253</a>: On <i>pien-wen</i> I used R.&nbsp;Michihata, and for this general
+discussion R.&nbsp;Irvin, <i>The Evolution of a Chinese Novel</i>, Cambridge,
+Mass., 1953, and studies by J.&nbsp;Jaworski and J.&nbsp;Pru&#353;ek. Many texts of
+<i>pien-wen</i> and related styles have been found in Tunhuang and have been
+recently republished by Chinese scholars.</p>
+
+<p>p. <a href="#Page_254">254</a>: <i>Shui-hu-chuan</i> has been translated by Pearl Buck, <i>All Men are
+Brothers</i>. Parts of <i>Hsi-yu-chi</i> have been translated by A.&nbsp;Waley,
+<i>Monkey</i>, London 1946. <i>San-kuo yen-i</i> is translated by C.&nbsp;H.&nbsp;
+Brewitt-Taylor, <i>San Kuo, or Romance of the Three Kingdoms</i>, Shanghai
+1925 (a new edition just published). A purged translation of
+Chin-p'ing-mei is published by Fr. Kuhn <i>Chin P'ing Mei</i>, New York 1940.</p>
+
+<p>p. <a href="#Page_255">255</a>: Even the "murder story" was already known in Ming time. An
+example is R.&nbsp;H.&nbsp;van Gulik, <i>Dee Gong An. Three Murder Cases solved by
+Judge Dee</i>, Tokyo 1949.</p>
+
+<p>p. <a href="#Page_256">256</a>: For a special group of block-prints see R.&nbsp;H.&nbsp;van Gulik, <i>Erotic
+Colour Prints of the Ming Dynasty</i>, Tokyo 1951. This book is also an
+excellent introduction into Chinese psychology.</p>
+
+<p>p. <a href="#Page_257">257</a>: Here I use work done by David Chan.</p>
+
+<p>p. <a href="#Page_258">258</a>: I use here the research of J.&nbsp;J.&nbsp;L.&nbsp;Duyvendak; the reasons for the
+end of such enterprises, as given here, may not exhaust the problem. It
+may not be without relevance that Cheng came from a Muslim family. His
+father was a pilgrim (<i>Bull. Chin. Studies</i>, vol. 3, pp. 131-70).
+Further research is desirable.&mdash;Concerning folk-tales, I use my own
+research. The main Buddhist tales are the <i>Jataka</i> stories. They are
+still used by Burmese Buddhists in the same context.<!-- Page 351 --><span class='pagenum'><a name="Page_351" id="Page_351">[Pg 351]</a></span></p>
+
+<p>p. <a href="#Page_260">260</a>: The Oirat (Uyrat, Ojrot, &Ouml;l&ouml;t) were a confederation of four
+tribal groups: Khosud, Dzungar, D&ouml;rbet and Turgut.</p>
+
+<p>p. <a href="#Page_261">261</a>: I regard this analysis of Ming political history as
+unsatisfactory, but to my knowledge no large-scale analysis has been
+made.&mdash;For Wang Yang-ming I use mainly my own research.</p>
+
+<p>p. <a href="#Page_262">262</a>: For the coastal salt-merchants I used Lo Hsiang-lin's work.</p>
+
+<p>p. <a href="#Page_263">263</a>: On the rifles I used P.&nbsp;Pelliot. There is a large literature on
+the use of explosives and the invention of cannons, especially L.&nbsp;C.&nbsp;
+Goodrich and Feng Chia-sheng in <i>Isis</i>, vol. 36, 1946 and 39, 1948; also
+G.&nbsp;Sarton, Li Ch'iao-p'ing, J.&nbsp;Pru&#353;ek, J.&nbsp;Needham, and M.&nbsp;Ishida; a
+comparative, general study is by K.&nbsp;Huuri, <i>Studia Orientalia</i> vol. 9,
+1941.&mdash;For the earliest contacts of Wang with Portuguese, I used Chang
+Wei-hua's monograph.&mdash;While there is no satisfactory, comprehensive
+study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i,
+<i>Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher</i>, New
+Haven 1944, can be used.</p>
+
+<p>p. <a href="#Page_264">264</a>: For Tao-yen, I used work done by David Chan.&mdash;Large parts of the
+<i>Yung-lo ta-tien</i> are now lost (Kuo Po-kung, Y&uuml;an T'ung-li studied this
+problem).</p>
+
+<p>p. <a href="#Page_265">265</a>: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the
+T&uuml;met. He is also responsible for the re-introduction of Lamaism into
+Mongolia (1574).&mdash;For the border trade I used Hou Jen-chih; for the
+Shansi bankers Ch'en Ch'i-t'ien and P.&nbsp;Maybon. For the beginnings of the
+Manchu see Fr. Michael, <i>The Origins of Manchu Rule in China</i>, Baltimore
+1942.</p>
+
+<p>p. <a href="#Page_266">266</a>: M.&nbsp;Ricci's diary (Matthew Ricci, <i>China in the Sixteenth
+Century</i>, The Journals of M.&nbsp;Ricci, transl. by L.&nbsp;J.&nbsp;Gallagher, New York
+1953) gives much insight into the life of Chinese officials in this
+period. Recently, J.&nbsp;Needham has tried to show that Ricci and his
+followers did not bring much which was not already known in China, but
+that they actually attempted to prevent the Chinese from learning about
+the Copernican theory.</p>
+
+<p>p. <a href="#Page_267">267</a>: For Coxinga I used M.&nbsp;Eder's study.&mdash;The Szechwan rebellion was
+led by Chang Hsien-chung (1606-1647); I used work done by James B.&nbsp;
+Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published
+the important documents concerning all late Ming peasant
+rebellions.&mdash;For the Tung-lin academy see Ch. O.&nbsp;Hucker in J.&nbsp;K.&nbsp;
+Fairbank, <i>Chinese Thought and Institutions</i>, Chicago 1957. A different
+interpretation is indicated by Shang Y&uuml;eh in <i>Li-shih yen-chiu</i> 1955,
+No. 3.</p>
+
+<p>p. <a href="#Page_268">268</a>: Work on the "academies" (shu-y&uuml;an) in the earlier time is done
+by Ho Yu-shen.</p>
+
+<p>p. <a href="#Page_273">273</a>-4: Based upon my own, as yet unfinished research.</p>
+
+<p>p. <a href="#Page_274">274</a>: The population of 1953 as given here, includes Chinese outside
+of mainland China. The population of mainland China was 582.6 millions.
+If the rate of increase of about 2 per cent per year has remained the
+same, the population of mainland China in 1960 may be close to 680
+million. In general see P.&nbsp;T.&nbsp;Ho. <i>Studies on the Population of China,
+1368-1953</i>, Cambridge, Mass., 1960.</p>
+
+<p>p. <a href="#Page_276">276</a>: Based upon my own research.&mdash;A different view of the development
+of Chinese industry is found in Norman Jacobs, <i>Modern Capitalism and
+Eastern Asia</i>, Hong Kong 1958. Jacobs attempted a comparison of China
+with Japan and with Europe. Different again is Marion Levy and Shih
+Kuo-heng, <i>The Rise of the Modern Chinese Business Class</i>,<!-- Page 352 --><span class='pagenum'><a name="Page_352" id="Page_352">[Pg 352]</a></span> New York
+1949. Both books are influenced by the sociological theories of T.&nbsp;
+Parsons.</p>
+
+<p>p. <a href="#Page_277">277</a>: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four &Ouml;l&ouml;t
+(Oirat) groups. I am here using studies by E.&nbsp;Haenisch and W.&nbsp;Fuchs.</p>
+
+<p>p. <a href="#Page_278">278</a>: Tibetan-Chinese relations have been studied by L.&nbsp;Petech, <i>China
+and Tibet in the Early 18th Century</i>, Leiden 1950. A collection of data
+is found in M.&nbsp;W.&nbsp;Fisher and L.&nbsp;E.&nbsp;Rose, <i>England, India, Nepal, Tibet,
+China, 1765-1958</i>, Berkeley 1959. For diplomatic relations and tributary
+systems of this period, I referred to J.&nbsp;K.&nbsp;Fairbank and Teng Ssu-y&uuml;.</p>
+
+<p>p. <a href="#Page_279">279</a>: For Ku Yen-wu, I used the work by H.&nbsp;Wilhelm.&mdash;A man who
+deserves special mention in this period is the scholar Huang Tsung-hsi
+(1610-1695) as the first Chinese who discussed the possibility of a
+non-monarchic form of government in his treatise of 1662. For him see
+Lin Mou-sheng, <i>Men and Ideas</i>, New York 1942, and especially W.&nbsp;T.&nbsp;de
+Bary in J.&nbsp;K.&nbsp;Fairbank, <i>Chinese Thought and Institutions</i>, Chicago 1957.</p>
+
+<p>p. <a href="#Page_280">280</a>-1: On Liang see now J.&nbsp;R.&nbsp;Levenson, <i>Liang Ch'i-ch'ao and the Mind
+of Modern China</i>, London 1959.</p>
+
+<p>p. <a href="#Page_282">282</a>: It should also be pointed out that the Yung-cheng emperor was
+personally more inclined towards Lamaism.&mdash;The Kalmuks are largely
+identical with the above-mentioned &Ouml;l&ouml;t.</p>
+
+<p>p. <a href="#Page_286">286</a>: The existence of <i>hong</i> is known since 1686, see P'eng Tse-i and
+Wang Chu-an's recent studies. For details on foreign trade see H.&nbsp;B.&nbsp;
+Morse, <i>The Chronicles of the East India Company Trading to China
+1635-1834</i>, Oxford 1926, 4 vols., and J.&nbsp;K.&nbsp;Fairbank, <i>Trade and
+Diplomacy on the China Coast. The Opening of the Treaty Ports,
+1842-1854</i>, Cambridge, Mass., 1953, 2 vols.&mdash;For Lin I used G.&nbsp;W.&nbsp;
+Overdijkink's study.</p>
+
+<p>p. <a href="#Page_287">287</a>: On customs read St. F.&nbsp;Wright, <i>Hart and the Chinese Customs</i>,
+Belfast 1950.</p>
+
+<p>p. <a href="#Page_288">288</a>: For early industry see A.&nbsp;Feuerwerker, <i>China's Early
+Industrialization: Sheng Hsuan-huai (1844-1916)</i>, Cambridge, Mass.,
+1958.</p>
+
+<p>p. <a href="#Page_289">289</a>: The Chinese source materials for the Mohammedan revolts have
+recently been published, but an analysis of the importance of the
+revolts still remains to be done.&mdash;On T'ai-p'ing much has been
+published, especially in the last years in China, so that all documents
+are now available. I used among other studies, details brought out by Lo
+Hsiang-lin and Jen Yu-wen.</p>
+
+<p>p. <a href="#Page_291">291</a>: For Ts&ecirc;ng Kuo-fan see W.&nbsp;J.&nbsp;Hail, <i>Ts&ecirc;ng Kuo-fan and the
+T'ai-p'ing Rebellion</i>, Hew Haven 1927, but new research on him is about
+to be published.&mdash;The Nien-fei had some connection with the White Lotos,
+and were known since 1814, see Chiang Siang-tseh, <i>The Nien Rebellion</i>,
+Seattle 1954.</p>
+
+<p>p. <a href="#Page_292">292</a>: Little is known about Salars, Dungans and Yakub Beg's rebellion,
+mainly because relevant Turkish sources have not yet been studied. On
+Salars see L.&nbsp;Schram, <i>The Monguors of Kansu</i>, Philadelphia 1954, p. 23
+and P.&nbsp;Pelliot; on Dungans see I.&nbsp;Grebe.</p>
+
+<p>p. <a href="#Page_293">293</a>: On Tso Tsung-t'ang see G.&nbsp;Ch'en, <i>Tso Tung T'ang, Pioneer
+Promotor of the Modern Dockyard and Woollen Mill in China</i>, Peking 1938,
+and <i>Yenching Journal of Soc. Studies</i>, vol. 1.</p>
+
+<p>p. <a href="#Page_294">294</a>: For the T'ung-chih period, see now Mary C.&nbsp;Wright, <i>The Last
+Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874</i>,
+Stanford 1957.<!-- Page 353 --><span class='pagenum'><a name="Page_353" id="Page_353">[Pg 353]</a></span></p>
+
+<p>p. <a href="#Page_295">295</a>: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of
+this group.&mdash;Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese:
+Chao-hsien, Japanese: Ch&ocirc;sen.</p>
+
+<p>p. <a href="#Page_297">297</a>: M.&nbsp;C.&nbsp;Wright has shown the advisers around the ruler before the
+Empress Dowager realized the severity of the situation.&mdash;Much research
+is under way to study the beginning of industrialization of Japan, and
+my opinions have changed greatly, due to the research done by Japanese
+scholars and such Western scholars as H.&nbsp;Rosovsky and Th. Smith. The
+eminent role of the lower aristocracy has been established. Similar
+research for China has not even seriously started. My remarks are
+entirely preliminary.</p>
+
+<p>p. <a href="#Page_298">298</a>: For K'ang Yo-wei, I use work done by O.&nbsp;Franke and others. See
+M.&nbsp;E.&nbsp;Cameron, <i>The Reform Movement in China, 1898-1921</i>, Stanford 1921.
+The best bibliography for this period is J.&nbsp;K.&nbsp;Fairbank and Liu
+Kwang-ching, <i>Modern China: A Bibliographical Guide to Chinese Works,
+1898-1937</i>, Cambridge, Mass., 1950. The political history of the time,
+as seen by a Chinese scholar, is found in Li Chien-nung, <i>The Political
+History of China 1840-1928</i>, Princeton 1956.&mdash;For the social history of
+this period see Chang Chung-li, <i>The Chinese Gentry</i>, Seattle 1955.&mdash;For
+the history of Tz&#365; Hsi Bland-Backhouse, <i>China under the Empress
+Dowager</i>, Peking 1939 (Third ed.) is antiquated, but still used For some
+of K'ang Yo-wei's ideas, see now K'ang Yo-wei: <i>Ta T'ung Shu. The One
+World Philosophy of K'ang Yu Wei</i>, London 1957.</p>
+
+
+<p class="noindent"><i>Chapter Eleven</i></p>
+
+<p>p. <a href="#Page_305">305</a>: I rely here partly upon W.&nbsp;Franke's recent studies. For Sun
+Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P.&nbsp;Linebarger,
+<i>Sun Yat-sen and the Chinese Republic</i>, Cambridge, Mass., 1925 and his
+later <i>The Political Doctrines of Sun Yat-sen</i>, Baltimore
+1937.&mdash;Independently, Atat&uuml;rk in Turkey developed a similar theory of
+the growth of democracy.</p>
+
+<p>p. <a href="#Page_306">306</a>: On student activities see Kiang Wen-han, <i>The Ideological
+Background of the Chinese Student Movement</i>, New York 1948.</p>
+
+<p>p. <a href="#Page_307">307</a>: On Hu Shih see his own <i>The Chinese Renaissance</i>, Chicago 1934
+and J.&nbsp;de Francis, <i>Nationalism and Language Reform in China</i>, Princeton
+1950.</p>
+
+<p>p. <a href="#Page_310">310</a>: The declaration of Independence of Mongolia had its basis in the
+early treaty of the Mongols with the Manchus (1636): "In case the Tai
+Ch'ing Dynasty falls, you will exist according to previous basic laws"
+(R.&nbsp;J.&nbsp;Miller, <i>Monasteries and Culture Change in Inner Mongolia</i>,
+Wiesbaden 1959, p. 4).</p>
+
+<p>p. <a href="#Page_315">315</a>: For the military activities see F.&nbsp;F.&nbsp;Liu, <i>A Military History of
+Modern China, 1924-1949</i>, Princeton 1956. A marxist analysis of the 1927
+events is Manabendra Nath Roy, <i>Revolution and Counter-Revolution in
+China</i>, Calcutta 1946; the relevant documents are translated in C.&nbsp;
+Brandt, B.&nbsp;Schwartz, J.&nbsp;K.&nbsp;Fairbank, <i>A Documentary History of Chinese
+Communism</i>, Cambridge, Mass., 1952.</p>
+
+
+<p class="noindent"><i>Chapter Twelve</i></p>
+
+<p>For Mao Tse-tung, see B.&nbsp;Schwartz, <i>Chinese Communism and the Rise of
+Mao</i>, second ed., Cambridge, Mass., 1958. For Mao's early years; see
+J.&nbsp;E.&nbsp;Rue, <i>Mao Tse-tung in Opposition, 1927-1935</i>, Stanford 1966. For
+the civil war, see L.&nbsp;M.&nbsp;Chassin, <i>The Communist Conquest of China: A
+History of<!-- Page 354 --><span class='pagenum'><a name="Page_354" id="Page_354">[Pg 354]</a></span> the Civil War, 1945-1949</i>, Cambridge, Mass., 1965. For brief
+information on communist society, see Franz Schurmann and Orville
+Schell, <i>The China Reader</i>, vol. 3, <i>Communist China</i>, New York 1967.
+For problems of organization, see Franz Schurmann, <i>Ideology and
+Organization in Communist China</i>, Berkeley 1966. For cultural and
+political problems, see Ho Ping-ti, <i>China in Crisis</i>, vol. 1, <i>China's
+Heritage and the Communist Political System</i>, Chicago 1968. For a
+sympathetic view of rural life in communist China, see J.&nbsp;Myrdal,
+<i>Report from a Chinese Village</i>, New York 1965; for Taiwanese village
+life, see Bernard Gallin, <i>Hsin Hsing, Taiwan: A Chinese Village in
+Change</i>, Berkeley 1966.</p>
+
+
+<p><!-- Page 355 --><span class='pagenum'><a name="Page_355" id="Page_355">[Pg 355]</a></span></p>
+
+<h2><a name="Index" id="Index"></a>INDEX</h2>
+
+<ul>
+
+<li>Abahai, ruler, <a href="#Page_269">269</a></li>
+
+<li>Abdication, <a href="#Page_92">92</a>-3, <a href="#Page_182">182</a>, <a href="#Page_227">227</a>, <a href="#Page_302">302</a></li>
+
+<li>Aborigines, <a href="#Page_323">323</a></li>
+
+<li>Absolutism, <a href="#Page_196">196</a>, <a href="#Page_208">208</a>, <a href="#Page_210">210</a>, <a href="#Page_232">232</a> ff., <a href="#Page_247">247</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Despotism, Dictator, Emperor, Monarchy)</span></li>
+
+<li>Academia Sinica, <a href="#Page_307">307</a></li>
+
+<li>Academies, <a href="#Page_221">221</a>, <a href="#Page_255">255</a>, <a href="#Page_267">267</a>-8, <a href="#Page_272">272</a></li>
+
+<li>Administration, <a href="#Page_64">64</a>, <a href="#Page_82">82</a>-4, <a href="#Page_138">138</a> ff, <a href="#Page_142">142</a>, <a href="#Page_144">144</a>, <a href="#Page_154">154</a>, <a href="#Page_170">170</a>, <a href="#Page_173">173</a>-4, <a href="#Page_210">210</a>;</li>
+<li><span style="margin-left: 1em;">provincial, <a href="#Page_85">85</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Army, Feudalism, Bureaucracy)</span></li>
+
+<li>Adobe (Mud bricks), <a href="#Page_16">16</a>, <a href="#Page_19">19</a>, <a href="#Page_32">32</a></li>
+
+<li>Adoptions, <a href="#Page_204">204</a></li>
+
+<li>Afghanistan, <a href="#Page_146">146</a>-7</li>
+
+<li>Africa, <a href="#Page_201">201</a>, <a href="#Page_259">259</a></li>
+
+<li>Agriculture, development, <a href="#Page_54">54</a>, <a href="#Page_198">198</a> ff., <a href="#Page_249">249</a>-50, <a href="#Page_275">275</a>;</li>
+<li><span style="margin-left: 1em;">Origin of, <a href="#Page_10">10</a>, <a href="#Page_11">11</a>;</span></li>
+<li><span style="margin-left: 1em;">of Shang, <a href="#Page_21">21</a>;</span></li>
+<li><span style="margin-left: 1em;">shifting (denshiring), <a href="#Page_32">32</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Wheat, Millet, Rice, Plough, Irrigation, Manure, Canals, Fallow)</span></li>
+
+<li>An Ti, ruler of Han, <a href="#Page_92">92</a></li>
+
+<li>Ainu, tribes, <a href="#Page_9">9</a></li>
+
+<li>Ala-shan mountain range, <a href="#Page_88">88</a></li>
+
+<li>Alchemy, <a href="#Page_49">49</a>, <a href="#Page_104">104</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i>) Elixir</span></li>
+
+<li>Alexander the Great, <a href="#Page_146">146</a>-7</li>
+
+<li>America, <a href="#Page_276">276</a>, <a href="#Page_300">300</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i>) United States</span></li>
+
+<li>Amithabha, god, <a href="#Page_188">188</a></li>
+
+<li>Amur, river, <a href="#Page_278">278</a></li>
+
+<li>An Chi-yeh, rebel, <a href="#Page_293">293</a></li>
+
+<li>An Lu-shan, rebel, <a href="#Page_184">184</a> ff., <a href="#Page_189">189</a>, <a href="#Page_195">195</a></li>
+
+<li>Analphabetism, <a href="#Page_65">65</a></li>
+
+<li>Anarchists, <a href="#Page_47">47</a></li>
+
+<li>Ancestor, cult, <a href="#Page_24">24</a>, <a href="#Page_32">32</a></li>
+
+<li>Aniko, sculptor, <a href="#Page_243">243</a></li>
+
+<li>Animal style, <a href="#Page_17">17</a></li>
+
+<li>Annam (Vietnam), <a href="#Page_97">97</a>, <a href="#Page_160">160</a>, <a href="#Page_209">209</a>, <a href="#Page_219">219</a>, <a href="#Page_234">234</a>, <a href="#Page_258">258</a>, <a href="#Page_265">265</a>, <a href="#Page_295">295</a>, <a href="#Page_330">330</a></li>
+
+<li>Anyang (Yin-ch'&uuml;), <a href="#Page_19">19</a>, <a href="#Page_22">22</a></li>
+
+<li>Arabia, <a href="#Page_258">258</a>; Arabs, <a href="#Page_104">104</a>, <a href="#Page_178">178</a>, <a href="#Page_183">183</a>, <a href="#Page_185">185</a>, <a href="#Page_266">266</a></li>
+
+<li>Architecture, <a href="#Page_147">147</a>, <a href="#Page_256">256</a></li>
+
+<li>Aristocracy, <a href="#Page_25">25</a>, <a href="#Page_26">26</a>, <a href="#Page_36">36</a>, <a href="#Page_122">122</a>, <a href="#Page_195">195</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Nobility, Feudalism)</span></li>
+
+<li>Army, cost of, <a href="#Page_211">211</a>;</li>
+<li><span style="margin-left: 1em;">organization of, <a href="#Page_24">24</a>, <a href="#Page_118">118</a>, <a href="#Page_174">174</a>, <a href="#Page_236">236</a>;</span></li>
+<li><span style="margin-left: 1em;">size of, <a href="#Page_53">53</a>;</span></li>
+<li><span style="margin-left: 1em;">Tibetan, <a href="#Page_127">127</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> War, Militia, tu-tu, pu-ch'&uuml;)</span></li>
+
+<li>Art, Buddhist, <a href="#Page_146">146</a>-7</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Animal style, Architecture, Pottery, Painting, Sculpture, Wood-cut)</span></li>
+
+<li>Arthashastra, book, attributed to Kautilya, <a href="#Page_59">59</a></li>
+
+<li>Artisans, <a href="#Page_19">19</a>, <a href="#Page_26">26</a>, <a href="#Page_31">31</a>, <a href="#Page_33">33</a>, <a href="#Page_56">56</a>, <a href="#Page_79">79</a>;</li>
+<li><span style="margin-left: 1em;">Organizations of, <a href="#Page_58">58</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Guilds, Craftsmen)</span></li>
+
+<li>Assimilation, <a href="#Page_144">144</a>, <a href="#Page_152">152</a>, <a href="#Page_166">166</a>, <a href="#Page_244">244</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Colonization)</span></li>
+
+<li>Astronomy, <a href="#Page_266">266</a></li>
+
+<li>Austroasiats, <a href="#Page_10">10</a>, <a href="#Page_12">12</a></li>
+
+<li>Austronesians, <a href="#Page_12">12</a></li>
+
+<li>Avars, tribe, <a href="#Page_140">140</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Juan-juan)</span></li>
+
+<li>Axes, prehistoric, <a href="#Page_10">10</a></li>
+
+<li>Axis, policy, <a href="#Page_51">51</a></li>
+
+<li>&nbsp;</li>
+<li>Babylon, <a href="#Page_65">65</a></li>
+
+<li>Baghdad, city, <a href="#Page_201">201</a></li>
+
+<li>Balasagun, city, <a href="#Page_224">224</a></li>
+
+<li>Ballads, <a href="#Page_133">133</a></li>
+
+<li>Banks, <a href="#Page_265">265</a>, <a href="#Page_305">305</a></li>
+
+<li>Banner organization, <a href="#Page_268">268</a>, <a href="#Page_291">291</a></li>
+
+<li>Barbarians (Foreigners), <a href="#Page_109">109</a>, <a href="#Page_122">122</a>, <a href="#Page_246">246</a>, <a href="#Page_278">278</a></li>
+
+<li>Bastards, <a href="#Page_41">41</a></li>
+
+<li>Bath, <a href="#Page_217">217</a></li>
+
+<li>Beg, title, <a href="#Page_289">289</a></li>
+
+<li>Beggar, <a href="#Page_239">239</a></li>
+
+<li>Bengal, <a href="#Page_250">250</a>, <a href="#Page_283">283</a></li>
+
+<li>Boat festival, <a href="#Page_23">23</a></li>
+
+<li>Bokhara (Bukhara), city, <a href="#Page_46">46</a></li>
+
+<li>Bon, religion, <a href="#Page_242">242</a></li>
+
+<li>Bondsmen, <a href="#Page_31">31</a>, <a href="#Page_117">117</a>, <a href="#Page_143">143</a></li>
+<li><span style="margin-left: 1em;">(<i>see pu-ch'&uuml;</i>, Serfs, Feudalism)</span></li>
+
+<li>Book, printing, <a href="#Page_201">201</a>; B burning, <a href="#Page_66">66</a></li>
+
+<li>B&ouml;ttger, inventor, <a href="#Page_256">256</a></li>
+
+<li>Boxer rebellion, <a href="#Page_299">299</a></li>
+
+<li>Boycott, <a href="#Page_314">314</a></li>
+
+<li>Brahmans, Indian caste, <a href="#Page_34">34</a>, <a href="#Page_106">106</a></li>
+
+<li>Brain drain, <a href="#Page_326">326</a></li>
+
+<li>Bronze, <a href="#Page_17">17</a>, <a href="#Page_20">20</a>, <a href="#Page_22">22</a>, <a href="#Page_29">29</a>, <a href="#Page_33">33</a>, <a href="#Page_40">40</a>, <a href="#Page_106">106</a>, <a href="#Page_180">180</a>-1</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Metal, Copper)</span></li>
+
+<li>Brothel (Tea-house), <a href="#Page_163">163</a>, <a href="#Page_217">217</a></li>
+
+<li>Buddha, <a href="#Page_46">46</a>;</li>
+<li><span style="margin-left: 1em;">Buddhism, <a href="#Page_20">20</a>, <a href="#Page_106">106</a>, <a href="#Page_108">108</a>-9, <a href="#Page_125">125</a>, <a href="#Page_127">127</a>, <a href="#Page_133">133</a> ff., <a href="#Page_145">145</a> ff., <a href="#Page_150">150</a>, <a href="#Page_161">161</a>, <a href="#Page_164">164</a>, <a href="#Page_168">168</a>, <a href="#Page_178">178</a>, <a href="#Page_179">179</a> ff., <a href="#Page_188">188</a>, <a href="#Page_217">217</a>, <a href="#Page_218">218</a>, <a href="#Page_236">236</a>, <a href="#Page_257">257</a>, <a href="#Page_259">259</a>, <a href="#Page_266">266</a>, <a href="#Page_306">306</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ch'an, Vinaya, Sects, Amithabha, Maitreya, Hinayana,</span><!-- Page 356 --><span class='pagenum'><a name="Page_356" id="Page_356">[Pg 356]</a></span> Mahayana, Monasteries, Church, Pagoda, Monks, Lamaism)</li>
+
+<li>Budget, <a href="#Page_168">168</a>, <a href="#Page_175">175</a>, <a href="#Page_209">209</a>, <a href="#Page_210">210</a>, <a href="#Page_215">215</a>, <a href="#Page_261">261</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Treasury, Inflation, Deflation)</span></li>
+
+<li>Bullfights, <a href="#Page_182">182</a></li>
+
+<li>Bureaucracy, <a href="#Page_24">24</a>, <a href="#Page_33">33</a>, <a href="#Page_63">63</a>, <a href="#Page_72">72</a>;</li>
+<li><span style="margin-left: 1em;">religious B, <a href="#Page_25">25</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Administration; Army)</span></li>
+
+<li>Burgher (<i>liang-min</i>), <a href="#Page_143">143</a>, <a href="#Page_183">183</a>, <a href="#Page_216">216</a></li>
+
+<li>Burma, <a href="#Page_12">12</a>, <a href="#Page_146">146</a>, <a href="#Page_234">234</a>, <a href="#Page_248">248</a>, <a href="#Page_265">265</a>, <a href="#Page_269">269</a>, <a href="#Page_283">283</a>, <a href="#Page_318">318</a>, <a href="#Page_319">319</a>, <a href="#Page_322">322</a>, <a href="#Page_329">329</a>, <a href="#Page_330">330</a></li>
+
+<li>Businessmen, <a href="#Page_64">64</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Merchants, Trade)</span></li>
+
+<li>Byzantium, <a href="#Page_177">177</a></li>
+
+<li>&nbsp;</li>
+
+<li>Calcutta, city, <a href="#Page_283">283</a></li>
+
+<li>Caliph (Khaliph), <a href="#Page_185">185</a></li>
+
+<li>Cambodia, <a href="#Page_234">234</a>, <a href="#Page_295">295</a></li>
+
+<li>Canals, <a href="#Page_170">170</a>, <a href="#Page_246">246</a>; Imperial C, <a href="#Page_168">168</a>, <a href="#Page_235">235</a>-6</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Irrigation)</span></li>
+
+<li>Cannons, <a href="#Page_232">232</a>, <a href="#Page_263">263</a></li>
+
+<li>Canton (Kuang-chou), city, <a href="#Page_67">67</a>, <a href="#Page_77">77</a>, <a href="#Page_89">89</a>, <a href="#Page_97">97</a>, <a href="#Page_159">159</a>, <a href="#Page_190">190</a>, <a href="#Page_209">209</a>, <a href="#Page_237">237</a>, <a href="#Page_262">262</a>, <a href="#Page_266">266</a>, <a href="#Page_286">286</a>, <a href="#Page_287">287</a>, <a href="#Page_308">308</a>, <a href="#Page_309">309</a>, <a href="#Page_312">312</a>, <a href="#Page_314">314</a></li>
+
+<li>Capital of Empire, <a href="#Page_144">144</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ch'ang-an, Si-an, Lo-yang, etc.)</span></li>
+
+<li>Capitalism, <a href="#Page_180">180</a>-1, <a href="#Page_212">212</a>, <a href="#Page_297">297</a>, <a href="#Page_303">303</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Investments, Banks, Money, Economy, etc.)</span></li>
+
+<li>Capitulations (privileges of foreign nations), <a href="#Page_273">273</a>, <a href="#Page_287">287</a>, <a href="#Page_290">290</a>, <a href="#Page_312">312</a>, <a href="#Page_316">316</a></li>
+
+<li>Caravans, <a href="#Page_86">86</a>, <a href="#Page_98">98</a>, <a href="#Page_121">121</a>, <a href="#Page_129">129</a>, <a href="#Page_181">181</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Silk road, Trade)</span></li>
+
+<li>Carpet, <a href="#Page_243">243</a></li>
+
+<li>Castes, <a href="#Page_106">106</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Brahmans)</span></li>
+
+<li>Castiglione, G., painter, <a href="#Page_281">281</a></li>
+
+<li>Cattle, breeding, <a href="#Page_155">155</a></li>
+
+<li>Cavalry, <a href="#Page_53">53</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Horse)</span></li>
+
+<li>Cave temples, <a href="#Page_146">146</a>-7</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Lung-men, Y&uuml;n-kang, Tun-huang)</span></li>
+
+<li>Censorate, <a href="#Page_84">84</a></li>
+
+<li>Censorship, <a href="#Page_254">254</a></li>
+
+<li>Census, <a href="#Page_143">143</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Population)</span></li>
+
+<li>Central Asia, <a href="#Page_25">25</a>, <a href="#Page_87">87</a>-88, <a href="#Page_90">90</a>, <a href="#Page_113">113</a>, <a href="#Page_119">119</a>, <a href="#Page_135">135</a>, <a href="#Page_169">169</a>, <a href="#Page_179">179</a>, <a href="#Page_209">209</a>, <a href="#Page_259">259</a>, <a href="#Page_277">277</a>, <a href="#Page_330">330</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Turkestan, Sinkiang, Tarim, City States)</span></li>
+
+<li>Champa, State, <a href="#Page_249">249</a></li>
+
+<li>Ch'an (Zen), meditative Buddhism, <a href="#Page_164">164</a>, <a href="#Page_175">175</a>, <a href="#Page_218">218</a>, <a href="#Page_263">263</a></li>
+
+<li>Chan-kuo Period (Contending States), <a href="#Page_51">51</a> ff.</li>
+
+<li>Chancellor, <a href="#Page_82">82</a></li>
+
+<li>Ch'ang-an, capital of China, <a href="#Page_123">123</a>, <a href="#Page_127">127</a>, <a href="#Page_129">129</a>, <a href="#Page_167">167</a>, <a href="#Page_172">172</a>, <a href="#Page_176">176</a>, <a href="#Page_184">184</a>, <a href="#Page_185">185</a>, <a href="#Page_190">190</a>, <a href="#Page_207">207</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Sian)</span></li>
+
+<li>Chang Ch'ien, ambassador, <a href="#Page_88">88</a></li>
+
+<li>Chang Ch&uuml;-chan, teacher, <a href="#Page_265">265</a></li>
+
+<li>Chang Hsien-chung, rebel, <a href="#Page_268">268</a>, <a href="#Page_271">271</a></li>
+
+<li>Chang Hs&uuml;eh-liang, war lord, <a href="#Page_316">316</a></li>
+
+<li>Chang Ling, popular leader, <a href="#Page_101">101</a>, <a href="#Page_136">136</a>, <a href="#Page_147">147</a>, <a href="#Page_264">264</a></li>
+
+<li>Chang Ti, ruler, <a href="#Page_99">99</a></li>
+
+<li>Chang Tsai, philosopher, <a href="#Page_218">218</a></li>
+
+<li>Chang Tso-lin, war lord, <a href="#Page_312">312</a>, <a href="#Page_316">316</a></li>
+
+<li>Chao, state, <a href="#Page_53">53</a>, <a href="#Page_63">63</a>;</li>
+<li><span style="margin-left: 1em;">Earlier Chao, <a href="#Page_124">124</a>;</span></li>
+<li><span style="margin-left: 1em;">Later Chao, <a href="#Page_124">124</a></span></li>
+
+<li>Chao K'uang-yin (T'ai Tsu), ruler, <a href="#Page_208">208</a>, <a href="#Page_209">209</a></li>
+
+<li>Chao Meng-fu, painter, <a href="#Page_243">243</a></li>
+
+<li>Charters, <a href="#Page_30">30</a></li>
+
+<li>Chefoo Convention, <a href="#Page_295">295</a></li>
+
+<li>Ch'en, dynasty, <a href="#Page_162">162</a> ff.</li>
+
+<li>Ch'en Pa-hsien, ruler, <a href="#Page_162">162</a></li>
+
+<li>Ch'en Tu-hsiu, intellectual, <a href="#Page_307">307</a>, <a href="#Page_320">320</a></li>
+
+<li>Ch'eng Hao, philosopher, <a href="#Page_219">219</a></li>
+
+<li>Cheng Ho, navy commander, <a href="#Page_258">258</a></li>
+
+<li>Ch'eng I, philosopher, <a href="#Page_219">219</a></li>
+
+<li>Cheng-i-chiao, religion, <a href="#Page_263">263</a>-4</li>
+
+<li>Ch'eng Ti, ruler of Han, <a href="#Page_92">92</a>;</li>
+<li><span style="margin-left: 1em;">ruler of Chin, <a href="#Page_156">156</a></span></li>
+
+<li>Ch'eng Tsu, ruler of Manchu, <a href="#Page_257">257</a></li>
+
+<li>Ch'eng-tu, city, <a href="#Page_110">110</a>, <a href="#Page_120">120</a></li>
+
+<li>Ch'i, state, <a href="#Page_40">40</a>;</li>
+<li><span style="margin-left: 1em;">short dynasty, <a href="#Page_190">190</a>, <a href="#Page_225">225</a>;</span></li>
+<li><span style="margin-left: 1em;">Northern Ch'i, <a href="#Page_148">148</a> ff., <a href="#Page_149">149</a>, <a href="#Page_150">150</a> ff., <a href="#Page_161">161</a>, <a href="#Page_162">162</a>, <a href="#Page_168">168</a></span></li>
+
+<li>Ch'i-fu, clan, <a href="#Page_129">129</a> ff.</li>
+
+<li>Chi-nan, city, <a href="#Page_55">55</a></li>
+
+<li>Ch'i-tan (<i>see</i> Kitan)</li>
+
+<li>Ch'i Wan-nien, leader, <a href="#Page_118">118</a></li>
+
+<li>Chia, clan, <a href="#Page_120">120</a></li>
+
+<li>Chia-ch'ing, period, <a href="#Page_285">285</a></li>
+
+<li>Chia Ss&#365;-tao, politician, <a href="#Page_228">228</a></li>
+
+<li>Ch'iang, tribes, <a href="#Page_21">21</a>, <a href="#Page_118">118</a> (<i>see</i> Tanguts)</li>
+
+<li>Chiang Kai-shek, president, <a href="#Page_264">264</a>, <a href="#Page_311">311</a>, <a href="#Page_314">314</a>, <a href="#Page_315">315</a>, <a href="#Page_316">316</a>, <a href="#Page_317">317</a>, <a href="#Page_318">318</a>, <a href="#Page_321">321</a>, <a href="#Page_322">322</a>, <a href="#Page_324">324</a>, <a href="#Page_326">326</a></li>
+
+<li>Ch'ien-lung, period, <a href="#Page_272">272</a>, <a href="#Page_282">282</a>, <a href="#Page_284">284</a>, <a href="#Page_285">285</a></li>
+
+<li><i>ch'ien-min</i> (commoners), <a href="#Page_143">143</a></li>
+
+<li>Chin, dynasty, <a href="#Page_229">229</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Juch&ecirc;n); dynasty, <a href="#Page_114">114</a>, <a href="#Page_115">115</a> ff.;</span></li>
+<li><span style="margin-left: 1em;">Eastern Chin dynasty, <a href="#Page_152">152</a> ff., <a href="#Page_155">155</a> ff.;</span></li>
+<li><span style="margin-left: 1em;">Later Chin dynasty, <a href="#Page_139">139</a></span></li>
+
+<li>Ch'in, state, <a href="#Page_36">36</a>;</li>
+<li><span style="margin-left: 1em;">Ch'in, dynasty, <a href="#Page_53">53</a>, <a href="#Page_59">59</a>, <a href="#Page_60">60</a>, <a href="#Page_62">62</a> ff., <a href="#Page_80">80</a>;</span></li>
+<li><span style="margin-left: 1em;">Earlier Ch'in dynasty, <a href="#Page_126">126</a>, <a href="#Page_157">157</a>;</span></li>
+<li><span style="margin-left: 1em;">Later Ch'in dynasty, <a href="#Page_129">129</a>, <a href="#Page_139">139</a>, <a href="#Page_159">159</a>;</span></li>
+<li><span style="margin-left: 1em;">Western Ch'in dynasty, <a href="#Page_129">129</a>, <a href="#Page_140">140</a></span></li>
+
+<li>Ch'in K'ui, politician, <a href="#Page_226">226</a></li>
+
+<li>Chinese, origin of, <a href="#Page_2">2</a>, <a href="#Page_8">8</a> ff.</li>
+
+<li>Ching Fang, scholar, <a href="#Page_255">255</a></li>
+
+<li>Ching-t&ecirc; (-chen), city, <a href="#Page_201">201</a>, <a href="#Page_256">256</a></li>
+
+<li><i>ching-t'ien</i> system, <a href="#Page_33">33</a></li>
+
+<li>Ching Tsung, Manchu ruler, <a href="#Page_260">260</a></li>
+
+<li>Ch'in Ying, painter, <a href="#Page_255">255</a></li>
+
+<li>Chou, dynasty, <a href="#Page_29">29</a> f., <a href="#Page_76">76</a>;</li>
+<li><span style="margin-left: 1em;">short Chou dynasty, <a href="#Page_180">180</a>;</span></li>
+<li><span style="margin-left: 1em;">Later Chou dynasty, <a href="#Page_206">206</a>;</span></li>
+<li><span style="margin-left: 1em;">Northern Chou dynasty, <a href="#Page_148">148</a>, <a href="#Page_149">149</a>, <a href="#Page_150">150</a> ff., <a href="#Page_169">169</a>, <a href="#Page_172">172</a></span></li>
+
+<li>Chou En-lai, politician, <a href="#Page_320">320</a></li>
+
+<li>Chou-k'ou-tien, archaeological site, <a href="#Page_8">8</a></li>
+
+<li>Chou-kung (Duke of Chou), <a href="#Page_33">33</a>, <a href="#Page_93">93</a><!-- Page 357 --><span class='pagenum'><a name="Page_357" id="Page_357">[Pg 357]</a></span></li>
+<li>Chou-li, book, <a href="#Page_33">33</a></li>
+
+<li>Chou Tun-i, philosopher, <a href="#Page_218">218</a></li>
+
+<li>Christianity, <a href="#Page_179">179</a>, <a href="#Page_266">266</a>, <a href="#Page_282">282</a>, <a href="#Page_290">290</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Nestorians, Jesuits, Missionaries)</span></li>
+
+<li>Chronology, <a href="#Page_7">7</a>, <a href="#Page_335">335</a></li>
+
+<li>Ch'u, state, <a href="#Page_38">38</a>, <a href="#Page_199">199</a> ff., <a href="#Page_205">205</a></li>
+
+<li>Chu Ch'&uuml;an-chung, general and ruler, <a href="#Page_190">190</a>, <a href="#Page_191">191</a>, <a href="#Page_203">203</a>, <a href="#Page_204">204</a></li>
+
+<li>Chu Hsi, philosopher, <a href="#Page_219">219</a>, <a href="#Page_263">263</a>, <a href="#Page_279">279</a></li>
+
+<li>Chu-ko Liang, general, <a href="#Page_111">111</a></li>
+
+<li>Chu T&ecirc; general, <a href="#Page_321">321</a></li>
+
+<li>Chu Tsai-y&uuml;, scholar, <a href="#Page_255">255</a></li>
+
+<li>Chu Y&uuml;an-chang (T'ai Tsu), ruler, <a href="#Page_239">239</a> ff., <a href="#Page_243">243</a> ff., <a href="#Page_246">246</a>, <a href="#Page_247">247</a>, <a href="#Page_256">256</a>, <a href="#Page_257">257</a></li>
+
+<li><i>chuang</i>, <a href="#Page_181">181</a>, <a href="#Page_212">212</a>-13, <a href="#Page_345">345</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Manors, Estates)</span></li>
+
+<li>Chuang Tz&#365;;, philosopher, <a href="#Page_47">47</a>-8, <a href="#Page_50">50</a></li>
+
+<li>Ch&uuml;n-ch'en, ruler, <a href="#Page_88">88</a></li>
+
+<li>Ch'un-ch'iu, book, <a href="#Page_43">43</a>, <a href="#Page_80">80</a></li>
+
+<li><i>ch&uuml;n-t'ien</i> system (land equalization system), <a href="#Page_142">142</a>-3, <a href="#Page_173">173</a>, <a href="#Page_187">187</a></li>
+
+<li><i>ch&uuml;n-tz&uuml;</i> (gentleman), <a href="#Page_42">42</a>, <a href="#Page_44">44</a></li>
+
+<li>Chung-ch'ang T'ung, philosopher, <a href="#Page_50">50</a></li>
+
+<li>Chungking (Ch'ung-ch'ing), city, <a href="#Page_38">38</a>, <a href="#Page_110">110</a>, <a href="#Page_318">318</a></li>
+
+<li>Church, Buddhistic, <a href="#Page_146">146</a>, <a href="#Page_147">147</a>, <a href="#Page_188">188</a>, <a href="#Page_218">218</a>;</li>
+<li><span style="margin-left: 1em;">Taoistic, <a href="#Page_136">136</a>, <a href="#Page_147">147</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Chang Ling)</span></li>
+
+<li>Cities, <a href="#Page_36">36</a>, <a href="#Page_37">37</a>;</li>
+<li><span style="margin-left: 1em;">spread and growth of cities, <a href="#Page_31">31</a>, <a href="#Page_55">55</a>-6, <a href="#Page_175">175</a>, <a href="#Page_229">229</a>, <a href="#Page_250">250</a>-1, <a href="#Page_252">252</a>;</span></li>
+<li><span style="margin-left: 1em;">origin of cities, <a href="#Page_19">19</a>;</span></li>
+<li><span style="margin-left: 1em;">twin cities, <a href="#Page_33">33</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> City states, Ch'ang-an, Sian, Lo-yang, Hankow, etc.)</span></li>
+
+<li>City States (of Central Asia), <a href="#Page_97">97</a>, <a href="#Page_132">132</a>, <a href="#Page_177">177</a></li>
+
+<li>Clans, <a href="#Page_31">31</a>, <a href="#Page_196">196</a></li>
+
+<li>Classes, social classes, <a href="#Page_79">79</a>, <a href="#Page_143">143</a>-4, <a href="#Page_207">207</a>, <a href="#Page_216">216</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Castes, <i>ch'ien-min</i>, <i>liang-min</i>, Gentry, etc.)</span></li>
+
+<li>Climate, changes, <a href="#Page_9">9</a></li>
+
+<li>Cliques, <a href="#Page_91">91</a>, <a href="#Page_160">160</a>, <a href="#Page_197">197</a>, <a href="#Page_257">257</a>, <a href="#Page_261">261</a></li>
+
+<li>Cloisonn&eacute;, <a href="#Page_256">256</a></li>
+
+<li>Cobalt, <a href="#Page_221">221</a>, <a href="#Page_256">256</a></li>
+
+<li>Coins, <a href="#Page_78">78</a>, <a href="#Page_94">94</a>, <a href="#Page_116">116</a>, <a href="#Page_199">199</a>, <a href="#Page_209">209</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Money)</span></li>
+
+<li>Colonialism, <a href="#Page_278">278</a>, <a href="#Page_283">283</a>, <a href="#Page_329">329</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Imperialism)</span></li>
+
+<li>Colonization, <a href="#Page_97">97</a>, <a href="#Page_102">102</a>, <a href="#Page_111">111</a>, <a href="#Page_116">116</a>, <a href="#Page_153">153</a>, <a href="#Page_209">209</a>, <a href="#Page_248">248</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Migration, Assimilation)</span></li>
+
+<li>Colour prints, <a href="#Page_256">256</a></li>
+
+<li>Communes, <a href="#Page_331">331</a></li>
+
+<li>Communism, <a href="#Page_314">314</a>, <a href="#Page_320">320</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Marxism, Socialism, Soviets)</span></li>
+
+<li>Concubines, <a href="#Page_100">100</a>, <a href="#Page_227">227</a></li>
+
+<li>Confessions, <a href="#Page_102">102</a></li>
+
+<li>Confucian ritual, <a href="#Page_78">78</a>-9;</li>
+<li><span style="margin-left: 1em;">Confucianism, <a href="#Page_93">93</a>, <a href="#Page_136">136</a>, <a href="#Page_145">145</a>, <a href="#Page_150">150</a>, <a href="#Page_163">163</a>-4, <a href="#Page_168">168</a>, <a href="#Page_175">175</a>, <a href="#Page_183">183</a>-4, <a href="#Page_188">188</a>, <a href="#Page_306">306</a>;</span></li>
+<li><span style="margin-left: 1em;">Confucian literature, <a href="#Page_78">78</a>;</span></li>
+<li><span style="margin-left: 1em;">false Confucian literature, <a href="#Page_93">93</a>-4;</span></li>
+<li><span style="margin-left: 1em;">Confucians, <a href="#Page_40">40</a> ff., <a href="#Page_134">134</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Neo-Confucianism)</span></li>
+
+<li>Conquests, <a href="#Page_122">122</a>, <a href="#Page_270">270</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> War, Colonialism)</span></li>
+
+<li>Conservatism, <a href="#Page_219">219</a></li>
+
+<li>Constitution, <a href="#Page_311">311</a></li>
+
+<li>Contending States, <a href="#Page_40">40</a> ff.</li>
+
+<li>Co-operatives, <a href="#Page_319">319</a></li>
+
+<li>Copper, <a href="#Page_17">17</a>, <a href="#Page_211">211</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Bronze, Metal)</span></li>
+
+<li>Corruption, <a href="#Page_51">51</a>, <a href="#Page_200">200</a></li>
+
+<li>Corv&eacute;e (forced labour), <a href="#Page_82">82</a>, <a href="#Page_173">173</a>, <a href="#Page_187">187</a>, <a href="#Page_196">196</a>, <a href="#Page_238">238</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Labour)</span></li>
+
+<li>Cotton, <a href="#Page_250">250</a></li>
+
+<li>Courtesans, <a href="#Page_182">182</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Brothel)</span></li>
+
+<li>Coxinga, rebel, <a href="#Page_267">267</a>, <a href="#Page_271">271</a></li>
+
+<li>Craftsmen, <a href="#Page_26">26</a>, <a href="#Page_105">105</a>, <a href="#Page_183">183</a>, <a href="#Page_197">197</a>, <a href="#Page_216">216</a>, <a href="#Page_247">247</a>-8</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Artisans)</span></li>
+
+<li>Credits, <a href="#Page_215">215</a></li>
+
+<li>Criminals, <a href="#Page_146">146</a>, <a href="#Page_218">218</a>, <a href="#Page_248">248</a></li>
+
+<li>Crop rotation, <a href="#Page_249">249</a></li>
+
+<li>&nbsp;</li>
+
+<li>Dalai Lama, religious ruler of Tibet, <a href="#Page_278">278</a>, <a href="#Page_310">310</a></li>
+
+<li>Dance, <a href="#Page_105">105</a></li>
+
+<li>Deflation, <a href="#Page_215">215</a></li>
+
+<li>Deities, <a href="#Page_23">23</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Tien, Shang Ti, Maitreya, Amithabha, etc.)</span></li>
+
+<li>Delft, city, <a href="#Page_256">256</a></li>
+
+<li>Demands, the twenty-one, <a href="#Page_311">311</a>, <a href="#Page_313">313</a></li>
+
+<li>Democracy, <a href="#Page_305">305</a>, <a href="#Page_301">301</a></li>
+
+<li>Denshiring, <a href="#Page_12">12</a></li>
+
+<li>Despotism, <a href="#Page_81">81</a>, <a href="#Page_196">196</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Absolutism)</span></li>
+
+<li>Dewey, J., educator, <a href="#Page_307">307</a></li>
+
+<li>Dialects, <a href="#Page_64">64</a>-5</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Language)</span></li>
+
+<li>Dialecticians, <a href="#Page_59">59</a></li>
+
+<li>Dictators, <a href="#Page_38">38</a>, <a href="#Page_47">47</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Despotism)</span></li>
+
+<li>Dictionaries, <a href="#Page_65">65</a></li>
+
+<li>Diploma, for monks, <a href="#Page_208">208</a></li>
+
+<li>Diplomacy, <a href="#Page_223">223</a>, <a href="#Page_226">226</a></li>
+
+<li>Disarmament, <a href="#Page_115">115</a>, <a href="#Page_120">120</a></li>
+
+<li>Discriminatory laws, <a href="#Page_189">189</a>, <a href="#Page_233">233</a> ff., <a href="#Page_270">270</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Double Standard)</span></li>
+
+<li>Dog, <a href="#Page_54">54</a></li>
+
+<li>Dorgon, prince, <a href="#Page_269">269</a></li>
+
+<li>Double standard, legal, <a href="#Page_80">80</a></li>
+
+<li>Drama, <a href="#Page_242">242</a>, <a href="#Page_255">255</a>, <a href="#Page_280">280</a></li>
+
+<li>Dress, changes, <a href="#Page_53">53</a></li>
+
+<li>Dungan, tribes, <a href="#Page_292">292</a></li>
+
+<li>Dynastic histories</li>
+<li><span style="margin-left: 1em;">(<i>see</i> History), <a href="#Page_2">2</a></span></li>
+
+<li>Dzungars, people, <a href="#Page_277">277</a></li>
+<li>&nbsp;</li>
+
+
+<li>Eclipses, <a href="#Page_43">43</a></li>
+
+<li>Economy, <a href="#Page_53">53</a> ff., <a href="#Page_94">94</a> ff., <a href="#Page_100">100</a>, <a href="#Page_109">109</a>, <a href="#Page_112">112</a>-13, <a href="#Page_142">142</a> ff.;</li>
+<li><span style="margin-left: 1em;">Money economy, <a href="#Page_198">198</a>;</span></li>
+<li><span style="margin-left: 1em;">Natural economy, <a href="#Page_107">107</a>-8, <a href="#Page_116">116</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Agriculture, Nomadism, Industry, Denshiring, Money, Trade, etc.)</span></li>
+
+<li>Education, <a href="#Page_73">73</a>, <a href="#Page_103">103</a>, <a href="#Page_201">201</a>, <a href="#Page_306">306</a>, <a href="#Page_326">326</a>, <a href="#Page_327">327</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Schools, Universities, Academies, Script, Examination system, etc.)</span><!-- Page 358 --><span class='pagenum'><a name="Page_358" id="Page_358">[Pg 358]</a></span></li>
+
+<li>Elements, the five, <a href="#Page_60">60</a></li>
+
+<li>Elephants, <a href="#Page_26">26</a></li>
+
+<li>Elite, <a href="#Page_73">73</a>, <a href="#Page_74">74</a>, <a href="#Page_196">196</a>, <a href="#Page_218">218</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Intellectuals, Students, Gentry)</span></li>
+
+<li>Elixir, <a href="#Page_187">187</a> (<i>see</i> Alchemy)</li>
+
+<li>Emperor, position of, <a href="#Page_81">81</a>, <a href="#Page_92">92</a>, <a href="#Page_210">210</a>, <a href="#Page_304">304</a>;</li>
+<li><span style="margin-left: 1em;">Emperor and church, <a href="#Page_218">218</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Despotism, King, Absolutism, Monarchy, etc.)</span></li>
+
+<li>Empress (<i>see</i> L&uuml;, Wu, Wei, Tz&#365; Hsi)</li>
+
+<li>Encyclopaedias, <a href="#Page_219">219</a>, <a href="#Page_264">264</a>, <a href="#Page_279">279</a></li>
+
+<li>England, <a href="#Page_265">265</a>, <a href="#Page_283">283</a>, <a href="#Page_285">285</a> (<i>see</i> Great Britain)</li>
+
+<li>Ephtalites, tribe, <a href="#Page_150">150</a></li>
+
+<li>Epics, <a href="#Page_133">133</a></li>
+
+<li>Equalization Office, <a href="#Page_91">91</a>, <a href="#Page_94">94</a> (<i>see ch&uuml;n-t'ien</i>)</li>
+
+<li>Erotic literature, <a href="#Page_254">254</a></li>
+
+<li>Estates (<i>chuang,</i>), <a href="#Page_154">154</a>, <a href="#Page_175">175</a>, <a href="#Page_181">181</a>, <a href="#Page_212">212</a>, <a href="#Page_236">236</a></li>
+
+<li>Ethics, <a href="#Page_45">45</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Confucianism)</span></li>
+
+<li>Eunuchs, <a href="#Page_91">91</a>, <a href="#Page_100">100</a>, <a href="#Page_191">191</a>, <a href="#Page_253">253</a>, <a href="#Page_259">259</a>-60, <a href="#Page_261">261</a>, <a href="#Page_267">267</a>, <a href="#Page_272">272</a></li>
+
+<li>Europe, <a href="#Page_143">143</a>, <a href="#Page_212">212</a>;</li>
+<li><span style="margin-left: 1em;">Europeans, <a href="#Page_209">209</a>, <a href="#Page_233">233</a>, <a href="#Page_237">237</a>, <a href="#Page_246">246</a>, <a href="#Page_263">263</a>, <a href="#Page_272">272</a>, <a href="#Page_297">297</a>, <a href="#Page_299">299</a></span></li>
+
+<li>Examination system, <a href="#Page_74">74</a>, <a href="#Page_78">78</a>, <a href="#Page_85">85</a>-6, <a href="#Page_91">91</a>, <a href="#Page_175">175</a>, <a href="#Page_197">197</a>, <a href="#Page_216">216</a>, <a href="#Page_252">252</a>-3, <a href="#Page_259">259</a>, <a href="#Page_280">280</a>;</li>
+<li><span style="margin-left: 1em;">Examinations for Buddhists, <a href="#Page_207">207</a></span></li>
+
+<li>&nbsp;</li>
+
+<li>Fables, <a href="#Page_259">259</a></li>
+
+<li>Factories, <a href="#Page_250">250</a>, <a href="#Page_251">251</a></li>
+
+<li>Fallow system, <a href="#Page_54">54</a>, <a href="#Page_249">249</a></li>
+
+<li>Falsifications, <a href="#Page_93">93</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Confucianism)</span></li>
+
+<li>Family structure, <a href="#Page_24">24</a>, <a href="#Page_29">29</a>, <a href="#Page_31">31</a>, <a href="#Page_42">42</a>, <a href="#Page_54">54</a>, <a href="#Page_138">138</a>-9, <a href="#Page_196">196</a>, <a href="#Page_332">332</a>;</li>
+<li><span style="margin-left: 1em;">Family ethics, <a href="#Page_58">58</a>;</span></li>
+<li><span style="margin-left: 1em;">Family planning, <a href="#Page_331">331</a></span></li>
+
+<li>Fan Chung-yen, politician, <a href="#Page_212">212</a>, <a href="#Page_213">213</a></li>
+
+<li>Fascism, <a href="#Page_264">264</a></li>
+
+<li>Federations, tribal, <a href="#Page_117">117</a></li>
+
+<li>Felt, <a href="#Page_33">33</a></li>
+
+<li>F&ecirc;ng Kuo-chang, politician, <a href="#Page_312">312</a></li>
+
+<li>F&ecirc;ng Meng-lung, writer, <a href="#Page_254">254</a>, <a href="#Page_255">255</a></li>
+
+<li>F&ecirc;ng Tao, politician, <a href="#Page_201">201</a></li>
+
+<li>F&ecirc;ng Y&uuml;-hsiang, war lord, <a href="#Page_312">312</a>, <a href="#Page_315">315</a></li>
+
+<li>Ferghana, city, <a href="#Page_88">88</a></li>
+
+<li>Fertility cults, <a href="#Page_23">23</a>;</li>
+<li><span style="margin-left: 1em;">differential fertility, <a href="#Page_73">73</a></span></li>
+
+<li>Fertilizer, <a href="#Page_54">54</a></li>
+
+<li>Feudalism, <a href="#Page_24">24</a>, <a href="#Page_29">29</a>, <a href="#Page_30">30</a> ff., <a href="#Page_37">37</a>, <a href="#Page_38">38</a>, <a href="#Page_40">40</a>, <a href="#Page_42">42</a>, <a href="#Page_44">44</a>, <a href="#Page_45">45</a>, <a href="#Page_85">85</a>;</li>
+<li><span style="margin-left: 1em;">end of feudalism, <a href="#Page_51">51</a>, <a href="#Page_59">59</a>, <a href="#Page_62">62</a>-3;</span></li>
+<li><span style="margin-left: 1em;">late feudalism, <a href="#Page_71">71</a>-2, <a href="#Page_77">77</a> ff.;</span></li>
+<li><span style="margin-left: 1em;">new feudalism, <a href="#Page_81">81</a>;</span></li>
+<li><span style="margin-left: 1em;">nomadic feudalism, <a href="#Page_76">76</a>, <a href="#Page_131">131</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Serfs, Aristocracy, Fiefs, Bondsmen, etc.)</span></li>
+
+<li>Fiefs, <a href="#Page_30">30</a>, <a href="#Page_54">54</a>, <a href="#Page_78">78</a>, <a href="#Page_82">82</a></li>
+
+<li>Finances, <a href="#Page_209">209</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Budget, Inflation, Money, Coins)</span></li>
+
+<li>Fire-arms</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Rifles, Cannons)</span></li>
+
+<li>Fishing, <a href="#Page_94">94</a></li>
+
+<li>Folk-tales, <a href="#Page_254">254</a>, <a href="#Page_258">258</a></li>
+
+<li>Food habits, <a href="#Page_54">54</a>-5, <a href="#Page_155">155</a></li>
+
+<li>Foreign relations, <a href="#Page_84">84</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Diplomacy, Treaty, Tribute, War)</span></li>
+
+<li>Forests, <a href="#Page_26">26</a></li>
+
+<li>Formosa (T'aiwan), <a href="#Page_152">152</a>, <a href="#Page_267">267</a>, <a href="#Page_276">276</a>, <a href="#Page_277">277</a>, <a href="#Page_295">295</a>, <a href="#Page_296">296</a>, <a href="#Page_323">323</a> ff.</li>
+
+<li>France, <a href="#Page_287">287</a>, <a href="#Page_295">295</a>, <a href="#Page_296">296</a>, <a href="#Page_313">313</a>, <a href="#Page_317">317</a></li>
+
+<li>Frontier, concept of, <a href="#Page_38">38</a></li>
+
+<li>Frugality, <a href="#Page_58">58</a></li>
+
+<li>Fu Chien, ruler, <a href="#Page_126">126</a> ff., <a href="#Page_130">130</a>, <a href="#Page_131">131</a>, <a href="#Page_136">136</a>, <a href="#Page_139">139</a>, <a href="#Page_157">157</a>-8</li>
+
+<li>Fu-lan-chi (Franks), <a href="#Page_263">263</a></li>
+
+<li>Fu-lin, Manchu ruler, <a href="#Page_269">269</a></li>
+
+<li>Fu-y&uuml;, country, <a href="#Page_141">141</a></li>
+
+<li>Fukien, province, <a href="#Page_167">167</a>, <a href="#Page_228">228</a>, <a href="#Page_237">237</a>, <a href="#Page_248">248</a>, <a href="#Page_249">249</a>, <a href="#Page_250">250</a>, <a href="#Page_251">251</a>, <a href="#Page_276">276</a></li>
+
+<li>&nbsp;</li>
+
+<li>Galdan, leader, <a href="#Page_277">277</a></li>
+
+<li>Gandhara, country, <a href="#Page_146">146</a></li>
+
+<li>Gardens, <a href="#Page_154">154</a></li>
+
+<li>Geisha (<i>see</i> Courtesans), <a href="#Page_217">217</a></li>
+
+<li>Genealogy, <a href="#Page_52">52</a>, <a href="#Page_167">167</a>, <a href="#Page_196">196</a></li>
+
+<li>Genghiz Khan, ruler, <a href="#Page_225">225</a>, <a href="#Page_230">230</a>, <a href="#Page_241">241</a></li>
+
+<li>Gentry (Upper class), <a href="#Page_44">44</a>, <a href="#Page_78">78</a>, <a href="#Page_80">80</a>, <a href="#Page_101">101</a>, <a href="#Page_108">108</a>, <a href="#Page_133">133</a>, <a href="#Page_138">138</a>, <a href="#Page_143">143</a>, <a href="#Page_144">144</a>, <a href="#Page_166">166</a>, <a href="#Page_173">173</a>, <a href="#Page_174">174</a>, <a href="#Page_196">196</a>, <a href="#Page_197">197</a>, <a href="#Page_203">203</a>, <a href="#Page_209">209</a>, <a href="#Page_210">210</a>, <a href="#Page_214">214</a>, <a href="#Page_236">236</a>, <a href="#Page_239">239</a>, <a href="#Page_252">252</a> ff., <a href="#Page_257">257</a>, <a href="#Page_268">268</a>, <a href="#Page_272">272</a>, <a href="#Page_297">297</a>, <a href="#Page_303">303</a>-4, <a href="#Page_307">307</a>;</li>
+<li><span style="margin-left: 1em;">colonial gentry, <a href="#Page_163">163</a>;</span></li>
+<li><span style="margin-left: 1em;">definition of gentry, <a href="#Page_72">72</a>;</span></li>
+<li><span style="margin-left: 1em;">gentry state, <a href="#Page_71">71</a> ff.,</span></li>
+<li><span style="margin-left: 1em;">southern gentry, <a href="#Page_153">153</a></span></li>
+
+<li>Germany, <a href="#Page_296">296</a>, <a href="#Page_311">311</a>, <a href="#Page_312">312</a>, <a href="#Page_317">317</a></li>
+
+<li>G&ouml;k Turks, <a href="#Page_149">149</a> ff.</li>
+
+<li>Governors, role of, <a href="#Page_184">184</a> ff.</li>
+
+<li>Grain</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Millet, Rice, Wheat)</span></li>
+
+<li>Granaries, <a href="#Page_216">216</a>, <a href="#Page_290">290</a></li>
+
+<li>Great Britain, <a href="#Page_285">285</a>, <a href="#Page_293">293</a>, <a href="#Page_294">294</a>, <a href="#Page_295">295</a>, <a href="#Page_310">310</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> England)</span></li>
+
+<li>Great Leap Forward, <a href="#Page_331">331</a></li>
+
+<li>Great Proletarian Cultural Revolution, <a href="#Page_333">333</a></li>
+
+<li>Great Wall, <a href="#Page_57">57</a></li>
+
+<li>Greeks, <a href="#Page_59">59</a>, <a href="#Page_60">60</a></li>
+
+<li>Guilds, <a href="#Page_58">58</a>, <a href="#Page_197">197</a></li>
+
+<li>&nbsp;</li>
+
+<li>Hakka, ethnic group, <a href="#Page_228">228</a>, <a href="#Page_289">289</a>, <a href="#Page_323">323</a></li>
+
+<li>Hami, city state, <a href="#Page_245">245</a></li>
+
+<li>Han, dynasty, <a href="#Page_71">71</a> ff., <a href="#Page_122">122</a>;</li>
+<li><span style="margin-left: 1em;">Later Han dynasty, <a href="#Page_206">206</a></span></li>
+
+<li>Han Fei Tzu, philosopher, <a href="#Page_59">59</a></li>
+
+<li>Han T'o-wei, politician, <a href="#Page_226">226</a>-7</li>
+
+<li>Han Y&uuml;, philosopher, <a href="#Page_182">182</a>, <a href="#Page_217">217</a>, <a href="#Page_218">218</a></li>
+
+<li>Hankow (Han-k'ou), city, <a href="#Page_38">38</a>, <a href="#Page_156">156</a>, <a href="#Page_162">162</a>, <a href="#Page_251">251</a>, <a href="#Page_290">290</a>, <a href="#Page_314">314</a></li>
+
+<li>Hangchow (Hang-chou), city, <a href="#Page_38">38</a>, <a href="#Page_225">225</a>, <a href="#Page_228">228</a></li>
+
+<li>Heaven, <a href="#Page_42">42</a>, <a href="#Page_81">81</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Shang Ti, T'ien)</span></li>
+
+<li>Hermits, <a href="#Page_46">46</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Monks, Sages)</span></li>
+
+<li>Hinayana, religion, <a href="#Page_135">135</a></li>
+
+<li>Historians, <a href="#Page_2">2</a></li>
+
+<li>Histories, dynastic, <a href="#Page_2">2</a>, <a href="#Page_242">242</a>;</li>
+<li><span style="margin-left: 1em;">falsification of histories, <a href="#Page_43">43</a>, <a href="#Page_52">52</a>, <a href="#Page_93">93</a>;</span></li>
+<li><span style="margin-left: 1em;">Historiography, <a href="#Page_43">43</a>, <a href="#Page_103">103</a>-4</span><!-- Page 359 --><span class='pagenum'><a name="Page_359" id="Page_359">[Pg 359]</a></span></li>
+<li>Hitler, Adolf, dictator, <a href="#Page_317">317</a>, <a href="#Page_319">319</a></li>
+
+<li>Hittites, ethnic group, <a href="#Page_25">25</a></li>
+
+<li>Ho Ch'eng-t'ien, scholar, <a href="#Page_255">255</a></li>
+
+<li>Ho-lien P'o-p'o, ruler, <a href="#Page_139">139</a>, <a href="#Page_140">140</a>, <a href="#Page_159">159</a>, <a href="#Page_225">225</a></li>
+
+<li>Ho Ti, Han ruler, <a href="#Page_99">99</a></li>
+
+<li><i>hong</i>, association, <a href="#Page_286">286</a></li>
+
+<li>Hong Kong, colony, <a href="#Page_286">286</a>, <a href="#Page_319">319</a>, <a href="#Page_325">325</a></li>
+
+<li>Hopei, province, <a href="#Page_296">296</a></li>
+
+<li>Horse, <a href="#Page_11">11</a>, <a href="#Page_90">90</a>, <a href="#Page_186">186</a>, <a href="#Page_223">223</a>, <a href="#Page_237">237</a>;</li>
+<li><span style="margin-left: 1em;">horse chariot, <a href="#Page_25">25</a>;</span></li>
+<li><span style="margin-left: 1em;">horse riding, <a href="#Page_53">53</a>;</span></li>
+<li><span style="margin-left: 1em;">horse trade, <a href="#Page_63">63</a></span></li>
+
+<li>Hospitals, <a href="#Page_216">216</a></li>
+
+<li>Hou Ching, ruler, <a href="#Page_161">161</a>-2</li>
+
+<li>Houses, <a href="#Page_19">19</a>, <a href="#Page_33">33</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Adobe)</span></li>
+
+<li>Hsi-hsia, kingdom, <a href="#Page_214">214</a>, <a href="#Page_221">221</a>, <a href="#Page_223">223</a>, <a href="#Page_224">224</a> ff., <a href="#Page_231">231</a></li>
+
+<li>Hsi-k'ang, Tibet, <a href="#Page_310">310</a></li>
+
+<li>Hsia, dynasty, <a href="#Page_17">17</a>-18, <a href="#Page_21">21</a>, <a href="#Page_25">25</a>;</li>
+<li><span style="margin-left: 1em;">Hunnic Hsia dynasty, <a href="#Page_139">139</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Hsi-hsia)</span></li>
+
+<li>Hsia-hou, clan, <a href="#Page_113">113</a></li>
+
+<li>Hsia Kui, painter, <a href="#Page_221">221</a></li>
+
+<li>Hsiao Tao-ch'eng, general, <a href="#Page_160">160</a></li>
+
+<li>Hsiao Wu Ti, Chin ruler, <a href="#Page_158">158</a></li>
+
+<li>Hsieh, clan, <a href="#Page_157">157</a></li>
+
+<li>Hsieh Hs&uuml;an, general, <a href="#Page_128">128</a></li>
+
+<li>Hsien-feng, period, <a href="#Page_294">294</a></li>
+
+<li>Hsien-pi, tribal federation, <a href="#Page_98">98</a>, <a href="#Page_102">102</a>, <a href="#Page_114">114</a>, <a href="#Page_116">116</a>, <a href="#Page_117">117</a>, <a href="#Page_119">119</a>, <a href="#Page_120">120</a>, <a href="#Page_121">121</a>, <a href="#Page_123">123</a>, <a href="#Page_126">126</a>, <a href="#Page_127">127</a>, <a href="#Page_128">128</a> ff., <a href="#Page_130">130</a>, <a href="#Page_131">131</a>, <a href="#Page_132">132</a>, <a href="#Page_136">136</a>, <a href="#Page_137">137</a>, <a href="#Page_138">138</a>, <a href="#Page_140">140</a>, <a href="#Page_148">148</a>, <a href="#Page_169">169</a></li>
+
+<li>Hsien Ti, Han ruler, <a href="#Page_100">100</a></li>
+
+<li>Hsien-y&uuml;n, tribes, <a href="#Page_21">21</a></li>
+
+<li>Hsin, dynasty, <a href="#Page_92">92</a></li>
+
+<li>Hsin-an merchants, <a href="#Page_251">251</a>, <a href="#Page_263">263</a></li>
+
+<li><i>Hsin Ch'ing-nien</i>, journal, <a href="#Page_307">307</a></li>
+
+<li>Hsiung-nu, tribal federation, <a href="#Page_67">67</a> ff., <a href="#Page_75">75</a> ff., <a href="#Page_81">81</a>, <a href="#Page_86">86</a> ff., <a href="#Page_90">90</a>, <a href="#Page_95">95</a>, <a href="#Page_96">96</a>, <a href="#Page_97">97</a> ff., <a href="#Page_102">102</a>, <a href="#Page_108">108</a>, <a href="#Page_113">113</a>, <a href="#Page_114">114</a>, <a href="#Page_116">116</a>, <a href="#Page_117">117</a>, <a href="#Page_118">118</a>, <a href="#Page_224">224</a>, <a href="#Page_226">226</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Huns)</span></li>
+
+<li>Hs&uuml; Shih-ch'ang, president, <a href="#Page_312">312</a></li>
+
+<li>Hs&uuml;an-t&ecirc;, period, <a href="#Page_259">259</a></li>
+
+<li>Hs&uuml;an-tsang, Buddhist, <a href="#Page_181">181</a></li>
+
+<li>Hs&uuml;an Tsung, T'ang ruler, <a href="#Page_181">181</a>;</li>
+<li><span style="margin-left: 1em;">Manchu ruler, <a href="#Page_259">259</a>, <a href="#Page_288">288</a></span></li>
+
+<li>Hs&uuml;an-t'ung, period, <a href="#Page_300">300</a></li>
+
+<li>Hs&uuml;n Tz&#365;, philosopher, <a href="#Page_57">57</a>-8</li>
+
+<li>Hu, name of tribes, <a href="#Page_118">118</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Huns)</span></li>
+
+<li>Hu Han-min, politician, <a href="#Page_314">314</a>-15</li>
+
+<li>Hu Shih, scholar and politician, <a href="#Page_307">307</a>, <a href="#Page_320">320</a></li>
+
+<li>Hu Wei-yung, politician, <a href="#Page_257">257</a></li>
+
+<li>Huai-nan Tz&#365;, philosopher, <a href="#Page_50">50</a>, <a href="#Page_104">104</a></li>
+
+<li>Huai, Ti, Chin ruler, <a href="#Page_123">123</a>, <a href="#Page_124">124</a></li>
+
+<li>Huan Hs&uuml;an, general, <a href="#Page_158">158</a>, <a href="#Page_159">159</a></li>
+
+<li>Huan Wen, general, <a href="#Page_157">157</a>-8</li>
+
+<li>Huang Ch'ao, leader of rebellion, <a href="#Page_189">189</a> ff., <a href="#Page_195">195</a>, <a href="#Page_203">203</a></li>
+
+<li>Huang Ti, ruler, <a href="#Page_52">52</a></li>
+
+<li>Huang Tsung-hsi, philosopher, <a href="#Page_247">247</a>, <a href="#Page_352">352</a></li>
+
+<li>Hui-chou merchants, <a href="#Page_251">251</a>, <a href="#Page_254">254</a></li>
+
+<li><i>hui-kuan</i>, association, <a href="#Page_197">197</a></li>
+
+<li>Hui Ti, Chin ruler, <a href="#Page_120">120</a>;</li>
+<li><span style="margin-left: 1em;">Manchu ruler, <a href="#Page_257">257</a></span></li>
+
+<li>Hui Tsung, Sung ruler, <a href="#Page_221">221</a></li>
+
+<li>Hui Tz&#365;, philosopher, <a href="#Page_59">59</a></li>
+
+<li>Human sacrifice, <a href="#Page_19">19</a>, <a href="#Page_23">23</a></li>
+
+<li>Hung Hsiu-ch'&uuml;an, leader of rebellion, <a href="#Page_289">289</a> ff.</li>
+
+<li>Huns, <a href="#Page_57">57</a>, <a href="#Page_118">118</a>, <a href="#Page_119">119</a>, <a href="#Page_120">120</a>, <a href="#Page_121">121</a>, <a href="#Page_124">124</a>, <a href="#Page_125">125</a>, <a href="#Page_126">126</a>, <a href="#Page_127">127</a>, <a href="#Page_130">130</a>, <a href="#Page_131">131</a>, <a href="#Page_136">136</a>, <a href="#Page_139">139</a>, <a href="#Page_140">140</a>, <a href="#Page_147">147</a>, <a href="#Page_148">148</a>, <a href="#Page_151">151</a>, <a href="#Page_278">278</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Hu, Hsiung-nu)</span></li>
+
+<li>Hunting, <a href="#Page_25">25</a>-6</li>
+
+<li>Hutuktu, religious ruler, <a href="#Page_310">310</a></li>
+
+<li>Hydraulic society, <a href="#Page_56">56</a></li>
+
+<li>&nbsp;</li>
+
+<li><i>i-chuang</i>, clan manors, <a href="#Page_213">213</a></li>
+
+<li>Ili, river, <a href="#Page_282">282</a> ff., <a href="#Page_293">293</a>, <a href="#Page_330">330</a></li>
+
+<li>Imperialism, <a href="#Page_76">76</a>, <a href="#Page_265">265</a>, <a href="#Page_285">285</a> ff., <a href="#Page_294">294</a>, <a href="#Page_295">295</a>, <a href="#Page_329">329</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Colonialism)</span></li>
+
+<li>India, <a href="#Page_20">20</a>, <a href="#Page_26">26</a>, <a href="#Page_34">34</a>, <a href="#Page_45">45</a>, <a href="#Page_60">60</a>, <a href="#Page_89">89</a>, <a href="#Page_106">106</a>, <a href="#Page_111">111</a>, <a href="#Page_118">118</a>, <a href="#Page_125">125</a>, <a href="#Page_134">134</a>-5, <a href="#Page_145">145</a>, <a href="#Page_146">146</a>, <a href="#Page_164">164</a>, <a href="#Page_181">181</a>, <a href="#Page_182">182</a>, <a href="#Page_198">198</a>, <a href="#Page_243">243</a>, <a href="#Page_265">265</a>, <a href="#Page_287">287</a>, <a href="#Page_288">288</a>, <a href="#Page_310">310</a>, <a href="#Page_329">329</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Brahmans, Bengal, Gandhara, Calcutta, Buddhism)</span></li>
+
+<li>Indo-China, <a href="#Page_234">234</a>, <a href="#Page_258">258</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Cambodia, Annam, Laos).</span></li>
+
+<li>Indo-Europeans, language group, <a href="#Page_15">15</a>, <a href="#Page_25">25</a>, <a href="#Page_29">29</a>, <a href="#Page_150">150</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Y&uuml;eh-chih, Tocharians, Hittites)</span></li>
+
+<li>Indonesia, <a href="#Page_10">10</a>, <a href="#Page_201">201</a>, <a href="#Page_209">209</a>, <a href="#Page_319">319</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Java)</span></li>
+
+<li>Industries, <a href="#Page_198">198</a>, <a href="#Page_214">214</a>, <a href="#Page_250">250</a> ff.;</li>
+<li><span style="margin-left: 1em;">Industrialization, <a href="#Page_275">275</a>, <a href="#Page_325">325</a>-26, <a href="#Page_327">327</a>-28, <a href="#Page_331">331</a>-32;</span></li>
+<li><span style="margin-left: 1em;">Industrial society, <a href="#Page_212">212</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Factories)</span></li>
+
+<li>Inflation, <a href="#Page_20">20</a>, <a href="#Page_211">211</a>, <a href="#Page_215">215</a>, <a href="#Page_237">237</a></li>
+
+<li>Inheritance, laws of, <a href="#Page_24">24</a>, <a href="#Page_54">54</a></li>
+
+<li>Intellectuals, <a href="#Page_300">300</a>, <a href="#Page_309">309</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> &Eacute;lite, Students)</span></li>
+
+<li>Investments, <a href="#Page_198">198</a>, <a href="#Page_212">212</a>, <a href="#Page_212">212</a>-14</li>
+
+<li>Iran (Persia), <a href="#Page_60">60</a>, <a href="#Page_61">61</a>, <a href="#Page_234">234</a></li>
+
+<li>Iron, <a href="#Page_40">40</a>, <a href="#Page_55">55</a>, <a href="#Page_96">96</a>, <a href="#Page_198">198</a>;</li>
+<li><span style="margin-left: 1em;">Cast iron, <a href="#Page_56">56</a>;</span></li>
+<li><span style="margin-left: 1em;">Iron money, <a href="#Page_202">202</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Steel)</span></li>
+
+<li>Irrigation, <a href="#Page_56">56</a>, <a href="#Page_62">62</a></li>
+
+<li>Islam, <a href="#Page_179">179</a>, <a href="#Page_183">183</a>, <a href="#Page_202">202</a>-3</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Muslims)</span></li>
+
+<li>Istanbul (Constantinople), <a href="#Page_256">256</a>, <a href="#Page_259">259</a>, <a href="#Page_293">293</a></li>
+
+<li>Italy, <a href="#Page_317">317</a></li>
+
+<li>&nbsp;</li>
+
+<li>Japan, <a href="#Page_9">9</a>, <a href="#Page_10">10</a>, <a href="#Page_26">26</a>, <a href="#Page_44">44</a>, <a href="#Page_88">88</a>, <a href="#Page_106">106</a>, <a href="#Page_112">112</a>, <a href="#Page_114">114</a>, <a href="#Page_126">126</a>, <a href="#Page_144">144</a>, <a href="#Page_145">145</a>, <a href="#Page_170">170</a>, <a href="#Page_178">178</a>, <a href="#Page_179">179</a>, <a href="#Page_181">181</a>, <a href="#Page_196">196</a>, <a href="#Page_201">201</a>, <a href="#Page_234">234</a>, <a href="#Page_245">245</a>-6, <a href="#Page_254">254</a>, <a href="#Page_256">256</a>, <a href="#Page_258">258</a>, <a href="#Page_263">263</a>, <a href="#Page_264">264</a>, <a href="#Page_265">265</a>, <a href="#Page_275">275</a>, <a href="#Page_294">294</a> ff., <a href="#Page_297">297</a>, <a href="#Page_298">298</a>, <a href="#Page_300">300</a>, <a href="#Page_308">308</a>, <a href="#Page_309">309</a>, <a href="#Page_311">311</a>, <a href="#Page_312">312</a>, <a href="#Page_313">313</a>, <a href="#Page_314">314</a>, <a href="#Page_316">316</a>, <a href="#Page_317">317</a> ff., <a href="#Page_322">322</a>, <a href="#Page_323">323</a>, <a href="#Page_324">324</a>, <a href="#Page_325">325</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Meiji, Tada, Tanaka)</span></li>
+
+<li>Java, <a href="#Page_234">234</a></li>
+
+<li>Jedzgerd, ruler, <a href="#Page_178">178</a></li>
+
+<li>Jehol, province, <a href="#Page_11">11</a>, <a href="#Page_287">287</a><!-- Page 360 --><span class='pagenum'><a name="Page_360" id="Page_360">[Pg 360]</a></span></li>
+<li>Jen Tsung, Manchu ruler, <a href="#Page_285">285</a></li>
+
+<li>Jesuits, <a href="#Page_266">266</a>, <a href="#Page_278">278</a></li>
+
+<li>Jews, <a href="#Page_179">179</a></li>
+
+<li><i>Ju</i> (scribes), <a href="#Page_34">34</a>, <a href="#Page_41">41</a></li>
+
+<li>Ju-chen (Chin Dynasty, Jurchen), <a href="#Page_221">221</a>-2, <a href="#Page_223">223</a>, <a href="#Page_225">225</a>, <a href="#Page_226">226</a>, <a href="#Page_227">227</a>, <a href="#Page_229">229</a> ff, <a href="#Page_244">244</a>, <a href="#Page_265">265</a></li>
+
+<li>Juan-juan, tribal federation, <a href="#Page_114">114</a>, <a href="#Page_140">140</a>, <a href="#Page_149">149</a></li>
+
+<li>Jurchen</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ju-chen)</span></li>
+<li>&nbsp;</li>
+
+
+<li>K'ai-feng, city</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Yeh, Pien-liang), <a href="#Page_203">203</a>, <a href="#Page_230">230</a></span></li>
+
+<li>Kalmuk, Mongol tribes, <a href="#Page_282">282</a>, <a href="#Page_283">283</a>, <a href="#Page_284">284</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> &Ouml;l&ouml;t)</span></li>
+
+<li>Kang-hsi, period, <a href="#Page_272">272</a>, <a href="#Page_277">277</a>, <a href="#Page_279">279</a></li>
+
+<li>K'ang Yo-wei, politician and scholar, <a href="#Page_298">298</a>-99</li>
+
+<li>Kansu, province, <a href="#Page_12">12</a>, <a href="#Page_14">14</a>, <a href="#Page_86">86</a>, <a href="#Page_87">87</a>, <a href="#Page_121">121</a>, <a href="#Page_124">124</a>, <a href="#Page_125">125</a>, <a href="#Page_129">129</a>, <a href="#Page_131">131</a>, <a href="#Page_132">132</a>, <a href="#Page_139">139</a>, <a href="#Page_140">140</a>, <a href="#Page_142">142</a>, <a href="#Page_159">159</a>, <a href="#Page_163">163</a>, <a href="#Page_225">225</a>, <a href="#Page_292">292</a>, <a href="#Page_293">293</a>, <a href="#Page_324">324</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Tun-huang)</span></li>
+
+<li>Kao-ch'ang, city state, <a href="#Page_177">177</a></li>
+
+<li>Kao, clan, <a href="#Page_148">148</a></li>
+
+<li>Kao-li, state, <a href="#Page_126">126</a>, <a href="#Page_141">141</a>, <a href="#Page_222">222</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Korea)</span></li>
+
+<li>Kao Ming, writer, <a href="#Page_242">242</a></li>
+
+<li>Kao Tsu, Han ruler, <a href="#Page_71">71</a>, <a href="#Page_77">77</a></li>
+
+<li>Kao Tsung, T'ang ruler, <a href="#Page_179">179</a>, <a href="#Page_180">180</a></li>
+
+<li>Kao Yang, ruler, <a href="#Page_148">148</a></li>
+
+<li>Kapok, textile fibre, <a href="#Page_250">250</a></li>
+
+<li>Kara Kitai, tribal federation, <a href="#Page_223">223</a>-4</li>
+
+<li>Kashgar, city, <a href="#Page_99">99</a>, <a href="#Page_282">282</a>, <a href="#Page_292">292</a></li>
+
+<li>Kazak, tribal federation, <a href="#Page_282">282</a>, <a href="#Page_283">283</a></li>
+
+<li>Khalif (<i>see</i> Caliph), <a href="#Page_293">293</a></li>
+
+<li>Khamba, Tibetans, <a href="#Page_310">310</a></li>
+
+<li>Khan, Central Asian title, <a href="#Page_149">149</a>, <a href="#Page_169">169</a>, <a href="#Page_176">176</a>, <a href="#Page_177">177</a>, <a href="#Page_186">186</a></li>
+
+<li>Khocho, city, <a href="#Page_177">177</a></li>
+
+<li>Khotan, city, <a href="#Page_99">99</a>, <a href="#Page_135">135</a>, <a href="#Page_174">174</a></li>
+
+<li>King, position of, <a href="#Page_24">24</a>, <a href="#Page_34">34</a>, <a href="#Page_42">42</a>, <a href="#Page_43">43</a>; first kings, <a href="#Page_19">19</a>;</li>
+<li><span style="margin-left: 1em;">religious character of kingship, <a href="#Page_37">37</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Yao, Shun, Hsia dynasty, Emperor, Wang, Prince)</span></li>
+
+<li>Kitan (Ch'i-tan), tribal federation, <a href="#Page_184">184</a>, <a href="#Page_186">186</a>, <a href="#Page_203">203</a>, <a href="#Page_204">204</a>, <a href="#Page_205">205</a>, <a href="#Page_206">206</a>, <a href="#Page_207">207</a>, <a href="#Page_208">208</a>, <a href="#Page_209">209</a>, <a href="#Page_221">221</a>, <a href="#Page_222">222</a> ff., <a href="#Page_229">229</a>, <a href="#Page_241">241</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Liao dynasty)</span></li>
+
+<li>Ko-shu Han, general, <a href="#Page_184">184</a>-5</li>
+
+<li>Korea, <a href="#Page_9">9</a>, <a href="#Page_88">88</a>-89, <a href="#Page_112">112</a>, <a href="#Page_126">126</a>, <a href="#Page_169">169</a> ff., <a href="#Page_178">178</a>, <a href="#Page_181">181</a>, <a href="#Page_201">201</a>, <a href="#Page_219">219</a>, <a href="#Page_222">222</a>, <a href="#Page_265">265</a>, <a href="#Page_268">268</a>, <a href="#Page_295">295</a>, <a href="#Page_296">296</a>, <a href="#Page_324">324</a>, <a href="#Page_329">329</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Kao-li, Pai-chi, Sin-lo)</span></li>
+
+<li>K'ou Ch'ien-chih, Taoist, <a href="#Page_147">147</a></li>
+
+<li>Kowloon, city, <a href="#Page_287">287</a></li>
+
+<li>Ku Yen-wu, geographer, <a href="#Page_279">279</a></li>
+
+<li>Kuan Han-ch'ing, writer, <a href="#Page_242">242</a></li>
+
+<li>Kuang-hs&uuml;, period, <a href="#Page_295">295</a> ff.</li>
+
+<li>Kuang-wu Ti, Han ruler, <a href="#Page_96">96</a> ff.</li>
+
+<li>Kub(i)lai Khan, Mongol ruler, <a href="#Page_234">234</a>, <a href="#Page_241">241</a></li>
+
+<li>Kung-sun Lung, philosopher, <a href="#Page_59">59</a></li>
+
+<li>K'ung Tzu (Confucius), <a href="#Page_40">40</a> ff.</li>
+
+<li>Kuo-min-tang (KMT), party, <a href="#Page_313">313</a>, <a href="#Page_321">321</a>, <a href="#Page_323">323</a>, <a href="#Page_324">324</a>, <a href="#Page_325">325</a></li>
+
+<li>Kuo Wei, ruler, <a href="#Page_206">206</a></li>
+
+<li>Kuo Tz&#365;-hsing, rebel leader, <a href="#Page_239">239</a></li>
+
+<li>Kuo Tz&#365;-i, loyal general, <a href="#Page_184">184</a>, <a href="#Page_186">186</a></li>
+
+<li>Kyakhta (Kiachta), city, <a href="#Page_278">278</a></li>
+
+<li>&nbsp;</li>
+
+<li>Labour, forced, <a href="#Page_235">235</a>, <a href="#Page_237">237</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Corv&eacute;e);</span></li>
+<li><span style="margin-left: 1em;">Labour laws, <a href="#Page_198">198</a>;</span></li>
+<li><span style="margin-left: 1em;">Labour shortage, <a href="#Page_251">251</a></span></li>
+
+<li>Lacquer, <a href="#Page_256">256</a></li>
+
+<li>Lamaism, religion, <a href="#Page_242">242</a>-3</li>
+
+<li>Land ownership, <a href="#Page_31">31</a>, <a href="#Page_32">32</a>, <a href="#Page_54">54</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Property);</span></li>
+<li><span style="margin-left: 1em;">Land reform, <a href="#Page_94">94</a>, <a href="#Page_142">142</a>-3, <a href="#Page_172">172</a>-3, <a href="#Page_229">229</a>, <a href="#Page_290">290</a>, <a href="#Page_315">315</a>, <a href="#Page_325">325</a>, <a href="#Page_330">330</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see ch&uuml;n-t'ien, ching-t'ien</i>)</span></li>
+
+<li>Landlords, <a href="#Page_54">54</a>, <a href="#Page_55">55</a>, <a href="#Page_154">154</a>, <a href="#Page_155">155</a>, <a href="#Page_198">198</a>, <a href="#Page_212">212</a>, <a href="#Page_213">213</a>, <a href="#Page_236">236</a>-7, <a href="#Page_251">251</a>;</li>
+<li><span style="margin-left: 1em;">temples as landlords, <a href="#Page_134">134</a></span></li>
+
+<li>Language, <a href="#Page_36">36</a>, <a href="#Page_46">46</a>;</li>
+<li><span style="margin-left: 1em;">dialects, <a href="#Page_64">64</a>-5, <a href="#Page_167">167</a>;</span></li>
+<li><span style="margin-left: 1em;">Language reform, <a href="#Page_307">307</a>-8, <a href="#Page_324">324</a></span></li>
+
+<li>Lang Shih-ning, painter, <a href="#Page_281">281</a></li>
+
+<li>La Tz&#365;, philosopher, <a href="#Page_45">45</a> ff., <a href="#Page_101">101</a>, <a href="#Page_136">136</a></li>
+
+<li>Laos, country, <a href="#Page_12">12</a></li>
+
+<li>Law codes, <a href="#Page_56">56</a>, <a href="#Page_66">66</a>, <a href="#Page_80">80</a>, <a href="#Page_81">81</a>-2, <a href="#Page_93">93</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Li K'ui, Property law, Inheritance, Legalists)</span></li>
+
+<li>Leadership, <a href="#Page_73">73</a>-4</li>
+
+<li>League of Nations, <a href="#Page_316">316</a></li>
+
+<li>Leibniz, philosopher, <a href="#Page_281">281</a></li>
+
+<li>Legalists (<i>fa-chia</i>), <a href="#Page_47">47</a>, <a href="#Page_63">63</a>, <a href="#Page_65">65</a>, <a href="#Page_66">66</a>, <a href="#Page_80">80</a>, <a href="#Page_81">81</a></li>
+
+<li>Legitimacy of rule, <a href="#Page_44">44</a>, <a href="#Page_111">111</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Abdication)</span></li>
+
+<li>Lenin, V., <a href="#Page_320">320</a>, <a href="#Page_333">333</a></li>
+
+<li>Lhasa, city, <a href="#Page_278">278</a>, <a href="#Page_329">329</a></li>
+
+<li>Li An-shih, economist, <a href="#Page_142">142</a></li>
+
+<li>Li Chung-yen, governor, <a href="#Page_315">315</a></li>
+
+<li>Li Hung-chang, politician, <a href="#Page_291">291</a>, <a href="#Page_296">296</a>, <a href="#Page_297">297</a></li>
+
+<li>Li K'o-yung, ruler, <a href="#Page_190">190</a>, <a href="#Page_191">191</a>, <a href="#Page_203">203</a>, <a href="#Page_204">204</a></li>
+
+<li>Li Kuang-li, general, <a href="#Page_88">88</a></li>
+
+<li>Li K'ui, law-maker, <a href="#Page_56">56</a>, <a href="#Page_80">80</a></li>
+
+<li>Li Li-san, politician, <a href="#Page_320">320</a></li>
+
+<li>Li Lin-fu, politician, <a href="#Page_184">184</a></li>
+
+<li>Li Lung-mien, painter, <a href="#Page_220">220</a></li>
+
+<li>Li Shih-min</li>
+<li><span style="margin-left: 1em;">(<i>see</i> T'ai Tsung), T'ang ruler, <a href="#Page_170">170</a>, <a href="#Page_172">172</a>, <a href="#Page_178">178</a></span></li>
+
+<li>Li Ss&#365;, politician, <a href="#Page_66">66</a></li>
+
+<li>Li Ta-chao, librarian, <a href="#Page_320">320</a></li>
+
+<li>Li T'ai-po, poet, <a href="#Page_182">182</a></li>
+
+<li>Li Tz&#365;-ch'eng, rebel, <a href="#Page_268">268</a>, <a href="#Page_269">269</a>, <a href="#Page_271">271</a></li>
+
+<li>Li Yu, writer, <a href="#Page_280">280</a></li>
+
+<li>Li Yu-chen, writer, <a href="#Page_280">280</a></li>
+
+<li>Li Y&uuml;an, ruler, <a href="#Page_172">172</a></li>
+
+<li>Li Y&uuml;an-hung, politician, <a href="#Page_301">301</a>, <a href="#Page_302">302</a>, <a href="#Page_312">312</a></li>
+
+<li>Liang dynasty, Earlier, <a href="#Page_124">124</a>, <a href="#Page_130">130</a>;</li>
+<li><span style="margin-left: 1em;">Later Liang, <a href="#Page_130">130</a>, <a href="#Page_150">150</a>, <a href="#Page_162">162</a>, <a href="#Page_191">191</a>, <a href="#Page_203">203</a> ff., <a href="#Page_207">207</a>;</span></li>
+<li><span style="margin-left: 1em;">Northern Liang, <a href="#Page_130">130</a> ff., <a href="#Page_132">132</a>, <a href="#Page_133">133</a>, <a href="#Page_140">140</a>;</span></li>
+<li><span style="margin-left: 1em;">Southern Liang, <a href="#Page_132">132</a>;</span></li>
+<li><span style="margin-left: 1em;">Western Liang, <a href="#Page_131">131</a>, <a href="#Page_140">140</a></span></li>
+
+<li>Liang Ch'i-ch'ao, journalist, <a href="#Page_280">280</a>-1</li>
+
+<li><i>liang-min</i> (burghers), <a href="#Page_143">143</a><!-- Page 361 --><span class='pagenum'><a name="Page_361" id="Page_361">[Pg 361]</a></span></li>
+
+<li>Liao, tribes, <a href="#Page_12">12</a>;</li>
+<li><span style="margin-left: 1em;">Liao dynasty (<i>see</i> Kitan), <a href="#Page_203">203</a>, <a href="#Page_208">208</a>, <a href="#Page_222">222</a> ff.;</span></li>
+<li><span style="margin-left: 1em;">Western Liao dynasty, <a href="#Page_224">224</a></span></li>
+
+<li><i>Liao-chai chih-i</i>, short-story collection, <a href="#Page_280">280</a></li>
+
+<li>Libraries, <a href="#Page_66">66</a>, <a href="#Page_201">201</a>-2</li>
+
+<li>Lin-chin, city, <a href="#Page_55">55</a></li>
+
+<li>Lin-ch'uan, city, <a href="#Page_263">263</a></li>
+
+<li>Lin Shu, translator, <a href="#Page_280">280</a></li>
+
+<li>Lin Tse-hs&uuml;, politician, <a href="#Page_286">286</a></li>
+
+<li>Literati, <a href="#Page_73">73</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Scholars, Confucianists)</span></li>
+
+<li>Literature, <a href="#Page_66">66</a>, <a href="#Page_103">103</a> ff., <a href="#Page_182">182</a> ff., <a href="#Page_220">220</a>, <a href="#Page_253">253</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> <i>pien-wen</i>, <i>pi-chi</i>, Poetry, Drama, Novels, Epics, Theatre, ballads, Folk-tales, Fables, History, Confucians, Writers, Scholars, Scribes)</span></li>
+
+<li>Literary revolution, <a href="#Page_307">307</a>, <a href="#Page_320">320</a></li>
+
+<li>Liu Chi, Han ruler, <a href="#Page_68">68</a>, <a href="#Page_71">71</a> ff.</li>
+
+<li>Liu Chih-y&uuml;an, ruler, <a href="#Page_206">206</a></li>
+
+<li>Liu Chin, eunuch, <a href="#Page_261">261</a></li>
+
+<li>Liu Hsiu</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Kuang-wu Ti), Han ruler, <a href="#Page_96">96</a></span></li>
+
+<li>Liu Lao-chih, general, <a href="#Page_158">158</a></li>
+
+<li><i>liu-min</i> (vagrants), <a href="#Page_198">198</a></li>
+
+<li>Liu Pang</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Liu Chi)</span></li>
+
+<li>Liu Pei, general and ruler, <a href="#Page_100">100</a>, <a href="#Page_101">101</a>, <a href="#Page_102">102</a></li>
+
+<li>Liu Shao-ch'i, political leader, <a href="#Page_333">333</a></li>
+
+<li>Liu Sung, rebel, <a href="#Page_284">284</a></li>
+
+<li>Liu Tsung-y&uuml;an, writer, <a href="#Page_182">182</a></li>
+
+<li>Liu Ts'ung, ruler, <a href="#Page_123">123</a>, <a href="#Page_124">124</a></li>
+
+<li>Liu Yao, ruler, <a href="#Page_124">124</a></li>
+
+<li>Liu Y&uuml;, general, <a href="#Page_158">158</a>, <a href="#Page_159">159</a>;</li>
+<li><span style="margin-left: 1em;">emperor, <a href="#Page_225">225</a></span></li>
+
+<li>Liu Y&uuml;an, sculptor, <a href="#Page_243">243</a>;</li>
+<li><span style="margin-left: 1em;">emperor, <a href="#Page_119">119</a>, <a href="#Page_122">122</a>, <a href="#Page_123">123</a>, <a href="#Page_124">124</a>, <a href="#Page_126">126</a>, <a href="#Page_127">127</a>, <a href="#Page_131">131</a>, <a href="#Page_137">137</a>, <a href="#Page_139">139</a></span></li>
+
+<li>Lo Kuan-chung, writer, <a href="#Page_254">254</a></li>
+
+<li>Loans, to farmers, <a href="#Page_94">94</a>;</li>
+<li><span style="margin-left: 1em;">foreign, <a href="#Page_288">288</a></span></li>
+
+<li>Loess, soil formation, <a href="#Page_9">9</a></li>
+
+<li>Logic, <a href="#Page_46">46</a></li>
+
+<li>Long March, <a href="#Page_321">321</a></li>
+
+<li>Lorcha War, <a href="#Page_287">287</a>, <a href="#Page_291">291</a></li>
+
+<li>Loyang (Lo-yang), capital of China, <a href="#Page_32">32</a>, <a href="#Page_33">33</a>, <a href="#Page_36">36</a>, <a href="#Page_37">37</a>, <a href="#Page_55">55</a>, <a href="#Page_97">97</a>, <a href="#Page_113">113</a>, <a href="#Page_122">122</a>, <a href="#Page_127">127</a>, <a href="#Page_142">142</a>, <a href="#Page_144">144</a>, <a href="#Page_145">145</a>, <a href="#Page_148">148</a>, <a href="#Page_149">149</a>, <a href="#Page_150">150</a>, <a href="#Page_160">160</a>, <a href="#Page_168">168</a>, <a href="#Page_176">176</a>, <a href="#Page_180">180</a>, <a href="#Page_184">184</a>, <a href="#Page_185">185</a>, <a href="#Page_215">215</a></li>
+
+<li>Lu, state, <a href="#Page_41">41</a>, <a href="#Page_43">43</a></li>
+
+<li>L&uuml;, empress, <a href="#Page_77">77</a> ff.</li>
+
+<li>Lu Hsiang-shan, philosopher, <a href="#Page_263">263</a></li>
+
+<li>Lu Hs&uuml;n, writer, <a href="#Page_320">320</a></li>
+
+<li>L&uuml; Kuang, ruler, <a href="#Page_130">130</a></li>
+
+<li>L&uuml; Pu, general, <a href="#Page_100">100</a></li>
+
+<li>L&uuml; Pu-wei, politician, <a href="#Page_63">63</a>, <a href="#Page_103">103</a></li>
+
+<li>Lun, prince, <a href="#Page_120">120</a></li>
+
+<li><i>Lun-heng</i>, book, <a href="#Page_104">104</a></li>
+
+<li>Lung-men, place, <a href="#Page_150">150</a></li>
+
+<li>Lung-shan, excavation site, <a href="#Page_14">14</a>, <a href="#Page_15">15</a> ff., <a href="#Page_19">19</a></li>
+
+<li>Lytton Commission, <a href="#Page_316">316</a></li>
+
+<li>&nbsp;</li>
+
+<li>Ma Yin, ruler, <a href="#Page_199">199</a>-200</li>
+
+<li>Ma Y&uuml;an, general, <a href="#Page_97">97</a>;</li>
+<li><span style="margin-left: 1em;">painter, <a href="#Page_221">221</a></span></li>
+
+<li><ins class="corr" title="Transcriber's note: Not normally spelled with 2 'c's.">Macchiavellism</ins>, <a href="#Page_60">60</a>, <a href="#Page_164">164</a>, <a href="#Page_263">263</a>-4</li>
+
+<li>Macao, Portuguese colony, <a href="#Page_227">227</a>, <a href="#Page_266">266</a>, <a href="#Page_286">286</a></li>
+
+<li>Mahayana, Buddhist sect, <a href="#Page_135">135</a>, <a href="#Page_145">145</a></li>
+
+<li>Maitreya, Buddhist deity, <a href="#Page_147">147</a>, <a href="#Page_189">189</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Messianic movements)</span></li>
+
+<li>Malacca, state, <a href="#Page_263">263</a></li>
+
+<li>Malaria, <a href="#Page_249">249</a></li>
+
+<li>Managers, <a href="#Page_212">212</a>-13</li>
+
+<li>Manchu, tribal federation and dynasty, <a href="#Page_76">76</a>, <a href="#Page_232">232</a>, <a href="#Page_265">265</a>, <a href="#Page_267">267</a>, <a href="#Page_270">270</a> ff., <a href="#Page_301">301</a>, <a href="#Page_312">312</a>, <a href="#Page_329">329</a>, <a href="#Page_330">330</a></li>
+
+<li>Manchuria, <a href="#Page_9">9</a>, <a href="#Page_11">11</a>, <a href="#Page_14">14</a>, <a href="#Page_111">111</a>, <a href="#Page_114">114</a>, <a href="#Page_137">137</a>, <a href="#Page_222">222</a>, <a href="#Page_246">246</a>, <a href="#Page_275">275</a>, <a href="#Page_277">277</a>, <a href="#Page_296">296</a>, <a href="#Page_311">311</a>, <a href="#Page_316">316</a>, <a href="#Page_317">317</a></li>
+
+<li>Manichaeism, Iranian religion, <a href="#Page_46">46</a>, <a href="#Page_179">179</a>, <a href="#Page_187">187</a></li>
+
+<li>Manors (<i>chuang</i>, <i>see</i> Estates), <a href="#Page_154">154</a></li>
+
+<li>Mao Tun, Hsiung-nu ruler, <a href="#Page_75">75</a>, <a href="#Page_76">76</a>, <a href="#Page_119">119</a>, <a href="#Page_122">122</a>, <a href="#Page_139">139</a>, <a href="#Page_170">170</a></li>
+
+<li>Mao Tse-tung, party leader, <a href="#Page_320">320</a>, <a href="#Page_321">321</a>, <a href="#Page_333">333</a></li>
+
+<li>Marco Polo, businessman, <a href="#Page_238">238</a>, <a href="#Page_317">317</a></li>
+
+<li>Market, <a href="#Page_56">56</a>;</li>
+<li><span style="margin-left: 1em;">Market control, <a href="#Page_85">85</a></span></li>
+
+<li>Marriage systems, <a href="#Page_73">73</a>-5, <a href="#Page_167">167</a>, <a href="#Page_196">196</a>, <a href="#Page_332">332</a></li>
+
+<li>Marxism, <a href="#Page_304">304</a>, <a href="#Page_306">306</a>, <a href="#Page_322">322</a>, <a href="#Page_331">331</a>, <a href="#Page_333">333</a>;</li>
+<li><span style="margin-left: 1em;">Marxist theory of history, <a href="#Page_75">75</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Materialism, Communism, Lenin, Mao Tse-tung)</span></li>
+
+<li>Materialism, <a href="#Page_58">58</a>, <a href="#Page_164">164</a></li>
+
+<li>Mathematics, <a href="#Page_61">61</a></li>
+
+<li>Matrilinear societies, <a href="#Page_24">24</a></li>
+
+<li>Mazdaism, Iranian religion, <a href="#Page_101">101</a>, <a href="#Page_179">179</a>, <a href="#Page_187">187</a>, <a href="#Page_342">342</a></li>
+
+<li>May Fourth Movement, <a href="#Page_307">307</a>, <a href="#Page_320">320</a></li>
+
+<li>Medicine, <a href="#Page_219">219</a>;</li>
+<li><span style="margin-left: 1em;">Medical doctors, <a href="#Page_144">144</a>, <a href="#Page_216">216</a>-17</span></li>
+
+<li>Meditation</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ch'an)</span></li>
+
+<li>Megalithic culture, <a href="#Page_20">20</a></li>
+
+<li>Meiji, Japanese ruler, <a href="#Page_294">294</a></li>
+
+<li>Melanesia, <a href="#Page_10">10</a></li>
+
+<li>Mencius (Meng Tz&#365;), philosopher, <a href="#Page_57">57</a></li>
+
+<li>Merchants, <a href="#Page_31">31</a>, <a href="#Page_55">55</a>, <a href="#Page_56">56</a>, <a href="#Page_62">62</a>, <a href="#Page_63">63</a>, <a href="#Page_65">65</a>, <a href="#Page_79">79</a>, <a href="#Page_90">90</a>-1, <a href="#Page_104">104</a>-5, <a href="#Page_134">134</a>, <a href="#Page_160">160</a>, <a href="#Page_163">163</a>, <a href="#Page_179">179</a>, <a href="#Page_189">189</a>, <a href="#Page_198">198</a>, <a href="#Page_200">200</a>, <a href="#Page_201">201</a>, <a href="#Page_202">202</a>, <a href="#Page_212">212</a>, <a href="#Page_215">215</a>-16, <a href="#Page_247">247</a>-8, <a href="#Page_251">251</a>, <a href="#Page_276">276</a>-7, <a href="#Page_297">297</a>;</li>
+<li><span style="margin-left: 1em;">foreign merchants, <a href="#Page_190">190</a>, <a href="#Page_234">234</a>, <a href="#Page_237">237</a>, <a href="#Page_281">281</a>-2</span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Trade, Salt, Caravans, Businessmen)</span></li>
+
+<li>Messianic movements, <a href="#Page_61">61</a>, <a href="#Page_147">147</a></li>
+
+<li>Metal, <a href="#Page_15">15</a>, <a href="#Page_20">20</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Bronze, Copper, Iron)</span></li>
+
+<li>Mi Fei, painter, <a href="#Page_220">220</a></li>
+
+<li>Middle Class, <a href="#Page_195">195</a>, <a href="#Page_254">254</a>, <a href="#Page_297">297</a>, <a href="#Page_304">304</a>, <a href="#Page_309">309</a>, <a href="#Page_310">310</a>, <a href="#Page_314">314</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Burgher, Merchant, Craftsmen, Artisans)</span></li>
+
+<li>Middle East</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Near East)</span></li>
+
+<li>Migrations, <a href="#Page_54">54</a>, <a href="#Page_116">116</a>, <a href="#Page_120">120</a> ff., <a href="#Page_130">130</a>, <a href="#Page_142">142</a>, <a href="#Page_152">152</a> ff., <a href="#Page_228">228</a>, <a href="#Page_237">237</a>, <a href="#Page_248">248</a>, <a href="#Page_275">275</a>-6, <a href="#Page_294">294</a>;</li>
+<li><span style="margin-left: 1em;">forced migrations, <a href="#Page_54">54</a>, <a href="#Page_167">167</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Colonization, Assimilation, Settlement)</span><!-- Page 362 --><span class='pagenum'><a name="Page_362" id="Page_362">[Pg 362]</a></span></li>
+
+<li>Militarism, <a href="#Page_63">63</a></li>
+
+<li>Militia, <a href="#Page_174">174</a>, <a href="#Page_215">215</a>, <a href="#Page_291">291</a></li>
+
+<li>Millet, <a href="#Page_11">11</a>, <a href="#Page_21">21</a>, <a href="#Page_32">32</a></li>
+
+<li>Mills, <a href="#Page_181">181</a>, <a href="#Page_213">213</a></li>
+
+<li>Min, state in Fukien, <a href="#Page_205">205</a></li>
+
+<li>Ming dynasty, <a href="#Page_243">243</a> ff.</li>
+
+<li>Ming Jui, general, <a href="#Page_283">283</a></li>
+
+<li>Min Ti, Chin ruler, <a href="#Page_123">123</a></li>
+
+<li>Ming Ti, Han ruler, <a href="#Page_99">99</a>;</li>
+<li><span style="margin-left: 1em;">Wei ruler, <a href="#Page_114">114</a>;</span></li>
+<li><span style="margin-left: 1em;">Later T'ang ruler, <a href="#Page_204">204</a></span></li>
+
+<li>Minorate, <a href="#Page_24">24</a></li>
+
+<li>Missionaries, Christian, <a href="#Page_266">266</a>, <a href="#Page_281">281</a>, <a href="#Page_287">287</a>, <a href="#Page_289">289</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Jesuits)</span></li>
+
+<li>Mo Ti, philosopher, <a href="#Page_58">58</a></li>
+
+<li>Modernization, <a href="#Page_296">296</a>-7</li>
+
+<li>Mohammedan rebellions, <a href="#Page_292">292</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Muslim)</span></li>
+
+<li>Mon-Khmer tribes, <a href="#Page_10">10</a></li>
+
+<li>Monarchy, <a href="#Page_47">47</a>, <a href="#Page_247">247</a>, <a href="#Page_281">281</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> King, Emperor, Absolutism, Despotism)</span></li>
+
+<li>Monasteries, Buddhist, <a href="#Page_144">144</a>, <a href="#Page_207">207</a>, <a href="#Page_236">236</a>;</li>
+<li><span style="margin-left: 1em;">economic importance, <a href="#Page_125">125</a>, <a href="#Page_134">134</a>, <a href="#Page_180">180</a>-1, <a href="#Page_187">187</a> ff.</span></li>
+
+<li>Money, <a href="#Page_20">20</a>, <a href="#Page_55">55</a>, <a href="#Page_180">180</a>-1;</li>
+<li><span style="margin-left: 1em;">Money economy, <a href="#Page_56">56</a>, <a href="#Page_58">58</a>, <a href="#Page_107">107</a>-8;</span></li>
+<li><span style="margin-left: 1em;">Origin of money, <a href="#Page_40">40</a>;</span></li>
+<li><span style="margin-left: 1em;">paper money, <a href="#Page_202">202</a>, <a href="#Page_211">211</a>, <a href="#Page_347">347</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Coins, Paper, Silver)</span></li>
+
+<li>Mongolia, <a href="#Page_8">8</a>, <a href="#Page_9">9</a>, <a href="#Page_11">11</a>, <a href="#Page_98">98</a>, <a href="#Page_283">283</a>, <a href="#Page_317">317</a></li>
+
+<li>Mongols, tribes, tribal federation, dynasty, <a href="#Page_17">17</a>, <a href="#Page_40">40</a>, <a href="#Page_53">53</a>, <a href="#Page_57">57</a>, <a href="#Page_76">76</a>, <a href="#Page_102">102</a>, <a href="#Page_114">114</a>, <a href="#Page_117">117</a>, <a href="#Page_119">119</a>, <a href="#Page_120">120</a>, <a href="#Page_137">137</a>, <a href="#Page_140">140</a>, <a href="#Page_175">175</a>, <a href="#Page_220">220</a>, <a href="#Page_225">225</a>, <a href="#Page_227">227</a>, <a href="#Page_228">228</a>, <a href="#Page_230">230</a> ff., <a href="#Page_232">232</a> ff., <a href="#Page_240">240</a>, <a href="#Page_243">243</a>, <a href="#Page_244">244</a>, <a href="#Page_257">257</a>, <a href="#Page_259">259</a>, <a href="#Page_264">264</a>, <a href="#Page_266">266</a>, <a href="#Page_268">268</a>, <a href="#Page_270">270</a>, <a href="#Page_277">277</a>, <a href="#Page_281">281</a>, <a href="#Page_284">284</a>, <a href="#Page_291">291</a>, <a href="#Page_329">329</a>, <a href="#Page_330">330</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Y&uuml;an dynasty, Kalmuk, T&uuml;met, Oirat, &Ouml;l&ouml;t, Naiman, Turgut,</span></li>
+<li><span style="margin-left: 1em;">Timur, Genghiz, Kublai)</span></li>
+
+<li>Monks, Buddhist, <a href="#Page_134">134</a>, <a href="#Page_146">146</a>, <a href="#Page_164">164</a>, <a href="#Page_188">188</a>, <a href="#Page_207">207</a>, <a href="#Page_218">218</a>, <a href="#Page_239">239</a>, <a href="#Page_246">246</a>, <a href="#Page_253">253</a>-4</li>
+
+<li>Monopolies, <a href="#Page_85">85</a>, <a href="#Page_91">91</a>, <a href="#Page_200">200</a>, <a href="#Page_215">215</a></li>
+
+<li>Mound-dwellers, <a href="#Page_16">16</a></li>
+
+<li>Mu-jung, tribes, <a href="#Page_119">119</a>, <a href="#Page_126">126</a>, <a href="#Page_128">128</a>-9</li>
+
+<li>Mu Ti, East Chin ruler, <a href="#Page_157">157</a></li>
+
+<li>Mu Tsung, Manchu ruler, <a href="#Page_294">294</a></li>
+
+<li>Mulberries, <a href="#Page_143">143</a></li>
+
+<li>Munda tribes, <a href="#Page_10">10</a></li>
+
+<li>Music, <a href="#Page_163">163</a>, <a href="#Page_182">182</a>-3, <a href="#Page_255">255</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Theatre, Dance, Geisha)</span></li>
+
+<li>Muslims, <a href="#Page_179">179</a>, <a href="#Page_233">233</a>, <a href="#Page_278">278</a>, <a href="#Page_289">289</a>;</li>
+<li><span style="margin-left: 1em;">Muslim rebellions, <a href="#Page_289">289</a>, <a href="#Page_292">292</a> ff.</span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Islam, Mohammedans)</span></li>
+
+<li>Mysticism, <a href="#Page_46">46</a></li>
+
+<li>&nbsp;</li>
+
+<li>Naiman, Mongol tribe, <a href="#Page_233">233</a></li>
+
+<li>Nan-chao, state, <a href="#Page_171">171</a></li>
+
+<li>Nan-yang, city, <a href="#Page_96">96</a></li>
+
+<li>Nanking (Nan-ching), capital of China, <a href="#Page_38">38</a>, <a href="#Page_121">121</a>, <a href="#Page_156">156</a>, <a href="#Page_162">162</a>, <a href="#Page_225">225</a>, <a href="#Page_228">228</a>, <a href="#Page_235">235</a>, <a href="#Page_246">246</a>, <a href="#Page_250">250</a>, <a href="#Page_254">254</a>, <a href="#Page_257">257</a>, <a href="#Page_262">262</a>, <a href="#Page_263">263</a>, <a href="#Page_266">266</a>, <a href="#Page_270">270</a>, <a href="#Page_286">286</a>, <a href="#Page_287">287</a>, <a href="#Page_290">290</a>, <a href="#Page_291">291</a>, <a href="#Page_302">302</a>, <a href="#Page_315">315</a>, <a href="#Page_316">316</a>, <a href="#Page_318">318</a>;</li>
+<li><span style="margin-left: 1em;">Nanking regime, <a href="#Page_314">314</a> ff.</span></li>
+
+<li>Nationalism, <a href="#Page_76">76</a>, <a href="#Page_131">131</a>, <a href="#Page_233">233</a>, <a href="#Page_284">284</a>-5</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Kuo-min-tang)</span></li>
+
+<li>Nature, <a href="#Page_46">46</a>;</li>
+<li><span style="margin-left: 1em;">Nature philosophers, <a href="#Page_60">60</a></span></li>
+
+<li>Navy, <a href="#Page_258">258</a></li>
+
+<li>Near East, <a href="#Page_16">16</a>, <a href="#Page_81">81</a>, <a href="#Page_106">106</a>, <a href="#Page_109">109</a>, <a href="#Page_111">111</a>, <a href="#Page_140">140</a>, <a href="#Page_146">146</a>, <a href="#Page_221">221</a>, <a href="#Page_238">238</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Arabs, Iran, etc.)</span></li>
+
+<li>Neo-Confucianism, <a href="#Page_218">218</a> ff., <a href="#Page_263">263</a></li>
+
+<li>Neolithicum, <a href="#Page_9">9</a></li>
+
+<li>Nepal, <a href="#Page_243">243</a>, <a href="#Page_283">283</a></li>
+
+<li>Nerchinsk, place, <a href="#Page_278">278</a></li>
+
+<li>Nestorian Christianity, <a href="#Page_187">187</a></li>
+
+<li>Ni Tsan, painter, <a href="#Page_243">243</a></li>
+
+<li>Nien Fei, rebels, <a href="#Page_291">291</a>-2</li>
+
+<li>Niu Seng-yu, politician, <a href="#Page_188">188</a></li>
+
+<li>Nobility, <a href="#Page_31">31</a>, <a href="#Page_80">80</a>, <a href="#Page_124">124</a>, <a href="#Page_131">131</a>, <a href="#Page_138">138</a>;</li>
+<li><span style="margin-left: 1em;">Nomadic nobility, <a href="#Page_76">76</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Aristocracy)</span></li>
+
+<li>Nomadism, <a href="#Page_10">10</a>, <a href="#Page_40">40</a>, <a href="#Page_67">67</a>, <a href="#Page_222">222</a>-3;</li>
+<li><span style="margin-left: 1em;">Economy of nomads, <a href="#Page_35">35</a>-6, <a href="#Page_137">137</a>;</span></li>
+<li><span style="margin-left: 1em;">Nomadic society structure, <a href="#Page_75">75</a></span></li>
+
+<li>Novels, <a href="#Page_254">254</a> ff., <a href="#Page_280">280</a></li>
+
+<li>&nbsp;</li>
+
+<li>Oil, <a href="#Page_294">294</a></li>
+
+<li>Oirat, Mongol tribes, <a href="#Page_260">260</a></li>
+
+<li>Okinawa (<i>see</i> Ryukyu)</li>
+
+<li>&Ouml;l&ouml;t, Mongol tribes, <a href="#Page_277">277</a></li>
+
+<li>Opera, <a href="#Page_242">242</a>, <a href="#Page_255">255</a>-6</li>
+
+<li>Opium, <a href="#Page_276">276</a>, <a href="#Page_286">286</a>;</li>
+<li><span style="margin-left: 1em;">Opium War, <a href="#Page_286">286</a></span></li>
+
+<li>Oracle bones, <a href="#Page_22">22</a>, <a href="#Page_24">24</a></li>
+
+<li>Ordos, area, <a href="#Page_9">9</a>, <a href="#Page_17">17</a>, <a href="#Page_20">20</a>, <a href="#Page_67">67</a>, <a href="#Page_86">86</a>, <a href="#Page_125">125</a>, <a href="#Page_129">129</a>, <a href="#Page_133">133</a>, <a href="#Page_148">148</a>, <a href="#Page_170">170</a>, <a href="#Page_225">225</a></li>
+
+<li>Orenburg, city, <a href="#Page_282">282</a></li>
+
+<li>Organizations, <a href="#Page_58">58</a></li>
+<li><span style="margin-left: 1em;">(<i>see hui-kuan</i> Guilds, <i>hong</i>, Secret Societies)</span></li>
+
+<li>Orphanages, <a href="#Page_218">218</a></li>
+
+<li>Ottoman (Turkish) Empire, <a href="#Page_293">293</a></li>
+
+<li>Ou-yang Hsiu, writer, <a href="#Page_254">254</a></li>
+
+<li>Outer Mongolia, <a href="#Page_310">310</a>-11, <a href="#Page_330">330</a></li>
+
+<li>&nbsp;</li>
+
+<li>Pagoda, <a href="#Page_243">243</a></li>
+
+<li>Pai-chi (Paikche), state in Korea, <a href="#Page_141">141</a></li>
+
+<li>Pai-lien-hui (<i>see</i> White Lotos) 239</li>
+
+<li>Painting, <a href="#Page_56">56</a>, <a href="#Page_105">105</a>, <a href="#Page_183">183</a>, <a href="#Page_220">220</a> ff., <a href="#Page_243">243</a>, <a href="#Page_255">255</a>, <a href="#Page_281">281</a></li>
+
+<li>Palaeolithicum, <a href="#Page_8">8</a> ff.</li>
+
+<li>Pan Ch'ao, general, <a href="#Page_99">99</a>, <a href="#Page_100">100</a></li>
+
+<li><i>pao-chia</i>, security system, <a href="#Page_173">173</a></li>
+
+<li>Paper, <a href="#Page_105">105</a>, <a href="#Page_183">183</a>, <a href="#Page_251">251</a>;</li>
+<li><span style="margin-left: 1em;">Paper money, <a href="#Page_202">202</a>, <a href="#Page_228">228</a>, <a href="#Page_237">237</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Money)</span></li>
+
+<li>Parliament, <a href="#Page_300">300</a>-1</li>
+
+<li>Party (<i>see</i> Kuo-min-tang, Communists)</li>
+
+<li>Pearl Harbour, <a href="#Page_319">319</a></li>
+
+<li>Peasant rebellions, <a href="#Page_238">238</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Rebellions)</span></li>
+
+<li>Peking, city, <a href="#Page_169">169</a>, <a href="#Page_184">184</a>, <a href="#Page_197">197</a>, <a href="#Page_207">207</a>, <a href="#Page_208">208</a>, <a href="#Page_221">221</a>, <a href="#Page_223">223</a>, <a href="#Page_235">235</a>, <a href="#Page_239">239</a>, <a href="#Page_246">246</a>, <a href="#Page_256">256</a>, <a href="#Page_257">257</a>, <a href="#Page_262">262</a>, <a href="#Page_264">264</a>, <a href="#Page_265">265</a>, <a href="#Page_266">266</a>, <a href="#Page_268">268</a>, <a href="#Page_269">269</a>, <a href="#Page_272">272</a>, <a href="#Page_278">278</a>, <a href="#Page_283">283</a>, <a href="#Page_287">287</a>, <a href="#Page_290">290</a>, <a href="#Page_291">291</a>, <a href="#Page_297">297</a>, <a href="#Page_299">299</a>, <a href="#Page_305">305</a>, <a href="#Page_307">307</a>, <a href="#Page_308">308</a>, <a href="#Page_309">309</a>, <a href="#Page_311">311</a>, <a href="#Page_312">312</a>, <a href="#Page_313">313</a>, <a href="#Page_318">318</a>;</li>
+<li><span style="margin-left: 1em;">Peking Man, <a href="#Page_8">8</a></span></li>
+
+<li>Pensions, <a href="#Page_217">217</a>, <a href="#Page_247">247</a></li>
+
+<li>People's Democracy, <a href="#Page_294">294</a><!-- Page 363 --><span class='pagenum'><a name="Page_363" id="Page_363">[Pg 363]</a></span></li>
+
+<li>Persecution, religious, <a href="#Page_147">147</a>, <a href="#Page_188">188</a>, <a href="#Page_207">207</a></li>
+
+<li>Persia (Iran), <a href="#Page_256">256</a>, <a href="#Page_258">258</a>, <a href="#Page_259">259</a>;</li>
+<li><span style="margin-left: 1em;">Persian language, <a href="#Page_234">234</a></span></li>
+
+<li>Peruz, ruler, <a href="#Page_178">178</a></li>
+
+<li>Philippines, state, <a href="#Page_295">295</a>, <a href="#Page_323">323</a>, <a href="#Page_325">325</a></li>
+
+<li>Philosophy, <a href="#Page_44">44</a>, <a href="#Page_217">217</a> ff., <a href="#Page_263">263</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Confucius, Lao Tz&#365;, Chuang Tz&#365;, Huai-nan Tz&#365;, Hs&uuml;n Tz&#365;, Mencius, Hui Tz&#365;, Mo Ti, Kung-sun Lung, Shang Tz&#365;, Han Fei Tz&#365;, Tsou Yen, Legalists, Chung-ch'ang, T'ung, Y&uuml;an Chi, Liu Ling, Chu Hsi, Ch'eng Hao, Lu Hsiang-shan, Wang Yang-ming, etc.)</span></li>
+
+<li><i>pi-chi</i>, literary form, <a href="#Page_220">220</a></li>
+
+<li><i>pieh-yeh (see</i> Manor), <a href="#Page_154">154</a></li>
+
+<li>Pien-liang, city (<i>see</i> K'ai-feng), <a href="#Page_230">230</a></li>
+
+<li><i>pien-wen</i>, literary form, <a href="#Page_253">253</a></li>
+
+<li>Pig, <a href="#Page_54">54</a>, <a href="#Page_199">199</a></li>
+
+<li>Pilgrims, <a href="#Page_245">245</a></li>
+
+<li>P'ing-ch'eng, city, <a href="#Page_122">122</a></li>
+
+<li>Pirates, <a href="#Page_245">245</a>, <a href="#Page_263">263</a></li>
+
+<li>Plantation economy, <a href="#Page_154">154</a></li>
+
+<li>Plough, <a href="#Page_54">54</a></li>
+
+<li>Po Ch&uuml;-i, poet, <a href="#Page_182">182</a>, <a href="#Page_220">220</a></li>
+
+<li>Po-hai, state, <a href="#Page_171">171</a>, <a href="#Page_222">222</a>, <a href="#Page_229">229</a></li>
+
+<li>Poetry, <a href="#Page_48">48</a>, <a href="#Page_163">163</a>, <a href="#Page_175">175</a>, <a href="#Page_182">182</a> ff., <a href="#Page_227">227</a>, <a href="#Page_241">241</a>, <a href="#Page_255">255</a>;</li>
+<li><span style="margin-left: 1em;">Court Poetry, <a href="#Page_105">105</a>;</span></li>
+<li><span style="margin-left: 1em;">Northern Poetry, <a href="#Page_133">133</a></span></li>
+
+<li>Poets, <a href="#Page_219">219</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> T'ao Ch'ien, Po Ch&uuml;-i, Li T'ai-po, Tu Fu, etc.)</span></li>
+
+<li>Politicians, migratory, <a href="#Page_52">52</a></li>
+
+<li>Pontic migration, <a href="#Page_16">16</a></li>
+
+<li>Population changes, <a href="#Page_21">21</a>, <a href="#Page_55">55</a>, <a href="#Page_62">62</a>, <a href="#Page_78">78</a>, <a href="#Page_108">108</a>, <a href="#Page_236">236</a>, <a href="#Page_238">238</a>, <a href="#Page_273">273</a>-4;</li>
+<li><span style="margin-left: 1em;">Population decrease, <a href="#Page_107">107</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Census, Fertility)</span></li>
+
+<li>Porcelain, <a href="#Page_20">20</a>, <a href="#Page_183">183</a>, <a href="#Page_201">201</a>, <a href="#Page_221">221</a>, <a href="#Page_251">251</a>, <a href="#Page_256">256</a>, <a href="#Page_281">281</a></li>
+
+<li>Port Arthur, city, <a href="#Page_296">296</a></li>
+
+<li>Portsmouth, treaty, <a href="#Page_296">296</a></li>
+
+<li>Portuguese 262, <a href="#Page_263">263</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Fu-lan-chi, Macao)</span></li>
+
+<li>Potter, <a href="#Page_32">32</a>;</li>
+<li><span style="margin-left: 1em;">Pottery, <a href="#Page_14">14</a>, <a href="#Page_15">15</a> ff., <a href="#Page_20">20</a>;</span></li>
+<li><span style="margin-left: 1em;">black pottery, <a href="#Page_16">16</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Porcelain)</span></li>
+
+<li>Price controls, <a href="#Page_212">212</a></li>
+
+<li>Priests, <a href="#Page_24">24</a>, <a href="#Page_34">34</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Shamans, Ju, Monks)</span></li>
+
+<li>Primogeniture, <a href="#Page_54">54</a></li>
+
+<li>Princes, <a href="#Page_115">115</a>, <a href="#Page_120">120</a>, <a href="#Page_123">123</a></li>
+
+<li>Printing, <a href="#Page_201">201</a>-2</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Colour, Book)</span></li>
+
+<li>Privileges of gentry, <a href="#Page_173">173</a></li>
+
+<li>Proletariate, <a href="#Page_305">305</a>, <a href="#Page_320">320</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Labour)</span></li>
+
+<li>Propaganda, <a href="#Page_93">93</a></li>
+
+<li>Property relations, <a href="#Page_31">31</a>, <a href="#Page_54">54</a>, <a href="#Page_196">196</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Laws, Inheritance, Primogeniture)</span></li>
+
+<li>Protectorate, <a href="#Page_82">82</a></li>
+
+<li>Provinces, administration, <a href="#Page_85">85</a></li>
+
+<li><i>pu-ch'&uuml;,</i> bondsmen, <a href="#Page_143">143</a>, <a href="#Page_174">174</a></li>
+
+<li>Pu-ku Huai-en, general, <a href="#Page_185">185</a>, <a href="#Page_186">186</a></li>
+
+<li>P'u Sung-lin, writer, <a href="#Page_280">280</a></li>
+
+<li>P'u Yi, Manchu ruler, <a href="#Page_300">300</a>, <a href="#Page_312">312</a></li>
+
+<li>Puppet plays, <a href="#Page_255">255</a></li>
+
+<li>&nbsp;</li>
+
+<li>Railways, <a href="#Page_301">301</a>, <a href="#Page_324">324</a>; Manchurian Railway, <a href="#Page_296">296</a></li>
+
+<li>Rebellions, <a href="#Page_95">95</a>-6, <a href="#Page_156">156</a>, <a href="#Page_158">158</a>, <a href="#Page_184">184</a> ff., <a href="#Page_189">189</a> ff., <a href="#Page_238">238</a> ff., <a href="#Page_261">261</a> ff., <a href="#Page_267">267</a> ff., <a href="#Page_284">284</a>, <a href="#Page_289">289</a> ff., <a href="#Page_291">291</a> ff., <a href="#Page_299">299</a>, <a href="#Page_301">301</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Peasants, Secret Societies, Revolutions)</span></li>
+
+<li>Red Eyebrows, peasant movement, <a href="#Page_95">95</a> ff.</li>
+
+<li>Red Guards, <a href="#Page_333">333</a></li>
+
+<li>Reforms, <a href="#Page_298">298</a>, <a href="#Page_299">299</a>;</li>
+<li><span style="margin-left: 1em;">Reform of language, <a href="#Page_307">307</a>-9</span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Land reform)</span></li>
+
+<li>Regents, <a href="#Page_89">89</a></li>
+
+<li>Religion, <a href="#Page_8">8</a>, <a href="#Page_22">22</a>-4, <a href="#Page_37">37</a>, <a href="#Page_42">42</a>, <a href="#Page_44">44</a>, <a href="#Page_48">48</a>, <a href="#Page_135">135</a>-6;</li>
+<li><span style="margin-left: 1em;">popular religion, <a href="#Page_101">101</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Bon, Shintoism, Persecution, Sacrifice, Ancestor cult, Fertility cults, Deities, Temples, Monasteries, Christianity, Islam, Buddhism, Mazdaism, Manichaeism, Messianic religions, Secret societies, Soul, Shamanism, State religion)</span></li>
+
+<li>Republic, <a href="#Page_303">303</a> ff.</li>
+
+<li>Revolutions, <a href="#Page_244">244</a>;</li>
+<li><span style="margin-left: 1em;">legitimization of revolution, <a href="#Page_57">57</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Rebellions)</span></li>
+
+<li>Ricci, Matteo, missionary, <a href="#Page_266">266</a></li>
+
+<li>Rice, <a href="#Page_12">12</a>, <a href="#Page_155">155</a>, <a href="#Page_219">219</a>, <a href="#Page_235">235</a>, <a href="#Page_249">249</a></li>
+
+<li>Rifles, <a href="#Page_263">263</a></li>
+
+<li>Ritualism, <a href="#Page_34">34</a>, <a href="#Page_42">42</a></li>
+
+<li>Roads, <a href="#Page_30">30</a>, <a href="#Page_56">56</a>, <a href="#Page_65">65</a></li>
+
+<li>Roman Empire, <a href="#Page_31">31</a>, <a href="#Page_51">51</a>, <a href="#Page_107">107</a>, <a href="#Page_144">144</a>, <a href="#Page_210">210</a></li>
+
+<li>Roosevelt, F.&nbsp;D., president, <a href="#Page_322">322</a></li>
+
+<li>Russia, <a href="#Page_246">246</a>, <a href="#Page_259">259</a>, <a href="#Page_278">278</a>, <a href="#Page_282">282</a>, <a href="#Page_283">283</a>, <a href="#Page_284">284</a>, <a href="#Page_293">293</a>, <a href="#Page_294">294</a>, <a href="#Page_296">296</a>, <a href="#Page_298">298</a>, <a href="#Page_300">300</a>, <a href="#Page_310">310</a>, <a href="#Page_311">311</a>, <a href="#Page_313">313</a>-14, <a href="#Page_315">315</a>, <a href="#Page_317">317</a>, <a href="#Page_320">320</a>, <a href="#Page_321">321</a>, <a href="#Page_322">322</a>, <a href="#Page_323">323</a>, <a href="#Page_328">328</a>-29, <a href="#Page_330">330</a>, <a href="#Page_333">333</a>, <a href="#Page_334">334</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Soviet Republics)</span></li>
+
+<li>Ryukyu (Liu-ch'iu), islands, <a href="#Page_295">295</a></li>
+
+<li>&nbsp;</li>
+
+<li>Sacrifices, <a href="#Page_19">19</a>, <a href="#Page_23">23</a>, <a href="#Page_26">26</a></li>
+
+<li>Sages, <a href="#Page_47">47</a></li>
+
+<li>Sakhalin (Karafuto), island, <a href="#Page_295">295</a>, <a href="#Page_296">296</a></li>
+
+<li>Salar, ethnic group, <a href="#Page_292">292</a></li>
+
+<li>Salary, <a href="#Page_213">213</a>, <a href="#Page_227">227</a></li>
+
+<li>Salt, <a href="#Page_40">40</a>;</li>
+<li><span style="margin-left: 1em;">Salt merchants, <a href="#Page_189">189</a>, <a href="#Page_238">238</a>, <a href="#Page_248">248</a>-9, <a href="#Page_262">262</a>;</span></li>
+<li><span style="margin-left: 1em;">Salt trade, <a href="#Page_200">200</a>-1</span></li>
+
+<li>Samarkand, city, <a href="#Page_45">45</a>, <a href="#Page_183">183</a>, <a href="#Page_241">241</a></li>
+
+<li><i>San-min chu-i,</i> book, <a href="#Page_305">305</a></li>
+
+<li>Sang Hung-yang, economist, <a href="#Page_91">91</a></li>
+
+<li>Sassanids, Iranian dynasty, <a href="#Page_178">178</a></li>
+
+<li>Scholars (<i>Ju</i>), <a href="#Page_34">34</a>, <a href="#Page_41">41</a>, <a href="#Page_52">52</a>, <a href="#Page_59">59</a>, <a href="#Page_60">60</a>, <a href="#Page_100">100</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Literati, Scribes, Intellectuals, Confucianists)</span></li>
+
+<li>Schools, <a href="#Page_79">79</a>, <a href="#Page_196">196</a>, <a href="#Page_324">324</a>-25</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Education)</span></li>
+
+<li>Science, <a href="#Page_60">60</a>-1, <a href="#Page_104">104</a>-5, <a href="#Page_219">219</a>, <a href="#Page_281">281</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Mathematics, Astronomy, Nature)</span></li>
+
+<li>Scribes, <a href="#Page_34">34</a></li>
+
+<li>Script, Chinese, <a href="#Page_22">22</a>, <a href="#Page_29">29</a>, <a href="#Page_65">65</a>, <a href="#Page_225">225</a>, <a href="#Page_308">308</a></li>
+
+<li>Sculpture, <a href="#Page_19">19</a>-20, <a href="#Page_106">106</a>, <a href="#Page_147">147</a>, <a href="#Page_183">183</a>, <a href="#Page_243">243</a>;</li>
+<li><span style="margin-left: 1em;">Buddhist sculptures, <a href="#Page_146">146</a></span></li>
+
+<li><i>s&ecirc;-mu</i> (auxiliary troops), <a href="#Page_233">233</a><!-- Page 364 --><span class='pagenum'><a name="Page_364" id="Page_364">[Pg 364]</a></span></li>
+
+<li>Seal, imperial, <a href="#Page_92">92</a>-3</li>
+
+<li>Secret societies, <a href="#Page_61">61</a>, <a href="#Page_95">95</a> ff., <a href="#Page_289">289</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Red Eyebrows, Yellow Turbans, White Lotos, Boxer, Rebellions)</span></li>
+
+<li>Sects, <a href="#Page_135">135</a>;</li>
+<li><span style="margin-left: 1em;">Buddhist sects, <a href="#Page_188">188</a></span></li>
+
+<li>Seng-ko-lin-ch'in, general, <a href="#Page_291">291</a></li>
+
+<li>Serfs, <a href="#Page_21">21</a>, <a href="#Page_26">26</a>, <a href="#Page_31">31</a>, <a href="#Page_32">32</a>, <a href="#Page_33">33</a>, <a href="#Page_53">53</a>-4, <a href="#Page_72">72</a>, <a href="#Page_143">143</a>, <a href="#Page_197">197</a>, <a href="#Page_216">216</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Slaves, Servants, Bondsmen)</span></li>
+
+<li>Servants, <a href="#Page_32">32</a></li>
+
+<li>Settlement, of foreigners, <a href="#Page_177">177</a>;</li>
+<li><span style="margin-left: 1em;">military, <a href="#Page_248">248</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Colonization)</span></li>
+
+<li>Sha-t'o, tribal federation, <a href="#Page_187">187</a>, <a href="#Page_190">190</a>, <a href="#Page_203">203</a>, <a href="#Page_204">204</a>, <a href="#Page_206">206</a>, <a href="#Page_207">207</a>, <a href="#Page_222">222</a>, <a href="#Page_230">230</a></li>
+
+<li>Shadow theatre, <a href="#Page_255">255</a></li>
+
+<li>Shahruk, ruler, <a href="#Page_258">258</a></li>
+
+<li>Shamans, <a href="#Page_160">160</a>, <a href="#Page_184">184</a>;</li>
+<li><span style="margin-left: 1em;">Shamanism, <a href="#Page_34">34</a>, <a href="#Page_242">242</a>, <a href="#Page_135">135</a> ff., <a href="#Page_146">146</a></span></li>
+
+<li>Shan tribes of South East Asia, <a href="#Page_12">12</a></li>
+
+<li><i>Shan-hai-ching</i>, book, <a href="#Page_103">103</a></li>
+
+<li>Shan-y&uuml;, title of nomadic ruler, <a href="#Page_88">88</a>, <a href="#Page_89">89</a>, <a href="#Page_90">90</a>, <a href="#Page_95">95</a>, <a href="#Page_103">103</a>, <a href="#Page_119">119</a>, <a href="#Page_125">125</a>, <a href="#Page_151">151</a></li>
+
+<li>Shang dynasty, <a href="#Page_19">19</a> ff., <a href="#Page_41">41</a></li>
+
+<li>Shang Ti, deity, <a href="#Page_23">23</a>, <a href="#Page_24">24</a>, <a href="#Page_25">25</a></li>
+
+<li>Shang Tz&#365;, philosopher (Shang Yang), <a href="#Page_59">59</a></li>
+
+<li>Shanghai, city 246, <a href="#Page_250">250</a>, <a href="#Page_287">287</a>, <a href="#Page_288">288</a>, <a href="#Page_301">301</a>, <a href="#Page_305">305</a>, <a href="#Page_308">308</a>, <a href="#Page_314">314</a>-15, <a href="#Page_316">316</a>, <a href="#Page_318">318</a></li>
+
+<li>Shao Yung, philosopher, <a href="#Page_220">220</a></li>
+
+<li>Sheep, <a href="#Page_54">54</a>, <a href="#Page_118">118</a></li>
+
+<li>Shen Nung, mythical figure, <a href="#Page_52">52</a></li>
+
+<li>Shen Tsung, Sung ruler, <a href="#Page_196">196</a>;</li>
+<li><span style="margin-left: 1em;">Manchu ruler, <a href="#Page_265">265</a>, <a href="#Page_267">267</a></span></li>
+
+<li>Sheng Tsu, Manchu ruler, <a href="#Page_272">272</a></li>
+
+<li><i>Shih-chi</i>, book, <a href="#Page_103">103</a></li>
+
+<li>Shih Ching-t'ang, ruler, <a href="#Page_204">204</a>, <a href="#Page_222">222</a></li>
+
+<li>Shih Ch'ung, writer, <a href="#Page_49">49</a></li>
+
+<li>Shih H&ecirc;ng, soldier, <a href="#Page_260">260</a></li>
+
+<li>Shih Hu, ruler, <a href="#Page_125">125</a> ff.</li>
+
+<li>Shih Huang-ti, ruler, <a href="#Page_63">63</a> ff., <a href="#Page_78">78</a></li>
+
+<li>Shih Lo, ruler, <a href="#Page_123">123</a>, <a href="#Page_124">124</a>, <a href="#Page_125">125</a>, <a href="#Page_126">126</a></li>
+
+<li>Shih-pi, ruler, <a href="#Page_170">170</a></li>
+
+<li>Shih Ss&#365;-ming, <a href="#Page_185">185</a></li>
+
+<li>Shih Tsung, Manchu ruler, <a href="#Page_264">264</a>, <a href="#Page_282">282</a></li>
+
+<li>Shih-wei, Mongol tribes, <a href="#Page_141">141</a></li>
+
+<li>Shintoism, Japanese religion, <a href="#Page_44">44</a></li>
+
+<li>Ships, <a href="#Page_168">168</a> (<i>see</i> Navy)</li>
+
+<li>Short stories, <a href="#Page_255">255</a></li>
+
+<li>Shoulder axes, <a href="#Page_10">10</a></li>
+
+<li>Shu (Szechwan), area and/or state, <a href="#Page_219">219</a></li>
+
+<li>Shu-Han dynasty, <a href="#Page_108">108</a>, <a href="#Page_110">110</a>, <a href="#Page_111">111</a>, <a href="#Page_115">115</a></li>
+
+<li>Shun, dynasty, <a href="#Page_268">268</a>;</li>
+<li><span style="margin-left: 1em;">mythical ruler, <a href="#Page_17">17</a></span></li>
+
+<li>Shun-chih, reign period, <a href="#Page_270">270</a></li>
+
+<li>Sian (Hsi-an, Ch'ang-an), city, <a href="#Page_31">31</a>, <a href="#Page_33">33</a>, <a href="#Page_35">35</a>, <a href="#Page_97">97</a></li>
+
+<li>Siao Ho (Hsiao Ho), jurist, <a href="#Page_80">80</a></li>
+
+<li>Silk, <a href="#Page_20">20</a>-1, <a href="#Page_56">56</a>, <a href="#Page_90">90</a>-1, <a href="#Page_105">105</a>, <a href="#Page_116">116</a>, <a href="#Page_143">143</a>, <a href="#Page_185">185</a>, <a href="#Page_186">186</a>, <a href="#Page_209">209</a>, <a href="#Page_214">214</a>, <a href="#Page_276">276</a>, <a href="#Page_289">289</a>, <a href="#Page_303">303</a>;</li>
+<li><span style="margin-left: 1em;">Silk road, <a href="#Page_86">86</a></span></li>
+
+<li>Silver, <a href="#Page_211">211</a>, <a href="#Page_251">251</a>-2, <a href="#Page_276">276</a></li>
+
+<li>Sin-lo (Hsin-lo, Silla), state of Korea, <a href="#Page_141">141</a></li>
+
+<li>Sinanthropos, <a href="#Page_8">8</a></li>
+
+<li>Sinkiang (Hsin-Chiang, Turkestan), <a href="#Page_14">14</a>, <a href="#Page_248">248</a>, <a href="#Page_294">294</a>, <a href="#Page_329">329</a>, <a href="#Page_330">330</a></li>
+
+<li>Slash and burn agriculture (denshiring), <a href="#Page_12">12</a></li>
+
+<li>Slaves, <a href="#Page_26">26</a>, <a href="#Page_32">32</a>, <a href="#Page_79">79</a>, <a href="#Page_94">94</a>, <a href="#Page_123">123</a>, <a href="#Page_137">137</a>-8, <a href="#Page_143">143</a>;</li>
+<li><span style="margin-left: 1em;">Slave society, <a href="#Page_26">26</a>;</span></li>
+<li><span style="margin-left: 1em;">Temple slaves, <a href="#Page_146">146</a></span></li>
+
+<li>Social mobility, <a href="#Page_73">73</a>-4, <a href="#Page_196">196</a>, <a href="#Page_197">197</a>, <a href="#Page_218">218</a>-19;</li>
+<li><span style="margin-left: 1em;">Social structure of tribes, <a href="#Page_117">117</a></span></li>
+
+<li>Socialism, <a href="#Page_93">93</a> ff., <a href="#Page_291">291</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Marxism, Communism)</span></li>
+
+<li>Sogdiana, country in Central Asia, <a href="#Page_45">45</a>, <a href="#Page_60">60</a>, <a href="#Page_134">134</a>-5, <a href="#Page_163">163</a>, <a href="#Page_174">174</a>, <a href="#Page_184">184</a></li>
+
+<li>Soul, concept of soul, <a href="#Page_32">32</a></li>
+
+<li>South-East Asia, <a href="#Page_9">9</a>, <a href="#Page_10">10</a>, <a href="#Page_14">14</a>, <a href="#Page_198">198</a>, <a href="#Page_201">201</a> 250, <a href="#Page_275">275</a>, <a href="#Page_324">324</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Burma, Champa, Cambodia, Annam, Laos, Vietnam, Tonking, Indonesia, Philippines, Thailand, Mon-Khmer)</span></li>
+
+<li>Soviet Republics, <a href="#Page_294">294</a>, <a href="#Page_312">312</a>, <a href="#Page_328">328</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Russia)</span></li>
+
+<li>Speculations, financial, <a href="#Page_227">227</a></li>
+
+<li>Ss&#365;-ma, clan, <a href="#Page_113">113</a>-14</li>
+
+<li>Ss&#365;-ma Ch'ien, historian, <a href="#Page_103">103</a>-4</li>
+
+<li>Ss&#365;-ma Kuang, historian, <a href="#Page_220">220</a></li>
+
+<li>Ss&#365;-ma Yen, ruler, <a href="#Page_114">114</a>, <a href="#Page_115">115</a></li>
+
+<li>Standardization, <a href="#Page_64">64</a> ff.</li>
+
+<li>States, territorial and national, <a href="#Page_37">37</a>, <a href="#Page_51">51</a>;</li>
+<li><span style="margin-left: 1em;">State religion, <a href="#Page_145">145</a>-6, <a href="#Page_180">180</a></span></li>
+
+<li>Statistics, <a href="#Page_83">83</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Population)</span></li>
+
+<li>Steel, <a href="#Page_56">56</a>, <a href="#Page_198">198</a></li>
+
+<li>Steppe, <a href="#Page_9">9</a></li>
+
+<li>Stone age, <a href="#Page_8">8</a> ff.</li>
+
+<li>Stratification, social, <a href="#Page_29">29</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Classes, Social mobility)</span></li>
+
+<li>Strikes, <a href="#Page_198">198</a></li>
+
+<li>Students, <a href="#Page_304">304</a>-5, <a href="#Page_306">306</a>, <a href="#Page_320">320</a></li>
+
+<li>Su Ch&uuml;n, rebel, <a href="#Page_156">156</a></li>
+
+<li>Su Tsung, T'ang ruler, <a href="#Page_185">185</a></li>
+
+<li>Su Tung-p'o, poet, <a href="#Page_219">219</a></li>
+
+<li><i>su-wang</i> (uncrowned king), <a href="#Page_43">43</a></li>
+
+<li>Sui, dynasty, <a href="#Page_151">151</a></li>
+
+<li>Sun Ts'&ecirc;, ruler, <a href="#Page_100">100</a>, <a href="#Page_101">101</a></li>
+<li>Sun Yat-sen (Sun I-hsien), revolutionary leader, president, <a href="#Page_280">280</a>, <a href="#Page_299">299</a>, <a href="#Page_300">300</a>, <a href="#Page_302">302</a>, <a href="#Page_305">305</a>, <a href="#Page_309">309</a>, <a href="#Page_311">311</a>, <a href="#Page_312">312</a>, <a href="#Page_313">313</a>, <a href="#Page_315">315</a>, <a href="#Page_318">318</a>, <a href="#Page_321">321</a></li>
+
+<li>Sung, dynasty, <a href="#Page_207">207</a>, <a href="#Page_208">208</a> ff., <a href="#Page_238">238</a>;</li>
+<li><span style="margin-left: 1em;">Liu-Sung dynasty, <a href="#Page_159">159</a> ff.</span></li>
+
+<li>Szechwan (Ss&#365;-ch'uan), province, <a href="#Page_101">101</a>, <a href="#Page_139">139</a>, <a href="#Page_156">156</a>, <a href="#Page_157">157</a>, <a href="#Page_159">159</a>, <a href="#Page_185">185</a>, <a href="#Page_190">190</a>, <a href="#Page_199">199</a>, <a href="#Page_200">200</a>, <a href="#Page_202">202</a>, <a href="#Page_207">207</a>, <a href="#Page_214">214</a>, <a href="#Page_215">215</a>, <a href="#Page_219">219</a>, <a href="#Page_262">262</a>, <a href="#Page_301">301</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Shu)</span></li>
+
+<li>&nbsp;</li>
+
+<li>Ta-tan (Tatars), tribal federation, <a href="#Page_233">233</a></li>
+
+<li>Tada, Japanese militarist, <a href="#Page_295">295</a></li>
+
+<li>Tai, tribes, <a href="#Page_17">17</a>, <a href="#Page_19">19</a>, <a href="#Page_21">21</a>, <a href="#Page_111">111</a>, <a href="#Page_152">152</a><!-- Page 365 --><span class='pagenum'><a name="Page_365" id="Page_365">[Pg 365]</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Thailand)</span></li>
+
+<li>Tai Chen, philosopher, <a href="#Page_279">279</a></li>
+
+<li>Tai Ch'ing dynasty (Manchu), <a href="#Page_267">267</a></li>
+
+<li>T'ai P'ing, state, <a href="#Page_274">274</a>, <a href="#Page_289">289</a> ff., <a href="#Page_333">333</a></li>
+
+<li>T'ai Tsu, Sung ruler, <a href="#Page_209">209</a>; Manchu ruler, <a href="#Page_257">257</a></li>
+
+<li>T'ai Tsung, T'ang ruler 174, <a href="#Page_178">178</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Li Shih-min)</span></li>
+
+<li>Taiwan (T'ai-wan, <i>see</i> Formosa), <a href="#Page_323">323</a> ff, <a href="#Page_334">334</a></li>
+
+<li>T'an-yao, priest, <a href="#Page_146">146</a></li>
+
+<li>Tanaka, Japanese militarist, <a href="#Page_295">295</a></li>
+
+<li>T'ang, dynasty, <a href="#Page_83">83</a>-4, <a href="#Page_144">144</a>, <a href="#Page_147">147</a>, <a href="#Page_172">172</a> ff.;</li>
+<li><span style="margin-left: 1em;">Later T'ang dynasty, <a href="#Page_204">204</a> ff.</span></li>
+
+<li>T'ang Hsien-tsu, writer, <a href="#Page_255">255</a></li>
+
+<li>T'ang Yin, painter, <a href="#Page_255">255</a></li>
+
+<li>Tanguts, Tibetan tribal federation and/or state, <a href="#Page_99">99</a>, <a href="#Page_102">102</a>, <a href="#Page_118">118</a>, <a href="#Page_224">224</a>-5, <a href="#Page_233">233</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ch'iang)</span></li>
+
+<li>Tao, philosophical term, <a href="#Page_42">42</a>, <a href="#Page_46">46</a>, <a href="#Page_47">47</a></li>
+
+<li>Tao-kuang, reign period, <a href="#Page_285">285</a> ff., <a href="#Page_288">288</a></li>
+
+<li><i>Tao-t&ecirc;-ching,</i> book, <a href="#Page_46">46</a></li>
+
+<li>T'ao-t'ieh, mythical emblem, <a href="#Page_22">22</a></li>
+
+<li>Tao-yen, monk, <a href="#Page_264">264</a></li>
+
+<li>Taoism, religion, <a href="#Page_101">101</a>-2, <a href="#Page_133">133</a>, <a href="#Page_136">136</a>, <a href="#Page_150">150</a>, <a href="#Page_183">183</a>, <a href="#Page_188">188</a>, <a href="#Page_236">236</a>, <a href="#Page_266">266</a>;</li>
+<li><span style="margin-left: 1em;">Taoists, <a href="#Page_46">46</a>, <a href="#Page_61">61</a>, <a href="#Page_104">104</a>, <a href="#Page_241">241</a>, <a href="#Page_263">263</a>-4</span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Lao Tz&#365;, Chuang Tz&#365;, Chang Ling, etc.)</span></li>
+
+<li>Tarim basin, <a href="#Page_89">89</a>, <a href="#Page_179">179</a></li>
+
+<li>Tatars (Ta-tan) Mongolian tribal federation, <a href="#Page_190">190</a>, <a href="#Page_230">230</a>, <a href="#Page_233">233</a></li>
+
+<li>Taxation, <a href="#Page_33">33</a>, <a href="#Page_55">55</a>, <a href="#Page_65">65</a>, <a href="#Page_78">78</a>, <a href="#Page_143">143</a>, <a href="#Page_154">154</a>, <a href="#Page_173">173</a>, <a href="#Page_175">175</a>, <a href="#Page_178">178</a>, <a href="#Page_210">210</a>, <a href="#Page_211">211</a>, <a href="#Page_212">212</a>, <a href="#Page_213">213</a>, <a href="#Page_247">247</a>, <a href="#Page_252">252</a>;</li>
+<li><span style="margin-left: 1em;">Tax collectors, <a href="#Page_55">55</a>, <a href="#Page_74">74</a>, <a href="#Page_116">116</a>;</span></li>
+<li><span style="margin-left: 1em;">Tax evasion, <a href="#Page_214">214</a>, <a href="#Page_226">226</a>, <a href="#Page_246">246</a>;</span></li>
+<li><span style="margin-left: 1em;">Tax exemptions, <a href="#Page_188">188</a>, <a href="#Page_213">213</a>, <a href="#Page_236">236</a>;</span></li>
+<li><span style="margin-left: 1em;">Taxes for monks, <a href="#Page_208">208</a>;</span></li>
+<li><span style="margin-left: 1em;">Tax reform, <a href="#Page_187">187</a></span></li>
+
+<li>T&ecirc; Tsung, Manchu ruler, <a href="#Page_295">295</a>, <a href="#Page_299">299</a></li>
+
+<li>Tea, <a href="#Page_276">276</a>; Tea trade, <a href="#Page_200">200</a>; Tea house</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Brothel), <a href="#Page_182">182</a></span></li>
+
+<li>Teachers, <a href="#Page_74">74</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Schools)</span></li>
+
+<li>Technology, <a href="#Page_219">219</a></li>
+
+<li>Tell, archaeological term, <a href="#Page_16">16</a></li>
+
+<li>Temples, <a href="#Page_101">101</a>, <a href="#Page_183">183</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Monasteries)</span></li>
+
+<li>Tengri khan, ruler, <a href="#Page_186">186</a></li>
+
+<li>Textile industry, <a href="#Page_198">198</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Silk, Cotton)</span></li>
+
+<li>Thailand, state, <a href="#Page_12">12</a>, <a href="#Page_248">248</a>, <a href="#Page_265">265</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Tai tribes)</span></li>
+
+<li>Theatre, <a href="#Page_182">182</a>-3, <a href="#Page_242">242</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Shadow, Puppet, Opera)</span></li>
+
+<li>Throne, accession to, <a href="#Page_150">150</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Abdication, Legitimacy)</span></li>
+
+<li>Ti, Tibetan tribes, <a href="#Page_21">21</a>, <a href="#Page_118">118</a></li>
+
+<li>Tibet, <a href="#Page_12">12</a>, <a href="#Page_15">15</a>, <a href="#Page_19">19</a>, <a href="#Page_29">29</a>, <a href="#Page_30">30</a>, <a href="#Page_35">35</a>, <a href="#Page_102">102</a>, <a href="#Page_110">110</a>, <a href="#Page_116">116</a>, <a href="#Page_118">118</a>-19, <a href="#Page_120">120</a>, <a href="#Page_121">121</a>, <a href="#Page_126">126</a>, <a href="#Page_127">127</a>, <a href="#Page_130">130</a>, <a href="#Page_131">131</a>, <a href="#Page_132">132</a>, <a href="#Page_135">135</a>, <a href="#Page_139">139</a>, <a href="#Page_145">145</a>, <a href="#Page_169">169</a>, <a href="#Page_174">174</a>, <a href="#Page_177">177</a>, <a href="#Page_179">179</a>, <a href="#Page_181">181</a>, <a href="#Page_186">186</a>, <a href="#Page_187">187</a>, <a href="#Page_200">200</a>, <a href="#Page_224">224</a>-5, <a href="#Page_242">242</a>, <a href="#Page_273">273</a>, <a href="#Page_278">278</a>, <a href="#Page_283">283</a>, <a href="#Page_284">284</a>, <a href="#Page_293">293</a>, <a href="#Page_310">310</a>, <a href="#Page_329">329</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ch'iang, Ti, T'u-fan, T'u-y&uuml;-hun, Lhasa Tanguts)</span></li>
+
+<li>T'ien, deity, <a href="#Page_32">32</a></li>
+
+<li>Tientsin (T'ien-chin), city, <a href="#Page_287">287</a>, <a href="#Page_290">290</a>, <a href="#Page_299">299</a></li>
+
+<li>Timur, ruler, <a href="#Page_258">258</a></li>
+
+<li>Tin, <a href="#Page_17">17</a></li>
+
+<li>Ting-ling, tribal federation, <a href="#Page_89">89</a>, <a href="#Page_102">102</a></li>
+
+<li>T'o-pa</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Toba)</span></li>
+
+<li>T'o-t'o, writer, <a href="#Page_241">241</a>-2</li>
+
+<li>Toba, Turkish tribal federation, <a href="#Page_76">76</a>, <a href="#Page_116">116</a>, <a href="#Page_117">117</a>, <a href="#Page_118">118</a>, <a href="#Page_119">119</a>, <a href="#Page_120">120</a>, <a href="#Page_123">123</a>, <a href="#Page_126">126</a>, <a href="#Page_127">127</a>, <a href="#Page_132">132</a>, <a href="#Page_136">136</a> ff., <a href="#Page_159">159</a>, <a href="#Page_160">160</a>, <a href="#Page_161">161</a>, <a href="#Page_168">168</a>, <a href="#Page_169">169</a>, <a href="#Page_172">172</a>, <a href="#Page_173">173</a>, <a href="#Page_174">174</a>, <a href="#Page_177">177</a>, <a href="#Page_214">214</a>, <a href="#Page_222">222</a>, <a href="#Page_224">224</a></li>
+
+<li>Tocharians, Central Asian ethnic group, <a href="#Page_150">150</a></li>
+
+<li>Tokto (<i>see</i> T'o-t'o)</li>
+
+<li>T&ouml;l&ouml;s, Turkish tribal group, <a href="#Page_169">169</a>, <a href="#Page_178">178</a>, <a href="#Page_185">185</a></li>
+
+<li>Tombs, <a href="#Page_19">19</a>, <a href="#Page_34">34</a></li>
+
+<li>Tonking, state, <a href="#Page_10">10</a>, <a href="#Page_54">54</a>, <a href="#Page_295">295</a>, <a href="#Page_330">330</a></li>
+
+<li>Tortoise, <a href="#Page_22">22</a>, <a href="#Page_47">47</a>-8</li>
+
+<li>Totalitarianism, <a href="#Page_80">80</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Dictatorship, Fascism, Communism)</span></li>
+
+<li>Tou Ku, general, <a href="#Page_99">99</a></li>
+
+<li>T'ou-man, ruler, <a href="#Page_67">67</a></li>
+
+<li>Towns</li>
+<li><span style="margin-left: 1em;">(<i>see</i> City)</span></li>
+
+<li>Trade, <a href="#Page_88">88</a>-9, <a href="#Page_90">90</a>, <a href="#Page_99">99</a>, <a href="#Page_127">127</a>;</li>
+<li><span style="margin-left: 1em;">barter trade, <a href="#Page_57">57</a>;</span></li>
+<li><span style="margin-left: 1em;">international trade, <a href="#Page_60">60</a>, <a href="#Page_62">62</a>, <a href="#Page_86">86</a>, <a href="#Page_127">127</a>-8, <a href="#Page_139">139</a>, <a href="#Page_178">178</a>, <a href="#Page_179">179</a>, <a href="#Page_198">198</a>, <a href="#Page_209">209</a>, <a href="#Page_223">223</a>, <a href="#Page_245">245</a>, <a href="#Page_258">258</a>, <a href="#Page_264">264</a>-5, <a href="#Page_276">276</a>, <a href="#Page_286">286</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Merchants, Commerce, Caravans, Silk road)</span></li>
+
+<li>Translations, <a href="#Page_135">135</a>, <a href="#Page_182">182</a>, <a href="#Page_280">280</a>, <a href="#Page_307">307</a></li>
+
+<li>Transportation, <a href="#Page_56">56</a>, <a href="#Page_168">168</a>, <a href="#Page_235">235</a>, <a href="#Page_247">247</a>, <a href="#Page_283">283</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Roads, Canals, Ships, Post, Caravans, Horses)</span></li>
+
+<li>Travels of emperors, <a href="#Page_66">66</a></li>
+
+<li>Treasury, <a href="#Page_84">84</a>, <a href="#Page_206">206</a></li>
+
+<li>Treaty, international, <a href="#Page_77">77</a>, <a href="#Page_226">226</a>, <a href="#Page_278">278</a>, <a href="#Page_286">286</a>, <a href="#Page_290">290</a>-1, <a href="#Page_293">293</a>, <a href="#Page_295">295</a>, <a href="#Page_296">296</a></li>
+
+<li>Tribal organization, <a href="#Page_76">76</a>, <a href="#Page_223">223</a>, <a href="#Page_224">224</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Banner, Army, Nomads)</span></li>
+
+<li>Tribes, disappearance of, <a href="#Page_133">133</a>, <a href="#Page_151">151</a>-2;</li>
+<li><span style="margin-left: 1em;">social organization, <a href="#Page_117">117</a>;</span></li>
+<li><span style="margin-left: 1em;">military organization, <a href="#Page_149">149</a></span></li>
+
+<li>Tribute (<i>kung</i>), <a href="#Page_33">33</a>, <a href="#Page_88">88</a>, <a href="#Page_209">209</a>, <a href="#Page_214">214</a>, <a href="#Page_226">226</a>, <a href="#Page_230">230</a>, <a href="#Page_248">248</a></li>
+
+<li><i>tsa-hu,</i> social class, <a href="#Page_144">144</a></li>
+
+<li>Tsai T'ien, prince, <a href="#Page_295">295</a></li>
+
+<li>Ts'ai Y&uuml;an-p'ei, scholar, <a href="#Page_307">307</a></li>
+
+<li>Ts'ao Chih, poet, <a href="#Page_48">48</a></li>
+
+<li>Ts'ao Hs&uuml;eh-ch'in, writer, <a href="#Page_280">280</a></li>
+
+<li>Ts'ao K'un, politician, <a href="#Page_312">312</a></li>
+
+<li>Ts'ao P'ei, ruler, <a href="#Page_102">102</a>, <a href="#Page_109">109</a>, <a href="#Page_113">113</a></li>
+
+<li>Ts'ao Ts'ao, general, <a href="#Page_100">100</a>, <a href="#Page_101">101</a>, <a href="#Page_102">102</a></li>
+
+<li>Tsewang Rabdan, general, <a href="#Page_277">277</a></li>
+
+<li>Tseng Kuo-fan, general, <a href="#Page_291">291</a></li>
+
+<li>Tso Tsung-t'ang, general, <a href="#Page_293">293</a></li>
+
+<li>Tsou Yen, philosopher, <a href="#Page_60">60</a>-1</li>
+
+<li>Ts'ui, clan, <a href="#Page_113">113</a>, <a href="#Page_147">147</a>, <a href="#Page_181">181</a></li>
+
+<li>T'u-ch&uuml;eh, G&ouml;k Turk tribes, <a href="#Page_149">149</a><!-- Page 366 --><span class='pagenum'><a name="Page_366" id="Page_366">[Pg 366]</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Turks)</span></li>
+
+<li>Tu Fu, poet, <a href="#Page_182">182</a></li>
+
+<li>T'u-fan, Tibetan tribal group, <a href="#Page_171">171</a>, <a href="#Page_177">177</a>, <a href="#Page_205">205</a></li>
+
+<li>Tu-ku, Turkish tribe, <a href="#Page_124">124</a>, <a href="#Page_151">151</a></li>
+
+<li><i>T'u-shu chi-ch'eng</i>, encyclopaedia, <a href="#Page_279">279</a></li>
+
+<li><i>tu-tu</i>, title, <a href="#Page_174">174</a></li>
+
+<li>T'u-y&uuml;-hun, Tibetan tribal federation, <a href="#Page_130">130</a>, <a href="#Page_141">141</a>, <a href="#Page_169">169</a>, <a href="#Page_177">177</a></li>
+
+<li>Tuan Ch'i-jui, president, <a href="#Page_312">312</a></li>
+
+<li>T&uuml;met, Mongol tribal group, <a href="#Page_265">265</a></li>
+
+<li>Tung Ch'i-ch'ang, painter, <a href="#Page_255">255</a></li>
+
+<li>T'ung-chien kang-mu, historical encyclopaedia, <a href="#Page_43">43</a></li>
+
+<li>T'ung-chih, reign period, <a href="#Page_294">294</a></li>
+
+<li>Tung Chung-shu, thinker, <a href="#Page_80">80</a>, <a href="#Page_104">104</a></li>
+
+<li>Tung Fu-hsiang, politician, <a href="#Page_298">298</a></li>
+
+<li>Tung-lin academy, <a href="#Page_267">267</a></li>
+
+<li>Tungus tribes, <a href="#Page_11">11</a>, <a href="#Page_19">19</a>, <a href="#Page_117">117</a>, <a href="#Page_222">222</a>, <a href="#Page_229">229</a>, <a href="#Page_265">265</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ju-chen, Po-hai, Manchu)</span></li>
+
+<li>Tunhuang (Tun-huang), city, <a href="#Page_85">85</a>, <a href="#Page_324">324</a></li>
+
+<li>Turfan, city state, <a href="#Page_245">245</a></li>
+
+<li>Turgut, Mongol tribal federation, <a href="#Page_283">283</a></li>
+
+<li>Turkestan, <a href="#Page_45">45</a>, <a href="#Page_60">60</a>, <a href="#Page_62">62</a>, <a href="#Page_85">85</a>, <a href="#Page_86">86</a> ff., <a href="#Page_88">88</a>, <a href="#Page_95">95</a>, <a href="#Page_97">97</a>, <a href="#Page_99">99</a>, <a href="#Page_113">113</a>, <a href="#Page_114">114</a>, <a href="#Page_125">125</a>, <a href="#Page_127">127</a>, <a href="#Page_130">130</a>, <a href="#Page_132">132</a>, <a href="#Page_134">134</a>, <a href="#Page_135">135</a>, <a href="#Page_139">139</a>, <a href="#Page_141">141</a>, <a href="#Page_142">142</a>, <a href="#Page_146">146</a>, <a href="#Page_147">147</a>, <a href="#Page_159">159</a>, <a href="#Page_163">163</a>, <a href="#Page_176">176</a>, <a href="#Page_177">177</a>, <a href="#Page_178">178</a>, <a href="#Page_187">187</a>, <a href="#Page_220">220</a>, <a href="#Page_224">224</a>, <a href="#Page_241">241</a>, <a href="#Page_245">245</a>, <a href="#Page_259">259</a>, <a href="#Page_273">273</a>, <a href="#Page_277">277</a>, <a href="#Page_278">278</a>, <a href="#Page_282">282</a>, <a href="#Page_289">289</a>, <a href="#Page_293">293</a>, <a href="#Page_294">294</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Central Asia, Tarim, Turfan, Sinkiang, Khotan, Ferghana, Samarkand, Khotcho, Tocharians, Y&uuml;eh-chih, Sogdians, etc.)</span></li>
+
+<li>Turkey, <a href="#Page_259">259</a></li>
+
+<li>Turks, <a href="#Page_11">11</a>, <a href="#Page_15">15</a>, <a href="#Page_17">17</a>, <a href="#Page_25">25</a>, <a href="#Page_29">29</a>, <a href="#Page_30">30</a>, <a href="#Page_32">32</a>, <a href="#Page_35">35</a>, <a href="#Page_53">53</a>, <a href="#Page_57">57</a>, <a href="#Page_108">108</a>, <a href="#Page_109">109</a>, <a href="#Page_117">117</a>, <a href="#Page_119">119</a>, <a href="#Page_122">122</a>, <a href="#Page_127">127</a>, <a href="#Page_133">133</a>, <a href="#Page_135">135</a>, <a href="#Page_137">137</a>, <a href="#Page_140">140</a>, <a href="#Page_146">146</a> ff., <a href="#Page_149">149</a> ff., <a href="#Page_169">169</a> ff., <a href="#Page_174">174</a>, <a href="#Page_176">176</a> ff., <a href="#Page_179">179</a>, <a href="#Page_180">180</a>, <a href="#Page_181">181</a>, <a href="#Page_184">184</a>, <a href="#Page_185">185</a>, <a href="#Page_203">203</a>, <a href="#Page_206">206</a>, <a href="#Page_230">230</a>, <a href="#Page_282">282</a>, <a href="#Page_294">294</a>, <a href="#Page_329">329</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> G&ouml;k Turks, T'u-ch&uuml;eh, Toba, T&ouml;l&ouml;s, Ting-ling, Uighur, Sha-t'o, etc.)</span></li>
+
+<li>Tz&#365; Hsi, empress, <a href="#Page_294">294</a> ff., <a href="#Page_296">296</a> ff.</li>
+
+<li>&nbsp;</li>
+
+<li>Uighurs, Turkish federation, <a href="#Page_171">171</a>, <a href="#Page_174">174</a>, <a href="#Page_176">176</a>, <a href="#Page_177">177</a>, <a href="#Page_178">178</a>, <a href="#Page_181">181</a>, <a href="#Page_185">185</a>, <a href="#Page_186">186</a> ff., <a href="#Page_190">190</a>, <a href="#Page_233">233</a>, <a href="#Page_234">234</a>, <a href="#Page_278">278</a></li>
+
+<li>United States, <a href="#Page_287">287</a>, <a href="#Page_304">304</a>, <a href="#Page_309">309</a>, <a href="#Page_313">313</a>, <a href="#Page_322">322</a>, <a href="#Page_342">342</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> America)</span></li>
+
+<li>Ungern-Sternberg, general, <a href="#Page_311">311</a></li>
+
+<li>Urbanization, <a href="#Page_31">31</a>, <a href="#Page_250">250</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> City)</span></li>
+
+<li>Urga, city, <a href="#Page_310">310</a></li>
+
+<li>University, <a href="#Page_304">304</a>-5, <a href="#Page_306">306</a>, <a href="#Page_307">307</a>, <a href="#Page_318">318</a>, <a href="#Page_320">320</a></li>
+
+<li>Usury, <a href="#Page_94">94</a></li>
+
+<li>&nbsp;</li>
+
+<li>Vagrants (<i>liu-min</i>), <a href="#Page_198">198</a>, <a href="#Page_213">213</a></li>
+
+<li>Vietnam, <a href="#Page_330">330</a>, <a href="#Page_334">334</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Annam)</span></li>
+
+<li>Village, <a href="#Page_23">23</a>;</li>
+<li><span style="margin-left: 1em;">Village commons, <a href="#Page_94">94</a>, <a href="#Page_154">154</a></span></li>
+
+<li>Vinaya Buddhism, <a href="#Page_188">188</a></li>
+
+<li>Voltaire, writer, <a href="#Page_242">242</a></li>
+
+<li>&nbsp;</li>
+
+<li>Walls, <a href="#Page_57">57</a>;</li>
+<li><span style="margin-left: 1em;">Great Wall, <a href="#Page_57">57</a>, <a href="#Page_67">67</a>, <a href="#Page_256">256</a></span></li>
+
+<li>Wan-li, reign period, <a href="#Page_265">265</a>, <a href="#Page_266">266</a></li>
+
+<li><i>Wang (king), <a href="#Page_38">38</a></i></li>
+
+<li>Wang An-shih, statesman, <a href="#Page_215">215</a> ff., <a href="#Page_217">217</a>-18, <a href="#Page_254">254</a></li>
+
+<li>Wang Chen, eunuch, <a href="#Page_260">260</a></li>
+
+<li>Wang Ching-wei, collaborator, <a href="#Page_315">315</a>, <a href="#Page_318">318</a></li>
+
+<li>Wang Ch'ung, philosopher 104-5</li>
+
+<li>Wang Hsien-chih, peasant leader, <a href="#Page_189">189</a>-90</li>
+
+<li>Wang Kung, general, <a href="#Page_158">158</a></li>
+
+<li>Wang Mang, ruler, <a href="#Page_92">92</a> ff., <a href="#Page_97">97</a>, <a href="#Page_100">100</a>, <a href="#Page_101">101</a></li>
+
+<li>Wang Shih-chen, writer, <a href="#Page_255">255</a></li>
+
+<li>Wang Shih-fu, writer, <a href="#Page_242">242</a></li>
+
+<li>Wang Tao-k'un, writer, <a href="#Page_254">254</a></li>
+
+<li>Wang Tun, rebel, <a href="#Page_156">156</a>-7</li>
+
+<li>Wang Yang-ming, general and philosopher, <a href="#Page_261">261</a> ff.</li>
+
+<li>War, <a href="#Page_82">82</a>;</li>
+<li><span style="margin-left: 1em;">size of wars, <a href="#Page_21">21</a>, <a href="#Page_53">53</a>;</span></li>
+<li><span style="margin-left: 1em;">War-chariot, <a href="#Page_25">25</a>, <a href="#Page_29">29</a>, <a href="#Page_30">30</a>, <a href="#Page_53">53</a>;</span></li>
+<li><span style="margin-left: 1em;">cost of wars, <a href="#Page_90">90</a>;</span></li>
+<li><span style="margin-left: 1em;">War lords, <a href="#Page_309">309</a> ff.;</span></li>
+<li><span style="margin-left: 1em;">Warrior-nomads, <a href="#Page_36">36</a></span></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Army, World War, Opium War, Lorcha War, Fire-Arms)</span></li>
+
+<li>Washington, conference, <a href="#Page_313">313</a></li>
+
+<li>Wei, dynasty, <a href="#Page_102">102</a>, <a href="#Page_113">113</a> ff.;</li>
+<li><span style="margin-left: 1em;">small state, <a href="#Page_40">40</a>;</span></li>
+<li><span style="margin-left: 1em;">empress, <a href="#Page_180">180</a></span></li>
+
+<li>Wei Chung-hsien, eunuch, <a href="#Page_267">267</a>-8</li>
+
+<li>Wei T'o, ruler in South China, <a href="#Page_77">77</a></li>
+
+<li>Welfare state, <a href="#Page_215">215</a> ff.</li>
+
+<li>Well-field system (<i>ching-t'ien</i>), <a href="#Page_33">33</a></li>
+
+<li>Wen Ti, Han ruler, <a href="#Page_78">78</a>, <a href="#Page_79">79</a>, <a href="#Page_80">80</a>, <a href="#Page_81">81</a>, <a href="#Page_86">86</a>;</li>
+<li><span style="margin-left: 1em;">Wei ruler 113;</span></li>
+<li><span style="margin-left: 1em;">Toba ruler, <a href="#Page_144">144</a>;</span></li>
+<li><span style="margin-left: 1em;">Sui ruler, <a href="#Page_167">167</a> ff.</span></li>
+
+<li>Wen Tsung, Manchu ruler, <a href="#Page_294">294</a></li>
+
+<li>Whampoa, military academy, <a href="#Page_314">314</a></li>
+
+<li>Wheat, <a href="#Page_11">11</a>, <a href="#Page_21">21</a>, <a href="#Page_32">32</a></li>
+
+<li>White Lotos sect (Pai-lien), <a href="#Page_239">239</a>, <a href="#Page_267">267</a>, <a href="#Page_284">284</a>-5</li>
+
+<li>Wholesalers, <a href="#Page_200">200</a></li>
+
+<li>Wine, <a href="#Page_21">21</a></li>
+
+<li>Wood-cut, <a href="#Page_251">251</a>, <a href="#Page_256">256</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Colour print)</span></li>
+
+<li>Wool, <a href="#Page_21">21</a>, <a href="#Page_33">33</a>, <a href="#Page_286">286</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Felt)</span></li>
+
+<li>World Wars, <a href="#Page_295">295</a>, <a href="#Page_310">310</a>, <a href="#Page_311">311</a>, <a href="#Page_312">312</a>, <a href="#Page_317">317</a></li>
+
+<li>Women rights, <a href="#Page_280">280</a>, <a href="#Page_332">332</a></li>
+
+<li>Writing, invention, <a href="#Page_18">18</a>, <a href="#Page_22">22</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Script)</span></li>
+
+<li>Wu, empress, <a href="#Page_179">179</a> ff.;</li>
+<li><span style="margin-left: 1em;">state, <a href="#Page_38">38</a>, <a href="#Page_111">111</a>-12, <a href="#Page_115">115</a>, <a href="#Page_121">121</a></span></li>
+
+<li>Wu-ch'ang, city, <a href="#Page_301">301</a></li>
+<li><span style="margin-left: 1em;">(<i>see</i> Hankow)</span></li>
+
+<li>Wu Ching-tz&#365;, writer, <a href="#Page_280">280</a></li>
+
+<li>Wu-huan, tribal federation, <a href="#Page_98">98</a>, <a href="#Page_102">102</a>, <a href="#Page_114">114</a></li>
+
+<li>Wu P'ei-fu, war lord, <a href="#Page_312">312</a></li>
+
+<li>Wu San-Kui, general, <a href="#Page_269">269</a>, <a href="#Page_271">271</a>, <a href="#Page_272">272</a>, <a href="#Page_277">277</a></li>
+
+<li>Wu Shih-fan, ruler, <a href="#Page_271">271</a></li>
+
+<li>Wu-sun, tribal group, <a href="#Page_89">89</a></li>
+
+<li>Wu Tai (Five Dynasties period), <a href="#Page_199">199</a> ff.</li>
+
+<li>Wu Tao-tz&#365;, painter, <a href="#Page_183">183</a></li>
+
+<li>Wu(Ti), Han ruler, <a href="#Page_86">86</a>, <a href="#Page_89">89</a>, <a href="#Page_91">91</a>;</li>
+<li><span style="margin-left: 1em;">Chin ruler, <a href="#Page_115">115</a>;</span></li>
+<li><span style="margin-left: 1em;">Liang ruler, <a href="#Page_161">161</a>, <a href="#Page_164">164</a></span></li>
+
+<li>Wu Tsung, Manchu ruler, <a href="#Page_261">261</a>, <a href="#Page_264">264</a></li>
+
+<li>Wu Wang, Chou ruler, <a href="#Page_30">30</a><!-- Page 367 --><span class='pagenum'><a name="Page_367" id="Page_367">[Pg 367]</a></span></li>
+
+<li><i>wu-wei,</i> philosophical term, <a href="#Page_47">47</a></li>
+
+<li>&nbsp;</li>
+
+<li>Yakub beg, ruler, <a href="#Page_293">293</a></li>
+
+<li>Yamato, part of Japan, <a href="#Page_112">112</a></li>
+
+<li>Yang, clan, <a href="#Page_119">119</a>, <a href="#Page_120">120</a></li>
+
+<li>Yang Chien, ruler, <a href="#Page_151">151</a>, <a href="#Page_163">163</a>, <a href="#Page_166">166</a> ff.</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Wen Ti)</span></li>
+
+<li>Yang (Kui-fei), concubine, <a href="#Page_184">184</a></li>
+
+<li>Yang-shao, archaeological site, <a href="#Page_12">12</a> ff., <a href="#Page_29">29</a></li>
+
+<li>Yang Ti, Sui ruler, <a href="#Page_168">168</a>, <a href="#Page_178">178</a></li>
+
+<li>Yao, mythical ruler, <a href="#Page_17">17</a>;</li>
+<li><span style="margin-left: 1em;">tribes in South China, <a href="#Page_12">12</a>, <a href="#Page_16">16</a>, <a href="#Page_19">19</a>, <a href="#Page_21">21</a>, <a href="#Page_111">111</a>, <a href="#Page_152">152</a></span></li>
+
+<li>Yarkand, city in Turkestan, <a href="#Page_97">97</a>, <a href="#Page_98">98</a>, <a href="#Page_282">282</a></li>
+
+<li>Yeh (K'ai-feng), city, <a href="#Page_125">125</a>, <a href="#Page_148">148</a></li>
+
+<li>Yeh-ta (<i>see</i> Ephtalites)</li>
+
+<li>Yehe-Nara, tribe, <a href="#Page_294">294</a></li>
+
+<li>Yellow Turbans, secret society, <a href="#Page_101">101</a>, <a href="#Page_158">158</a></li>
+
+<li>Yeh-l&uuml; Ch'u-ts'ai, politician, <a href="#Page_241">241</a></li>
+
+<li>Yen, state, <a href="#Page_114">114</a>;</li>
+<li><span style="margin-left: 1em;">dynasty, <a href="#Page_112">112</a>;</span></li>
+<li><span style="margin-left: 1em;">Earlier Yen dynasty, <a href="#Page_126">126</a>, <a href="#Page_127">127</a>;</span></li>
+<li><span style="margin-left: 1em;">Later Yen dynasty 127, <a href="#Page_128">128</a> ff.;</span></li>
+<li><span style="margin-left: 1em;">Western Yen dynasty, <a href="#Page_129">129</a></span></li>
+
+<li>Yen-an, city, <a href="#Page_321">321</a>-2</li>
+
+<li>Yen Fu, translator, <a href="#Page_280">280</a></li>
+
+<li>Yen Hsi-shan, war lord, <a href="#Page_315">315</a></li>
+
+<li>Yen-ta (Altan), ruler, <a href="#Page_264">264</a>-5</li>
+
+<li><i>Yen-t'ieh-lun</i> (Discourses on Salt and Iron), book, <a href="#Page_91">91</a></li>
+
+<li>Yin Chung-k'an, general, <a href="#Page_158">158</a></li>
+
+<li>Yin-ch'&uuml;, city, <a href="#Page_21">21</a></li>
+
+<li>Yin and Yang, philosophical terms, <a href="#Page_60">60</a></li>
+
+<li>Ying Tsung, Manchu ruler, <a href="#Page_259">259</a>, <a href="#Page_260">260</a></li>
+
+<li>Yo Fei, general, <a href="#Page_226">226</a></li>
+
+<li>Y&uuml; Liang, general, <a href="#Page_156">156</a>, <a href="#Page_157">157</a></li>
+
+<li>Y&uuml;-wen, tribal group, <a href="#Page_119">119</a>, <a href="#Page_148">148</a>, <a href="#Page_169">169</a>, <a href="#Page_172">172</a></li>
+
+<li>Y&uuml;an Chen, <a href="#Page_182">182</a></li>
+
+<li>Y&uuml;an Chi, philosopher, <a href="#Page_50">50</a></li>
+
+<li>Y&uuml;an Mei, writer, <a href="#Page_280">280</a></li>
+
+<li>Y&uuml;an Shao, general, <a href="#Page_100">100</a></li>
+
+<li>Y&uuml;an Shih-k'ai, general and president, <a href="#Page_298">298</a>, <a href="#Page_299">299</a>, <a href="#Page_300">300</a>, <a href="#Page_301">301</a>, <a href="#Page_302">302</a>, <a href="#Page_309">309</a>, <a href="#Page_310">310</a>, <a href="#Page_311">311</a>, <a href="#Page_312">312</a></li>
+
+<li>Y&uuml;an Ti, Han ruler, <a href="#Page_92">92</a>;</li>
+<li><span style="margin-left: 1em;">Chin ruler, <a href="#Page_152">152</a>, <a href="#Page_156">156</a></span></li>
+
+<li>Y&uuml;eh, tribal group and area, <a href="#Page_12">12</a>, <a href="#Page_16">16</a>, <a href="#Page_38">38</a>, <a href="#Page_77">77</a>, <a href="#Page_152">152</a></li>
+
+<li>Y&uuml;eh-chih, Indo-European-speaking ethnic group, <a href="#Page_75">75</a>, <a href="#Page_88">88</a>, <a href="#Page_118">118</a>, <a href="#Page_150">150</a></li>
+
+<li>Y&uuml;n-kang, caves, <a href="#Page_146">146</a>-7, <a href="#Page_344">344</a></li>
+
+<li>Y&uuml;nnan, (Y&uuml;n-nan), province, <a href="#Page_10">10</a>, <a href="#Page_89">89</a>, <a href="#Page_97">97</a>, <a href="#Page_110">110</a>, <a href="#Page_248">248</a>, <a href="#Page_258">258</a>, <a href="#Page_275">275</a>, <a href="#Page_292">292</a></li>
+
+<li>Yung-cheng, reign period, <a href="#Page_278">278</a>, <a href="#Page_282">282</a></li>
+
+<li>Yung-lo, reign period, <a href="#Page_257">257</a>, <a href="#Page_264">264</a></li>
+
+<li>&nbsp;</li>
+
+<li>Zen Buddhism</li>
+<li><span style="margin-left: 1em;">(<i>see</i> Ch'an), <a href="#Page_164">164</a></span></li>
+
+<li>Zoroaster, founder of religion, <a href="#Page_342">342</a></li>
+
+</ul>
+
+<h3>Transcriber's Notes</h3>
+
+<p>
+Most typos/misspellings were left as in the original text. In some
+obvious cases they are noted here. There are cases of American and UK
+English. There are cases of unusual hyphenation. There are more than one
+spelling of Chinese proper nouns. There are cases, like Marxism, which
+are not capitalized. There are cases of double words, like 'had had'.
+These are correctly used.
+</p>
+
+<p>Additionally, the author has spelled the following words inconsistently.
+Those have not been changed, but are listed here:</p>
+
+<ul>
+<li>Northwestern</li>
+<li>Southwards</li>
+<li>Programme</li>
+<li>re-introduced</li>
+<li>practise</li>
+<li>Lotos</li>
+<li>Ju-Ch�n</li>
+<li>cooperate</li>
+<li>life-time</li>
+<li>man-power</li>
+<li>favor</li>
+<li>advise</li>
+</ul>
+
+<p>Page <a href="#Page_25">25</a>. (conceived as a kind of celestrial court) This should be
+celestial court.</p>
+
+<p>Page <a href="#Page_25">25</a>. (the middle of the second millenium B.C.). Normally 'millenium'
+is spelled 'millennium', with a double n.</p>
+
+<p>Page <a href="#Page_26">26</a>. (they re-settled the captured). Normally 're-settled' is
+spelled without a hyphen.</p>
+
+<p>Page <a href="#Page_80">80</a>. ("Collected Statues of the Manchu Dynasty") This is likely a
+typo for "Collected Statutes of the Manchu Dynasty".</p>
+
+<p>Page <a href="#Page_197">197</a>. (allowed to enter the state examina) This may be a typo for
+state examinations.</p>
+
+<p>Page <a href="#Page_209">209</a>. (accounted for 25 per cent cent) I removed the duplicate cent.</p>
+
+<p>Page <a href="#Page_255">255</a>. ("The Peony Pavillion") Pavillion/Pavilion is spelled with one
+'l' in other places thoughout this work.</p>
+
+<p>Page <a href="#Page_264">264</a>. (Ling's church Taosim.) This may be Taoism, but I left as was
+printed.</p>
+
+<p>Page <a href="#Page_275">275</a>. (could allevitate the pressure) Alleviate was probably meant.</p>
+
+<p>Page <a href="#Page_278">278</a>. (particulary in regard) Typo for particularly.</p>
+
+<p>Page <a href="#Page_323">323</a>. Equipped is spelled equiped.</p>
+
+<p>Pages <a href="#Page_335">335</a> and 336. The spelling of J.&nbsp;G.&nbsp;Andersoon/Andersson is not consistent. Johan Gunnar Andersson appears to be associated with studies of China.</p>
+
+<p>Page <a href="#Page_342">342</a>. The name W.&nbsp;Eichhorn is apparently misspelled here as Eichhron.</p>
+
+<p>Page <a href="#Page_337">337</a>. (and when it florished,) Typo for flourished.</p>
+
+<p>Index and page <a href="#Page_60">60</a>. Machiavellism/Machiavellian is spelled with 2 'c's here.
+Machiavelism is also more common as Machiavellianism.</p>
+
+
+
+
+
+
+
+
+<pre>
+
+
+
+
+
+End of the Project Gutenberg EBook of A history of China., [3d ed. rev. and
+enl.], by Wolfram Eberhard
+
+*** END OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+***** This file should be named 17695-h.htm or 17695-h.zip *****
+This and all associated files of various formats will be found in:
+        http://www.gutenberg.org/1/7/6/9/17695/
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+Updated editions will replace the previous one--the old editions
+will be renamed.
+
+Creating the works from public domain print editions means that no
+one owns a United States copyright in these works, so the Foundation
+(and you!) can copy and distribute it in the United States without
+permission and without paying copyright royalties.  Special rules,
+set forth in the General Terms of Use part of this license, apply to
+copying and distributing Project Gutenberg-tm electronic works to
+protect the PROJECT GUTENBERG-tm concept and trademark.  Project
+Gutenberg is a registered trademark, and may not be used if you
+charge for the eBooks, unless you receive specific permission.  If you
+do not charge anything for copies of this eBook, complying with the
+rules is very easy.  You may use this eBook for nearly any purpose
+such as creation of derivative works, reports, performances and
+research.  They may be modified and printed and given away--you may do
+practically ANYTHING with public domain eBooks.  Redistribution is
+subject to the trademark license, especially commercial
+redistribution.
+
+
+
+*** START: FULL LICENSE ***
+
+THE FULL PROJECT GUTENBERG LICENSE
+PLEASE READ THIS BEFORE YOU DISTRIBUTE OR USE THIS WORK
+
+To protect the Project Gutenberg-tm mission of promoting the free
+distribution of electronic works, by using or distributing this work
+(or any other work associated in any way with the phrase "Project
+Gutenberg"), you agree to comply with all the terms of the Full Project
+Gutenberg-tm License (available with this file or online at
+http://gutenberg.org/license).
+
+
+Section 1.  General Terms of Use and Redistributing Project Gutenberg-tm
+electronic works
+
+1.A.  By reading or using any part of this Project Gutenberg-tm
+electronic work, you indicate that you have read, understand, agree to
+and accept all the terms of this license and intellectual property
+(trademark/copyright) agreement.  If you do not agree to abide by all
+the terms of this agreement, you must cease using and return or destroy
+all copies of Project Gutenberg-tm electronic works in your possession.
+If you paid a fee for obtaining a copy of or access to a Project
+Gutenberg-tm electronic work and you do not agree to be bound by the
+terms of this agreement, you may obtain a refund from the person or
+entity to whom you paid the fee as set forth in paragraph 1.E.8.
+
+1.B.  "Project Gutenberg" is a registered trademark.  It may only be
+used on or associated in any way with an electronic work by people who
+agree to be bound by the terms of this agreement.  There are a few
+things that you can do with most Project Gutenberg-tm electronic works
+even without complying with the full terms of this agreement.  See
+paragraph 1.C below.  There are a lot of things you can do with Project
+Gutenberg-tm electronic works if you follow the terms of this agreement
+and help preserve free future access to Project Gutenberg-tm electronic
+works.  See paragraph 1.E below.
+
+1.C.  The Project Gutenberg Literary Archive Foundation ("the Foundation"
+or PGLAF), owns a compilation copyright in the collection of Project
+Gutenberg-tm electronic works.  Nearly all the individual works in the
+collection are in the public domain in the United States.  If an
+individual work is in the public domain in the United States and you are
+located in the United States, we do not claim a right to prevent you from
+copying, distributing, performing, displaying or creating derivative
+works based on the work as long as all references to Project Gutenberg
+are removed.  Of course, we hope that you will support the Project
+Gutenberg-tm mission of promoting free access to electronic works by
+freely sharing Project Gutenberg-tm works in compliance with the terms of
+this agreement for keeping the Project Gutenberg-tm name associated with
+the work.  You can easily comply with the terms of this agreement by
+keeping this work in the same format with its attached full Project
+Gutenberg-tm License when you share it without charge with others.
+
+1.D.  The copyright laws of the place where you are located also govern
+what you can do with this work.  Copyright laws in most countries are in
+a constant state of change.  If you are outside the United States, check
+the laws of your country in addition to the terms of this agreement
+before downloading, copying, displaying, performing, distributing or
+creating derivative works based on this work or any other Project
+Gutenberg-tm work.  The Foundation makes no representations concerning
+the copyright status of any work in any country outside the United
+States.
+
+1.E.  Unless you have removed all references to Project Gutenberg:
+
+1.E.1.  The following sentence, with active links to, or other immediate
+access to, the full Project Gutenberg-tm License must appear prominently
+whenever any copy of a Project Gutenberg-tm work (any work on which the
+phrase "Project Gutenberg" appears, or with which the phrase "Project
+Gutenberg" is associated) is accessed, displayed, performed, viewed,
+copied or distributed:
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+1.E.2.  If an individual Project Gutenberg-tm electronic work is derived
+from the public domain (does not contain a notice indicating that it is
+posted with permission of the copyright holder), the work can be copied
+and distributed to anyone in the United States without paying any fees
+or charges.  If you are redistributing or providing access to a work
+with the phrase "Project Gutenberg" associated with or appearing on the
+work, you must comply either with the requirements of paragraphs 1.E.1
+through 1.E.7 or obtain permission for the use of the work and the
+Project Gutenberg-tm trademark as set forth in paragraphs 1.E.8 or
+1.E.9.
+
+1.E.3.  If an individual Project Gutenberg-tm electronic work is posted
+with the permission of the copyright holder, your use and distribution
+must comply with both paragraphs 1.E.1 through 1.E.7 and any additional
+terms imposed by the copyright holder.  Additional terms will be linked
+to the Project Gutenberg-tm License for all works posted with the
+permission of the copyright holder found at the beginning of this work.
+
+1.E.4.  Do not unlink or detach or remove the full Project Gutenberg-tm
+License terms from this work, or any files containing a part of this
+work or any other work associated with Project Gutenberg-tm.
+
+1.E.5.  Do not copy, display, perform, distribute or redistribute this
+electronic work, or any part of this electronic work, without
+prominently displaying the sentence set forth in paragraph 1.E.1 with
+active links or immediate access to the full terms of the Project
+Gutenberg-tm License.
+
+1.E.6.  You may convert to and distribute this work in any binary,
+compressed, marked up, nonproprietary or proprietary form, including any
+word processing or hypertext form.  However, if you provide access to or
+distribute copies of a Project Gutenberg-tm work in a format other than
+"Plain Vanilla ASCII" or other format used in the official version
+posted on the official Project Gutenberg-tm web site (www.gutenberg.org),
+you must, at no additional cost, fee or expense to the user, provide a
+copy, a means of exporting a copy, or a means of obtaining a copy upon
+request, of the work in its original "Plain Vanilla ASCII" or other
+form.  Any alternate format must include the full Project Gutenberg-tm
+License as specified in paragraph 1.E.1.
+
+1.E.7.  Do not charge a fee for access to, viewing, displaying,
+performing, copying or distributing any Project Gutenberg-tm works
+unless you comply with paragraph 1.E.8 or 1.E.9.
+
+1.E.8.  You may charge a reasonable fee for copies of or providing
+access to or distributing Project Gutenberg-tm electronic works provided
+that
+
+- You pay a royalty fee of 20% of the gross profits you derive from
+     the use of Project Gutenberg-tm works calculated using the method
+     you already use to calculate your applicable taxes.  The fee is
+     owed to the owner of the Project Gutenberg-tm trademark, but he
+     has agreed to donate royalties under this paragraph to the
+     Project Gutenberg Literary Archive Foundation.  Royalty payments
+     must be paid within 60 days following each date on which you
+     prepare (or are legally required to prepare) your periodic tax
+     returns.  Royalty payments should be clearly marked as such and
+     sent to the Project Gutenberg Literary Archive Foundation at the
+     address specified in Section 4, "Information about donations to
+     the Project Gutenberg Literary Archive Foundation."
+
+- You provide a full refund of any money paid by a user who notifies
+     you in writing (or by e-mail) within 30 days of receipt that s/he
+     does not agree to the terms of the full Project Gutenberg-tm
+     License.  You must require such a user to return or
+     destroy all copies of the works possessed in a physical medium
+     and discontinue all use of and all access to other copies of
+     Project Gutenberg-tm works.
+
+- You provide, in accordance with paragraph 1.F.3, a full refund of any
+     money paid for a work or a replacement copy, if a defect in the
+     electronic work is discovered and reported to you within 90 days
+     of receipt of the work.
+
+- You comply with all other terms of this agreement for free
+     distribution of Project Gutenberg-tm works.
+
+1.E.9.  If you wish to charge a fee or distribute a Project Gutenberg-tm
+electronic work or group of works on different terms than are set
+forth in this agreement, you must obtain permission in writing from
+both the Project Gutenberg Literary Archive Foundation and Michael
+Hart, the owner of the Project Gutenberg-tm trademark.  Contact the
+Foundation as set forth in Section 3 below.
+
+1.F.
+
+1.F.1.  Project Gutenberg volunteers and employees expend considerable
+effort to identify, do copyright research on, transcribe and proofread
+public domain works in creating the Project Gutenberg-tm
+collection.  Despite these efforts, Project Gutenberg-tm electronic
+works, and the medium on which they may be stored, may contain
+"Defects," such as, but not limited to, incomplete, inaccurate or
+corrupt data, transcription errors, a copyright or other intellectual
+property infringement, a defective or damaged disk or other medium, a
+computer virus, or computer codes that damage or cannot be read by
+your equipment.
+
+1.F.2.  LIMITED WARRANTY, DISCLAIMER OF DAMAGES - Except for the "Right
+of Replacement or Refund" described in paragraph 1.F.3, the Project
+Gutenberg Literary Archive Foundation, the owner of the Project
+Gutenberg-tm trademark, and any other party distributing a Project
+Gutenberg-tm electronic work under this agreement, disclaim all
+liability to you for damages, costs and expenses, including legal
+fees.  YOU AGREE THAT YOU HAVE NO REMEDIES FOR NEGLIGENCE, STRICT
+LIABILITY, BREACH OF WARRANTY OR BREACH OF CONTRACT EXCEPT THOSE
+PROVIDED IN PARAGRAPH F3.  YOU AGREE THAT THE FOUNDATION, THE
+TRADEMARK OWNER, AND ANY DISTRIBUTOR UNDER THIS AGREEMENT WILL NOT BE
+LIABLE TO YOU FOR ACTUAL, DIRECT, INDIRECT, CONSEQUENTIAL, PUNITIVE OR
+INCIDENTAL DAMAGES EVEN IF YOU GIVE NOTICE OF THE POSSIBILITY OF SUCH
+DAMAGE.
+
+1.F.3.  LIMITED RIGHT OF REPLACEMENT OR REFUND - If you discover a
+defect in this electronic work within 90 days of receiving it, you can
+receive a refund of the money (if any) you paid for it by sending a
+written explanation to the person you received the work from.  If you
+received the work on a physical medium, you must return the medium with
+your written explanation.  The person or entity that provided you with
+the defective work may elect to provide a replacement copy in lieu of a
+refund.  If you received the work electronically, the person or entity
+providing it to you may choose to give you a second opportunity to
+receive the work electronically in lieu of a refund.  If the second copy
+is also defective, you may demand a refund in writing without further
+opportunities to fix the problem.
+
+1.F.4.  Except for the limited right of replacement or refund set forth
+in paragraph 1.F.3, this work is provided to you 'AS-IS' WITH NO OTHER
+WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO
+WARRANTIES OF MERCHANTIBILITY OR FITNESS FOR ANY PURPOSE.
+
+1.F.5.  Some states do not allow disclaimers of certain implied
+warranties or the exclusion or limitation of certain types of damages.
+If any disclaimer or limitation set forth in this agreement violates the
+law of the state applicable to this agreement, the agreement shall be
+interpreted to make the maximum disclaimer or limitation permitted by
+the applicable state law.  The invalidity or unenforceability of any
+provision of this agreement shall not void the remaining provisions.
+
+1.F.6.  INDEMNITY - You agree to indemnify and hold the Foundation, the
+trademark owner, any agent or employee of the Foundation, anyone
+providing copies of Project Gutenberg-tm electronic works in accordance
+with this agreement, and any volunteers associated with the production,
+promotion and distribution of Project Gutenberg-tm electronic works,
+harmless from all liability, costs and expenses, including legal fees,
+that arise directly or indirectly from any of the following which you do
+or cause to occur: (a) distribution of this or any Project Gutenberg-tm
+work, (b) alteration, modification, or additions or deletions to any
+Project Gutenberg-tm work, and (c) any Defect you cause.
+
+
+Section  2.  Information about the Mission of Project Gutenberg-tm
+
+Project Gutenberg-tm is synonymous with the free distribution of
+electronic works in formats readable by the widest variety of computers
+including obsolete, old, middle-aged and new computers.  It exists
+because of the efforts of hundreds of volunteers and donations from
+people in all walks of life.
+
+Volunteers and financial support to provide volunteers with the
+assistance they need, is critical to reaching Project Gutenberg-tm's
+goals and ensuring that the Project Gutenberg-tm collection will
+remain freely available for generations to come.  In 2001, the Project
+Gutenberg Literary Archive Foundation was created to provide a secure
+and permanent future for Project Gutenberg-tm and future generations.
+To learn more about the Project Gutenberg Literary Archive Foundation
+and how your efforts and donations can help, see Sections 3 and 4
+and the Foundation web page at http://www.pglaf.org.
+
+
+Section 3.  Information about the Project Gutenberg Literary Archive
+Foundation
+
+The Project Gutenberg Literary Archive Foundation is a non profit
+501(c)(3) educational corporation organized under the laws of the
+state of Mississippi and granted tax exempt status by the Internal
+Revenue Service.  The Foundation's EIN or federal tax identification
+number is 64-6221541.  Its 501(c)(3) letter is posted at
+http://pglaf.org/fundraising.  Contributions to the Project Gutenberg
+Literary Archive Foundation are tax deductible to the full extent
+permitted by U.S. federal laws and your state's laws.
+
+The Foundation's principal office is located at 4557 Melan Dr. S.
+Fairbanks, AK, 99712., but its volunteers and employees are scattered
+throughout numerous locations.  Its business office is located at
+809 North 1500 West, Salt Lake City, UT 84116, (801) 596-1887, email
+business@pglaf.org.  Email contact links and up to date contact
+information can be found at the Foundation's web site and official
+page at http://pglaf.org
+
+For additional contact information:
+     Dr. Gregory B. Newby
+     Chief Executive and Director
+     gbnewby@pglaf.org
+
+
+Section 4.  Information about Donations to the Project Gutenberg
+Literary Archive Foundation
+
+Project Gutenberg-tm depends upon and cannot survive without wide
+spread public support and donations to carry out its mission of
+increasing the number of public domain and licensed works that can be
+freely distributed in machine readable form accessible by the widest
+array of equipment including outdated equipment.  Many small donations
+($1 to $5,000) are particularly important to maintaining tax exempt
+status with the IRS.
+
+The Foundation is committed to complying with the laws regulating
+charities and charitable donations in all 50 states of the United
+States.  Compliance requirements are not uniform and it takes a
+considerable effort, much paperwork and many fees to meet and keep up
+with these requirements.  We do not solicit donations in locations
+where we have not received written confirmation of compliance.  To
+SEND DONATIONS or determine the status of compliance for any
+particular state visit http://pglaf.org
+
+While we cannot and do not solicit contributions from states where we
+have not met the solicitation requirements, we know of no prohibition
+against accepting unsolicited donations from donors in such states who
+approach us with offers to donate.
+
+International donations are gratefully accepted, but we cannot make
+any statements concerning tax treatment of donations received from
+outside the United States.  U.S. laws alone swamp our small staff.
+
+Please check the Project Gutenberg Web pages for current donation
+methods and addresses.  Donations are accepted in a number of other
+ways including checks, online payments and credit card donations.
+To donate, please visit: http://pglaf.org/donate
+
+
+Section 5.  General Information About Project Gutenberg-tm electronic
+works.
+
+Professor Michael S. Hart is the originator of the Project Gutenberg-tm
+concept of a library of electronic works that could be freely shared
+with anyone.  For thirty years, he produced and distributed Project
+Gutenberg-tm eBooks with only a loose network of volunteer support.
+
+
+Project Gutenberg-tm eBooks are often created from several printed
+editions, all of which are confirmed as Public Domain in the U.S.
+unless a copyright notice is included.  Thus, we do not necessarily
+keep eBooks in compliance with any particular paper edition.
+
+
+Most people start at our Web site which has the main PG search facility:
+
+     http://www.gutenberg.org
+
+This Web site includes information about Project Gutenberg-tm,
+including how to make donations to the Project Gutenberg Literary
+Archive Foundation, how to help produce our new eBooks, and how to
+subscribe to our email newsletter to hear about new eBooks.
+
+
+</pre>
+
+</body>
+</html>
diff --git a/17695-h/images/image01.png b/17695-h/images/image01.png
new file mode 100644
index 0000000..405739f
--- /dev/null
+++ b/17695-h/images/image01.png
diff --git a/17695-h/images/image02.png b/17695-h/images/image02.png
new file mode 100644
index 0000000..8f95fae
--- /dev/null
+++ b/17695-h/images/image02.png
diff --git a/17695-h/images/image03.png b/17695-h/images/image03.png
new file mode 100644
index 0000000..8583a6f
--- /dev/null
+++ b/17695-h/images/image03.png
diff --git a/17695-h/images/image04.png b/17695-h/images/image04.png
new file mode 100644
index 0000000..0202ad6
--- /dev/null
+++ b/17695-h/images/image04.png
diff --git a/17695-h/images/image05.jpg b/17695-h/images/image05.jpg
new file mode 100644
index 0000000..3b04f85
--- /dev/null
+++ b/17695-h/images/image05.jpg
diff --git a/17695-h/images/image06.png b/17695-h/images/image06.png
new file mode 100644
index 0000000..77d03f3
--- /dev/null
+++ b/17695-h/images/image06.png
diff --git a/17695-h/images/image07.png b/17695-h/images/image07.png
new file mode 100644
index 0000000..7ee1828
--- /dev/null
+++ b/17695-h/images/image07.png
diff --git a/17695-h/images/image08.png b/17695-h/images/image08.png
new file mode 100644
index 0000000..1375783
--- /dev/null
+++ b/17695-h/images/image08.png
diff --git a/17695-h/images/image09.png b/17695-h/images/image09.png
new file mode 100644
index 0000000..ddfe4ad
--- /dev/null
+++ b/17695-h/images/image09.png
diff --git a/17695-h/images/image10.jpg b/17695-h/images/image10.jpg
new file mode 100644
index 0000000..b76d1cc
--- /dev/null
+++ b/17695-h/images/image10.jpg
diff --git a/17695-h/images/image11.jpg b/17695-h/images/image11.jpg
new file mode 100644
index 0000000..4e5cd35
--- /dev/null
+++ b/17695-h/images/image11.jpg
diff --git a/17695-h/images/image12.jpg b/17695-h/images/image12.jpg
new file mode 100644
index 0000000..19b5e34
--- /dev/null
+++ b/17695-h/images/image12.jpg
diff --git a/17695-h/images/image13.jpg b/17695-h/images/image13.jpg
new file mode 100644
index 0000000..b8809c1
--- /dev/null
+++ b/17695-h/images/image13.jpg
diff --git a/17695-h/images/image14.png b/17695-h/images/image14.png
new file mode 100644
index 0000000..4d82d01
--- /dev/null
+++ b/17695-h/images/image14.png
diff --git a/17695-h/images/image15.png b/17695-h/images/image15.png
new file mode 100644
index 0000000..98f69d8
--- /dev/null
+++ b/17695-h/images/image15.png
diff --git a/17695-h/images/image16.jpg b/17695-h/images/image16.jpg
new file mode 100644
index 0000000..b961954
--- /dev/null
+++ b/17695-h/images/image16.jpg
diff --git a/17695-h/images/image17.jpg b/17695-h/images/image17.jpg
new file mode 100644
index 0000000..5b92f59
--- /dev/null
+++ b/17695-h/images/image17.jpg
diff --git a/17695-h/images/image18.jpg b/17695-h/images/image18.jpg
new file mode 100644
index 0000000..ac8f98d
--- /dev/null
+++ b/17695-h/images/image18.jpg
diff --git a/17695-h/images/image19.jpg b/17695-h/images/image19.jpg
new file mode 100644
index 0000000..f1bf7fd
--- /dev/null
+++ b/17695-h/images/image19.jpg
diff --git a/17695-h/images/image20.png b/17695-h/images/image20.png
new file mode 100644
index 0000000..3d74cb8
--- /dev/null
+++ b/17695-h/images/image20.png
diff --git a/17695-h/images/image21.jpg b/17695-h/images/image21.jpg
new file mode 100644
index 0000000..85cf0db
--- /dev/null
+++ b/17695-h/images/image21.jpg
diff --git a/17695-h/images/image22.jpg b/17695-h/images/image22.jpg
new file mode 100644
index 0000000..e8c29df
--- /dev/null
+++ b/17695-h/images/image22.jpg
diff --git a/17695-h/images/image23.jpg b/17695-h/images/image23.jpg
new file mode 100644
index 0000000..6936a94
--- /dev/null
+++ b/17695-h/images/image23.jpg
diff --git a/17695-h/images/image24.jpg b/17695-h/images/image24.jpg
new file mode 100644
index 0000000..21ad0b3
--- /dev/null
+++ b/17695-h/images/image24.jpg
diff --git a/17695.txt b/17695.txt
new file mode 100644
index 0000000..f9567fa
--- /dev/null
+++ b/17695.txt
@@ -0,0 +1,18155 @@
+The Project Gutenberg EBook of A history of China., [3d ed. rev. and enl.], by
+Wolfram Eberhard
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+
+Title: A history of China., [3d ed. rev. and enl.]
+
+Author: Wolfram Eberhard
+
+Release Date: February 7, 2006 [EBook #17695]
+
+Language: English
+
+Character set encoding: ASCII
+
+*** START OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+
+
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+
+
+
+
+A
+HISTORY OF CHINA
+
+by
+WOLFRAM EBERHARD
+_of the University of California_
+
+_Illustrated_
+
+UNIVERSITY OF CALIFORNIA PRESS
+Berkeley and Los Angeles 1969
+
+
+
+First published in U. S. A. by
+_University of California Press_
+_Berkeley and Los Angeles_
+_California_
+
+Second printing 1955
+Third printing 1956
+Second edition (revised by the author
+and reset) 1960
+Reprinted 1966
+Third edition (revised
+and enlarged) 1969
+
+
+
+_To My Wife_
+
+
+
+
+CONTENTS
+
+
+INTRODUCTION                                                         1
+
+_THE EARLIEST TIMES_
+
+
+Chapter I: PREHISTORY
+
+1 Sources for the earliest history                                   7
+2 The Peking Man                                                     8
+3 The Palaeolithic Age                                               8
+4 The Neolithic Age                                                  9
+5 The eight principal prehistoric cultures                          10
+6 The Yang-shao culture                                             12
+7 The Lung-shan culture                                             15
+8 The first petty States in Shansi                                  16
+
+
+Chapter II: THE SHANG DYNASTY
+(_c._ 1600-1028 B.C.)
+
+1 Period, origin, material culture                                  19
+2 Writing and Religion                                              22
+3 Transition to feudalism                                           24
+
+
+_ANTIQUITY_
+
+
+Chapter III: THE CHOU DYNASTY (_c._ 1028-257 B.C.)
+
+1 Cultural origin of the Chou and end of the Shang dynasty          29
+2 Feudalism in the new empire                                       30
+3 Fusion of Chou and Shang                                          32
+4 Limitation of the imperial power                                  36
+5 Changes in the relative strength of the feudal states             38
+6 Confucius                                                         40
+7 Lao Tzu                                                           45
+
+
+Chapter IV: THE CONTENDING STATES (481-256 B.C.):
+
+DISSOLUTION OF THE FEUDAL SYSTEM
+
+1 Social and military changes                                       51
+2 Economic changes                                                  53
+3 Cultural changes                                                  57
+
+
+Chapter V: THE CHIN DYNASTY (256-207 B.C.)
+
+1 Towards the unitary State                                         62
+2 Centralization in every field                                     64
+3 Frontier Defence. Internal collapse                               67
+
+
+_THE MIDDLE AGES_
+
+
+Chapter VI: THE HAN DYNASTY (206 B.C.-A.D. 220)
+
+1 Development of the gentry-state                                   71
+2 Situation of the Hsiung-nu empire; its relation to the
+  Han empire. Incorporation of South China                          75
+3 Brief feudal reaction. Consolidation of the gentry                77
+4 Turkestan policy. End of the Hsiung-nu empire                     86
+5 Impoverishment. Cliques. End of the Dynasty                       90
+6 The pseudo-socialistic dictatorship. Revolt of the "Red
+  Eyebrows"                                                         93
+7 Reaction and Restoration: the Later Han dynasty                   96
+8 Hsiung-nu policy                                                  97
+9 Economic situation. Rebellion of the "Yellow Turbans".
+  Collapse of the Han dynasty                                       99
+10 Literature and Art                                              103
+
+
+Chapter VII: THE EPOCH OF THE FIRST DIVISION
+OF CHINA (A.D. 220-580)
+
+(A) _The three kingdoms_ (A.D. 220-265)
+
+1 Social, intellectual, and economic problems during the
+  period of the first division                                     107
+2 Status of the two southern Kingdoms                              109
+3 The northern State of Wei                                        113
+
+(B) _The Western Chin dynasty_ (265-317)
+
+1 Internal situation in the Chin empire                            115
+2 Effect on the frontier peoples                                   116
+3 Struggles for the throne                                         119
+4 Migration of Chinese                                             120
+5 Victory of the Huns. The Hun Han dynasty (later renamed
+  the Earlier Chao dynasty)                                        121
+
+(C) _The alien empires in North China, down to the Toba_
+(A.D. 317-385)
+
+1 The Later Chao dynasty in eastern North China (Hun; 329-352)     123
+2 Earlier Yen dynasty in the north-east (proto-Mongol;
+  352-370), and the Earlier Ch'in dynasty in all north
+  China (Tibetan; 351-394)                                         126
+3 The fragmentation of north China                                 128
+4 Sociological analysis of the two great alien empires             131
+5 Sociological analysis of the petty States                        132
+6 Spread of Buddhism                                               133
+
+(D) _The Toba empire in North China_ (A.D. 385-550)
+
+1 The rise of the Toba State                                       136
+2 The Hun kingdom of the Hsia (407-431)                            139
+3 Rise of the Toba to a great power                                139
+4 Economic and social conditions                                   142
+5 Victory and retreat of Buddhism                                  145
+
+(E) _Succession States of the Toba_ (A.D. 550-580):
+_Northern Ch'i dynasty, Northern Chou dynasty_
+
+1 Reasons for the splitting of the Toba empire                     148
+2 Appearance of the (Goek) Turks                                    149
+3 The Northern Ch'i dynasty; the Northern Chou dynasty             150
+
+(F) _The southern empires_
+
+1 Economic and social situation in the south                       152
+2 Struggles between cliques under the Eastern Chin
+  dynasty (A.D. 317-419)                                           155
+3 The Liu-Sung dynasty (A.D. 420-478) and the Southern
+  Ch'i dynasty (A.D. 479-501)                                      159
+4 The Liang dynasty (A.D. 502-556)                                 161
+5 The Ch'en dynasty (A.D. 557-588) and its ending by the
+  Sui                                                              162
+6 Cultural achievements of the south                               163
+
+
+Chapter VIII: THE EMPIRES OF THE SUI AND
+THE T'ANG
+
+(A) _The Sui dynasty_ (A.D. 580-618)
+
+1 Internal situation in the newly unified empire                   166
+2 Relations with Turks and with Korea                              169
+3 Reasons for collapse                                             170
+
+(B) _The Tang dynasty_ (A.D. 618-906)
+
+1 Reforms and decentralization                                     172
+2 Turkish policy                                                   176
+3 Conquest of Turkestan and Korea. Summit of power                 177
+4 The reign of the empress Wu: Buddhism and capitalism             179
+5 Second blossoming of T'ang culture                               182
+6 Revolt of a military governor                                    184
+7 The role of the Uighurs. Confiscation of the capital of the
+  monasteries                                                      186
+8 First successful peasant revolt. Collapse of the empire          189
+
+
+_MODERN TIMES_
+
+
+Chapter IX: THE EPOCH OF THE SECOND
+DIVISION OF CHINA
+
+(A) _The period of the Five Dynasties_ (906-960)
+
+1 Beginning of a new epoch                                         195
+2 Political situation in the tenth century                         199
+3 Monopolistic trade in South China. Printing and paper
+  money in the north                                               200
+4 Political history of the Five Dynasties                          202
+
+(B) _Period of Moderate Absolutism_
+
+(1) _The Northern Sung dynasty_
+
+1 Southward expansion                                              208
+2 Administration and army. Inflation                               210
+3 Reforms and Welfare schemes                                      215
+4 Cultural situation (philosophy, religion, literature, painting)  217
+5 Military collapse                                                221
+
+(2) _The Liao (Kitan) dynasty in the north_ (937-1125)
+
+1 Sociological structure. Claim to the Chinese imperial
+  throne                                                           222
+2 The State of the Kara-Kitai                                      223
+
+(3) _The Hsi-Hsia State in the north_ (1038-1227)
+
+1 Continuation of Turkish traditions                               224
+
+(4) _The empire of the Southern Sung dynasty_ (1127-1279)
+
+1 Foundation                                                       225
+2 Internal situation                                               226
+3 Cultural situation; reasons for the collapse                     227
+
+(5) _The empire of the Juchen in the north_ (1115-1234)
+
+1 Rapid expansion from northern Korea to the Yangtze               229
+2 United front of all Chinese                                      229
+3 Start of the Mongol empire                                       230
+
+
+Chapter X: THE PERIOD OF ABSOLUTISM
+
+(A) _The Mongol Epoch_ (1280-1368)
+
+1 Beginning of new foreign rules                                   232
+2 "Nationality legislation"                                        233
+3 Military position                                                234
+4 Social situation                                                 235
+5 Popular risings: National rising                                 238
+6 Cultural                                                         241
+
+(B) _The Ming Epoch_ (1368-1644)
+
+1 Start. National feeling                                          243
+2 Wars against Mongols and Japanese                                244
+3 Social legislation within the existing order                     246
+4 Colonization and agricultural developments                       248
+5 Commercial and industrial developments                           250
+6 Growth of the small gentry                                       252
+7 Literature, art, crafts                                          253
+8 Politics at court                                                256
+9 Navy. Southward expansion                                        258
+10 Struggles between cliques                                       259
+11 Risings                                                         262
+12 Machiavellism                                                   263
+13 Foreign relations in the sixteenth century                      264
+14 External and internal perils                                    266
+
+(C) _The Manchu Dynasty_ (1644-1911)
+
+1 Installation of the Manchus                                      270
+2 Decline in the eighteenth century                                272
+3 Expansion in Central Asia; the first State treaty                277
+4 Culture                                                          279
+5 Relations with the outer world                                   282
+6 Decline; revolts                                                 284
+7 European Imperialism in the Far East                             285
+8 Risings in Turkestan and within China: the T'ai P'ing Rebellion  288
+9 Collision with Japan; further Capitulations                      294
+10 Russia in Manchuria                                             296
+11 Reform and reaction: The Boxer Rising                           296
+12 End of the dynasty                                              299
+
+
+Chapter XI: THE REPUBLIC (1912-1948)
+
+1 Social and intellectual position                                 303
+2 First period of the Republic: The warlords                       309
+3 Second period of the Republic: Nationalist China                 314
+4 The Sino-Japanese war (1937-1945)                                317
+
+
+Chapter XII: PRESENT-DAY CHINA
+
+1 The growth of communism                                          320
+2 Nationalist China in Taiwan                                      323
+3 Communist China                                                  327
+
+
+Notes and References                                               335
+
+Index                                                              355
+
+
+
+
+ILLUSTRATIONS
+
+
+1 Painted pottery from Kansu: Neolithic. _Facing page_              48
+_In the collection of the Museum fuer Voelkerkunde, Berlin_.
+
+2 Ancient bronze tripod found at Anyang.                            49
+_From G. Ecke: Fruehe chinesische Bronzen aus der Sammlung
+Oskar Trautmann, Peking 1939 plate 3._
+
+3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style.                                  64
+_From V. Griessmaier: Sammlung Baron Eduard von der
+Heydt, Vienna 1936, illustration No. 6._
+
+4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz'u.                                                      64
+_From a print in the author's possession_.
+
+5 Part of the "Great Wall".                                         65
+_Photo Eberhard._
+
+6 Sun Ch'uean, ruler of Wu.                                         144
+_From a painting by Yen Li-pen (c. 640-680)._
+
+7 General view of the Buddhist cave-temples of Yuen-kang.
+In the foreground, the present village; in the background
+the rampart.                                                       145
+_Photo H. Hammer-Morrisson._
+
+8 Detail from the Buddhist cave-reliefs of Lungmen.                160
+_From a print in the author's possession._
+
+9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the "Great Buddha Temple" at Chengting (Hopei).                    161
+_Photo H. Hammer-Morrisson._
+
+10 Ladies of the Court: Clay models which accompanied
+the dead person to the grave. T'ang period.                        208
+_In the collection of the Museum fuer Voelkerkunde, Berlin._
+
+11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan.                                                209
+_Museum fuer Voelkerkunde, Berlin. No. 1B 4524, illustration
+B 408._
+
+12 Ancient tiled pagoda at Chengting (Hopei).                      224
+_Photo H. Hammer-Morrisson._
+
+13 Horse-training. Painting by Li Lung-mien. Late Sung
+period.                                                            225
+_Manchu Royal House Collection._
+
+14 Aborigines of South China, of the "Black Miao" tribe,
+at a festival. China-ink drawing of the eighteenth
+century.                                                           272
+_Collection of the Museum fuer Voelkerkunde, Berlin. No. 1D
+8756, 68._
+
+15 Pavilion on the "Coal Hill" at Peking, in which the last
+Ming emperor committed suicide.                                    273
+_Photo Eberhard._
+
+16 The imperial summer palace of the Manchu rulers, at
+Jehol.                                                             288
+_Photo H. Hammer-Morrisson._
+
+17 Tower on the city wall of Peking.                               289
+_Photo H. Hammer-Morrisson._
+
+
+
+
+MAPS
+
+
+1 Regions of the principal local cultures in prehistoric
+times                                                               13
+
+2 The principal feudal States in the feudal epoch (roughly
+722-481 B.C.)                                                       39
+
+3 China in the struggle with the Huns or Hsiung-nu
+(roughly 128-100 B.C.)                                              87
+
+4 The Toba empire (about A.D. 500)                                 141
+
+5 The T'ang realm (about A.D. 750)                                 171
+
+6 The State of the Later T'ang dynasty (923-935)                   205
+
+
+
+
+INTRODUCTION
+
+
+There are indeed enough Histories of China already: why yet another one?
+Because the time has come for new departures; because we need to clear
+away the false notions with which the general public is constantly being
+fed by one author after another; because from time to time syntheses
+become necessary for the presentation of the stage reached by research.
+
+Histories of China fall, with few exceptions, into one or the other of
+two groups, pro-Chinese and anti-Chinese: the latter used to
+predominate, but today the former type is much more frequently found. We
+have no desire to show that China's history is the most glorious or her
+civilization the oldest in the world. A claim to the longest history
+does not establish the greatness of a civilization; the importance of a
+civilization becomes apparent in its achievements. A thousand years ago
+China's civilization towered over those of the peoples of Europe. Today
+the West is leading; tomorrow China may lead again. We need to realize
+how China became what she is, and to note the paths pursued by the
+Chinese in human thought and action. The lives of emperors, the great
+battles, this or the other famous deed, matter less to us than the
+discovery of the great forces that underlie these features and govern
+the human element. Only when we have knowledge of those forces and
+counter-forces can we realize the significance of the great
+personalities who have emerged in China; and only then will the history
+of China become intelligible even to those who have little knowledge of
+the Far East and can make nothing of a mere enumeration of dynasties and
+campaigns.
+
+Views on China's history have radically changed in recent years. Until
+about thirty years ago our knowledge of the earliest times in China
+depended entirely on Chinese documents of much later date; now we are
+able to rely on many excavations which enable us to check the written
+sources. Ethnological, anthropological, and sociological research has
+begun for China and her neighbours; thus we are in a position to write
+with some confidence about the making of China, and about her ethnical
+development, where formerly we could only grope in the dark. The claim
+that "the Chinese race" produced the high Chinese civilization entirely
+by its own efforts, thanks to its special gifts, has become just as
+untenable as the other theory that immigrants from the West, some
+conceivably from Europe, carried civilization to the Far East. We know
+now that in early times there was no "Chinese race", there were not even
+"Chinese", just as there were no "French" and no "Swiss" two thousand
+years ago. The "Chinese" resulted from the amalgamation of many separate
+peoples of different races in an enormously complicated and
+long-drawn-out process, as with all the other high civilizations of the
+world.
+
+The picture of ancient and medieval China has also been entirely changed
+since it has been realized that the sources on which reliance has always
+been placed were not objective, but deliberately and emphatically
+represented a particular philosophy. The reports on the emperors and
+ministers of the earliest period are not historical at all, but served
+as examples of ideas of social policy or as glorifications of particular
+noble families. Myths such as we find to this day among China's
+neighbours were made into history; gods were made men and linked
+together by long family trees. We have been able to touch on all these
+things only briefly, and have had to dispense with any account of the
+complicated processes that have taken place here.
+
+The official dynastic histories apply to the course of Chinese history
+the criterion of Confucian ethics; for them history is a textbook of
+ethics, designed to show by means of examples how the man of high
+character should behave or not behave. We have to go deeper, and try to
+extract the historic truth from these records. Many specialized studies
+by Chinese, Japanese, and Western scholars on problems of Chinese
+history are now available and of assistance in this task. However, some
+Chinese writers still imagine that they are serving their country by yet
+again dishing up the old fables for the foreigner as history; and some
+Europeans, knowing no better or aiming at setting alongside the
+unedifying history of Europe the shining example of the conventional
+story of China, continue in the old groove. To this day, of course, we
+are far from having really worked through every period of Chinese
+history; there are long periods on which scarcely any work has yet been
+done. Thus the picture we are able to give today has no finality about
+it and will need many modifications. But the time has come for a new
+synthesis, so that criticism may proceed along the broadest possible
+front and push our knowledge further forward.
+
+The present work is intended for the general reader and not for the
+specialist, who will devote his attention to particular studies and to
+the original texts. In view of the wide scope of the work, I have had to
+confine myself to placing certain lines of thought in the foreground and
+paying less attention to others. I have devoted myself mainly to showing
+the main lines of China's social and cultural development down to the
+present day. But I have also been concerned not to leave out of account
+China's relations with her neighbours. Now that we have a better
+knowledge of China's neighbours, the Turks, Mongols, Tibetans, Tunguses,
+Tai, not confined to the narratives of Chinese, who always speak only of
+"barbarians", we are better able to realize how closely China has been
+associated with her neighbours from the first day of her history to the
+present time; how greatly she is indebted to them, and how much she has
+given them. We no longer see China as a great civilization surrounded by
+barbarians, but we study the Chinese coming to terms with their
+neighbours, who had civilizations of quite different types but
+nevertheless developed ones.
+
+It is usual to split up Chinese history under the various dynasties that
+have ruled China or parts thereof. The beginning or end of a dynasty
+does not always indicate the beginning or the end of a definite period
+of China's social or cultural development. We have tried to break
+China's history down into the three large periods--"Antiquity", "The
+Middle Ages", and "Modern Times". This does not mean that we compare
+these periods with periods of the same name in Western history although,
+naturally, we find some similarities with the development of society and
+culture in the West. Every attempt towards periodization is to some
+degree arbitrary: the beginning and end of the Middle Ages, for
+instance, cannot be fixed to a year, because development is a continuous
+process. To some degree any periodization is a matter of convenience,
+and it should be accepted as such.
+
+The account of Chinese history here given is based on a study of the
+original documents and excavations, and on a study of recent research
+done by Chinese, Japanese and Western scholars, including my own
+research. In many cases, these recent studies produced new data or
+arranged new data in a new way without an attempt to draw general
+conclusions. By putting such studies together, by fitting them into the
+pattern that already existed, new insights into social and cultural
+processes have been gained. The specialist in the field will, I hope,
+easily recognize the sources, primary or secondary, on which such new
+insights represented in this book are based. Brief notes are appended
+for each chapter; they indicate the most important works in English and
+provide the general reader with an opportunity of finding further
+information on the problems touched on. For the specialist brief hints
+to international research are given, mainly in cases in which different
+interpretations have been proposed.
+
+Chinese words are transcribed according to the Wade-Giles system with
+the exception of names for which already a popular way of transcription
+exists (such as Peking). Place names are written without hyphen, if they
+remain readable.
+
+
+
+
+THE EARLIEST TIMES
+
+
+
+
+Chapter One
+
+PREHISTORY
+
+
+1 _Sources for the earliest history_
+
+Until recently we were dependent for the beginnings of Chinese history
+on the written Chinese tradition. According to these sources China's
+history began either about 4000 B.C. or about 2700 B.C. with a
+succession of wise emperors who "invented" the elements of a
+civilization, such as clothing, the preparation of food, marriage, and a
+state system; they instructed their people in these things, and so
+brought China, as early as in the third millennium B.C., to an
+astonishingly high cultural level. However, all we know of the origin of
+civilizations makes this of itself entirely improbable; no other
+civilization in the world originated in any such way. As time went on,
+Chinese historians found more and more to say about primeval times. All
+these narratives were collected in the great imperial history that
+appeared at the beginning of the Manchu epoch. That book was translated
+into French, and all the works written in Western languages until recent
+years on Chinese history and civilization have been based in the last
+resort on that translation.
+
+Modern research has not only demonstrated that all these accounts are
+inventions of a much later period, but has also shown _why_ such
+narratives were composed. The older historical sources make no mention
+of any rulers before 2200 B.C., no mention even of their names. The
+names of earlier rulers first appear in documents of about 400 B.C.; the
+deeds attributed to them and the dates assigned to them often do not
+appear until much later. Secondly, it was shown that the traditional
+chronology is wrong and another must be adopted, reducing all the dates
+for the more ancient history, before 900 B.C. Finally, all narratives
+and reports from China's earliest period have been dealt a mortal blow
+by modern archaeology, with the excavations of recent years. There was
+no trace of any high civilization in the third millennium B.C., and,
+indeed, we can only speak of a real "Chinese civilization" from 1300
+B.C. onward. The peoples of the China of that time had come from the
+most varied sources; from 1300 B.C. they underwent a common process of
+development that welded them into a new unity. In this sense and
+emphasizing the cultural aspects, we are justified in using from then on
+a new name, "Chinese", for the peoples of China. Those sections,
+however, of their ancestral populations who played no part in the
+subsequent cultural and racial fusion, we may fairly call "non-Chinese".
+This distinction answers the question that continually crops up, whether
+the Chinese are "autochthonons". They are autochthonons in the sense
+that they formed a unit in the Far East, in the geographical region of
+the present China, and were not immigrants from the Middle East.
+
+
+2 _The Peking Man_
+
+Man makes his appearance in the Far East at a time when remains in other
+parts of the world are very rare and are disputed. He appears as the
+so-called "Peking Man", whose bones were found in caves of
+Chou-k'ou-tien south of Peking. The Peking Man is vastly different from
+the men of today, and forms a special branch of the human race, closely
+allied to the Pithecanthropus of Java. The formation of later races of
+mankind from these types has not yet been traced, if it occurred at all.
+Some anthropologists consider, however, that the Peking Man possessed
+already certain characteristics peculiar to the yellow race.
+
+The Peking Man lived in caves; no doubt he was a hunter, already in
+possession of very simple stone implements and also of the art of making
+fire. As none of the skeletons so far found are complete, it is assumed
+that he buried certain bones of the dead in different places from the
+rest. This burial custom, which is found among primitive peoples in
+other parts of the world, suggests the conclusion that the Peking Man
+already had religious notions. We have no knowledge yet of the length of
+time the Peking Man may have inhabited the Far East. His first traces
+are attributed to a million years ago, and he may have flourished in
+500,000 B.C.
+
+
+3 _The Palaeolithic Age_
+
+After the period of the Peking Man there comes a great gap in our
+knowledge. All that we know indicates that at the time of the Peking Man
+there must have been a warmer and especially a damper climate in North
+China and Inner Mongolia than today. Great areas of the Ordos region,
+now dry steppe, were traversed in that epoch by small rivers and lakes
+beside which men could live. There were elephants, rhinoceroses, extinct
+species of stag and bull, even tapirs and other wild animals. About
+50,000 B.C. there lived by these lakes a hunting people whose stone
+implements (and a few of bone) have been found in many places. The
+implements are comparable in type with the palaeolithic implements of
+Europe (Mousterian type, and more rarely Aurignacian or even
+Magdalenian). They are not, however, exactly like the European
+implements, but have a character of their own. We do not yet know what
+the men of these communities looked like, because as yet no indisputable
+human remains have been found. All the stone implements have been found
+on the surface, where they have been brought to light by the wind as it
+swept away the loess. These stone-age communities seem to have lasted a
+considerable time and to have been spread not only over North China but
+over Mongolia and Manchuria. It must not be assumed that the stone age
+came to an end at the same time everywhere. Historical accounts have
+recorded, for instance, that stone implements were still in use in
+Manchuria and eastern Mongolia at a time when metal was known and used
+in western Mongolia and northern China. Our knowledge about the
+palaeolithic period of Central and South China is still extremely
+limited; we have to wait for more excavations before anything can be
+said. Certainly, many implements in this area were made of wood or more
+probably bamboo, such as we still find among the non-Chinese tribes of
+the south-west and of South-East Asia. Such implements, naturally, could
+not last until today.
+
+About 25,000 B.C. there appears in North China a new human type, found
+in upper layers in the same caves that sheltered Peking Man. This type
+is beyond doubt not Mongoloid, and may have been allied to the Ainu, a
+non-Mongol race still living in northern Japan. These, too, were a
+palaeolithic people, though some of their implements show technical
+advance. Later they disappear, probably because they were absorbed into
+various populations of central and northern Asia. Remains of them have
+been found in badly explored graves in northern Korea.
+
+
+4 _The Neolithic age_
+
+In the period that now followed, northern China must have gradually
+become arid, and the formation of loess seems to have steadily advanced.
+There is once more a great gap in our knowledge until, about 4000 B.C.,
+we can trace in North China a purely Mongoloid people with a neolithic
+culture. In place of hunters we find cattle breeders, who are even to
+some extent agriculturists as well. This may seem an astonishing
+statement for so early an age. It is a fact, however, that pure pastoral
+nomadism is exceptional, that normal pastoral nomads have always added a
+little farming to their cattle-breeding, in order to secure the needed
+additional food and above all fodder, for the winter.
+
+At this time, about 4000 B.C., the other parts of China come into view.
+The neolithic implements of the various regions of the Far East are far
+from being uniform; there are various separate cultures. In the
+north-west of China there is a system of cattle-breeding combined with
+agriculture, a distinguishing feature being the possession of finely
+polished axes of rectangular section, with a cutting edge. Farther east,
+in the north and reaching far to the south, is found a culture with axes
+of round or oval section. In the south and in the coastal region from
+Nanking to Tonking, Yuennan to Fukien, and reaching as far as the coasts
+of Korea and Japan, is a culture with so-called shoulder-axes. Szechwan
+and Yuennan represented a further independent culture.
+
+All these cultures were at first independent. Later the shoulder-axe
+culture penetrated as far as eastern India. Its people are known to
+philological research as Austroasiatics, who formed the original stock
+of the Australian aborigines; they survived in India as the Munda
+tribes, in Indo-China as the Mon-Khmer, and also remained in pockets on
+the islands of Indonesia and especially Melanesia. All these peoples had
+migrated from southern China. The peoples with the oval-axe culture are
+the so-called Papuan peoples in Melanesia; they, too, migrated from
+southern China, probably before the others. Both groups influenced the
+ancient Japanese culture. The rectangular-axe culture of north-west
+China spread widely, and moved southward, where the Austronesian peoples
+(from whom the Malays are descended) were its principal constituents,
+spreading that culture also to Japan.
+
+Thus we see here, in this period around 4000 B.C., an extensive mutual
+penetration of the various cultures all over the Far East, including
+Japan, which in the palaeolithic age was apparently without or almost
+without settlers.
+
+
+5 _The eight principal prehistoric cultures_
+
+In the period roughly around 2500 B.C. the general historical view
+becomes much clearer. Thanks to a special method of working, making use
+of the ethnological sources available from later times together with the
+archaeological sources, much new knowledge has been gained in recent
+years. At this time there is still no trace of a Chinese realm; we find
+instead on Chinese soil a considerable number of separate local
+cultures, each developing on its own lines. The chief of these cultures,
+acquaintance with which is essential to a knowledge of the whole later
+development of the Far East, are as follows:
+
+(a) _The north-east culture_, centred in the present provinces of Hopei
+(in which Peking lies), Shantung, and southern Manchuria. The people of
+this culture were ancestors of the Tunguses, probably mixed with an
+element that is contained in the present-day Paleo-Siberian tribes.
+These men were mainly hunters, but probably soon developed a little
+primitive agriculture and made coarse, thick pottery with certain basic
+forms which were long preserved in subsequent Chinese pottery (for
+instance, a type of the so-called tripods). Later, pig-breeding became
+typical of this culture.
+
+(b) _The northern culture_ existed to the west of that culture, in the
+region of the present Chinese province of Shansi and in the province of
+Jehol in Inner Mongolia. These people had been hunters, but then became
+pastoral nomads, depending mainly on cattle. The people of this culture
+were the tribes later known as Mongols, the so-called proto-Mongols.
+Anthropologically they belonged, like the Tunguses, to the Mongol race.
+
+(c) The people of the culture farther west, the _north-west culture_,
+were not Mongols. They, too, were originally hunters, and later became a
+pastoral people, with a not inconsiderable agriculture (especially
+growing wheat and millet). The typical animal of this group soon became
+the horse. The horse seems to be the last of the great animals to be
+domesticated, and the date of its first occurrence in domesticated form
+in the Far East is not yet determined, but we can assume that by 2500
+B.C. this group was already in the possession of horses. The horse has
+always been a "luxury", a valuable animal which needed special care. For
+their economic needs, these tribes depended on other animals, probably
+sheep, goats, and cattle. The centre of this culture, so far as can be
+ascertained from Chinese sources, were the present provinces of Shensi
+and Kansu, but mainly only the plains. The people of this culture were
+most probably ancestors of the later Turkish peoples. It is not
+suggested, of course, that the original home of the Turks lay in the
+region of the Chinese provinces of Shensi and Kansu; one gains the
+impression, however, that this was a border region of the Turkish
+expansion; the Chinese documents concerning that period do not suffice
+to establish the centre of the Turkish territory.
+
+(d) In the _west_, in the present provinces of Szechwan and in all the
+mountain regions of the provinces of Kansu and Shensi, lived the
+ancestors of the Tibetan peoples as another separate culture. They were
+shepherds, generally wandering with their flocks of sheep and goats on
+the mountain heights.
+
+(e) In the _south_ we meet with four further cultures. One is very
+primitive, the Liao culture, the peoples of which are the Austroasiatics
+already mentioned. These are peoples who never developed beyond the
+stage of primitive hunters, some of whom were not even acquainted with
+the bow and arrow. Farther east is the Yao culture, an early
+Austronesian culture, the people of which also lived in the mountains,
+some as collectors and hunters, some going over to a simple type of
+agriculture (denshiring). They mingled later with the last great culture
+of the south, the Tai culture, distinguished by agriculture. The people
+lived in the valleys and mainly cultivated rice.
+
+The origin of rice is not yet known; according to some scholars, rice
+was first cultivated in the area of present Burma and was perhaps at
+first a perennial plant. Apart from the typical rice which needs much
+water, there were also some strains of dry rice which, however, did not
+gain much importance. The centre of this Tai culture may have been in
+the present provinces of Kuangtung and Kuanghsi. Today, their
+descendants form the principal components of the Tai in Thailand, the
+Shan in Burma and the Lao in Laos. Their immigration into the areas of
+the Shan States of Burma and into Thailand took place only in quite
+recent historical periods, probably not much earlier than A.D. 1000.
+
+Finally there arose from the mixture of the Yao with the Tai culture, at
+a rather later time, the Yueeh culture, another early Austronesian
+culture, which then spread over wide regions of Indonesia, and of which
+the axe of rectangular section, mentioned above, became typical.
+
+Thus, to sum up, we may say that, quite roughly, in the middle of the
+third millennium we meet in the _north_ and west of present-day China
+with a number of herdsmen cultures. In the _south_ there were a number
+of agrarian cultures, of which the Tai was the most powerful, becoming
+of most importance to the later China. We must assume that these
+cultures were as yet undifferentiated in their social composition, that
+is to say that as yet there was no distinct social stratification, but
+at most beginnings of class-formation, especially among the nomad
+herdsmen.
+
+
+6 _The Yang-shao culture_
+
+The various cultures here described gradually penetrated one another,
+especially at points where they met. Such a process does not yield a
+simple total of the cultural elements involved; any new combination
+produces entirely different conditions with corresponding new results
+which, in turn, represent the characteristics of the culture that
+supervenes. We can no longer follow this process of penetration in
+detail; it need not by any means have been always warlike. Conquest of
+one group by another was only one way of mutual cultural penetration. In
+other cases, a group which occupied the higher altitudes and practised
+hunting or slash-and-burn agriculture came into closer contacts with
+another group in the valleys which practised some form of higher
+agriculture; frequently, such contacts resulted in particular forms of
+division of labour in a unified and often stratified new form of
+society. Recent and present developments in South-East Asia present a
+number of examples for such changes. Increase of population is certainly
+one of the most important elements which lead to these developments. The
+result, as a rule, was a stratified society being made up of at least
+one privileged and one ruled stratum. Thus there came into existence
+around 2000 B.C. some new cultures, which are well known
+archaeologically. The most important of these are the Yang-shao culture
+in the west and the Lung-shan culture in the east. Our knowledge of both
+these cultures is of quite recent date and there are many enigmas still
+to be cleared up.
+
+[Illustration: Map 1. Regions of the principal local cultures in
+prehistoric times. _Local cultures of minor importance have not been
+shown._]
+
+The _Yang-shao culture_ takes its name from a prehistoric settlement in
+the west of the present province of Honan, where Swedish investigators
+discovered it. Typical of this culture is its wonderfully fine pottery,
+apparently used as gifts to the dead. It is painted in three colours,
+white, red, and black. The patterns are all stylized, designs copied
+from nature being rare. We are now able to divide this painted pottery
+into several sub-types of specific distribution, and we know that this
+style existed from _c_. 2200 B.C. on. In general, it tends to disappear
+as does painted pottery in other parts of the world with the beginning
+of urban civilization and the invention of writing. The typical
+Yang-shao culture seems to have come to an end around 1600 or 1500 B.C.
+It continued in some more remote areas, especially of Kansu, perhaps to
+about 700 B.C. Remnants of this painted pottery have been found over a
+wide area from Southern Manchuria, Hopei, Shansi, Honan, Shensi to
+Kansu; some pieces have also been discovered in Sinkiang. Thus far, it
+seems that it occurred mainly in the mountainous parts of North and
+North-West China. The people of this culture lived in villages near to
+the rivers and creeks. They had various forms of houses, including
+underground dwellings and animal enclosures. They practised some
+agriculture; some authors believe that rice was already known to them.
+They also had domesticated animals. Their implements were of stone with
+rare specimens of bone. The axes were of the rectangular type. Metal was
+as yet unknown, but seems to have been introduced towards the end of the
+period. They buried their dead on the higher elevations, and here the
+painted pottery was found. For their daily life, they used predominantly
+a coarse grey pottery.
+
+After the discovery of this culture, its pottery was compared with the
+painted pottery of the West, and a number of resemblances were found,
+especially with the pottery of the Lower Danube basin and that of Anau,
+in Turkestan. Some authors claim that such resemblances are fortuitous
+and believe that the older layers of this culture are to be found in the
+eastern part of its distribution and only the later layers in the west.
+It is, they say, these later stages which show the strongest
+resemblances with the West. Other authors believe that the painted
+pottery came from the West where it occurs definitely earlier than in
+the Far East; some investigators went so far as to regard the
+Indo-Europeans as the parents of that civilization. As we find people
+who spoke an Indo-European language in the Far East in a later period,
+they tend to connect the spread of painted pottery with the spread of
+Indo-European-speaking groups. As most findings of painted pottery in
+the Far East do not stem from scientific excavations it is difficult to
+make any decision at this moment. We will have to wait for more and
+modern excavations.
+
+From our knowledge of primeval settlement in West and North-West China
+we know, however, that Tibetan groups, probably mixed with Turkish
+elements, must have been the main inhabitants of the whole region in
+which this painted pottery existed. Whatever the origin of the painted
+pottery may be, it seems that people of these two groups were the main
+users of it. Most of the shapes of their pottery are not found in later
+Chinese pottery.
+
+
+7 _The Lung-shan culture_
+
+While the Yang-shao culture flourished in the mountain regions of
+northern and western China around 2000 B.C., there came into existence
+in the plains of eastern China another culture, which is called the
+Lung-shan culture, from the scene of the principal discoveries.
+Lung-shan is in the province of Shantung, near Chinan-fu. This culture,
+discovered only about twenty-five years ago, is distinguished by a black
+pottery of exceptionally fine quality and by a similar absence of metal.
+The pottery has a polished appearance on the exterior; it is never
+painted, and mostly without decoration; at most it may have incised
+geometrical patterns. The forms of the vessels are the same as have
+remained typical of Chinese pottery, and of Far Eastern pottery in
+general. To that extent the Lung-shan culture may be described as one of
+the direct predecessors of the later Chinese civilization.
+
+As in the West, we find in Lung-shan much grey pottery out of which
+vessels for everyday use were produced. This simple corded or matted
+ware seems to be in connection with Tunguse people who lived in the
+north-east. The people of the Lung-shan culture lived on mounds produced
+by repeated building on the ruins of earlier settlements, as did the
+inhabitants of the "Tells" in the Near East. They were therefore a
+long-settled population of agriculturists. Their houses were of mud, and
+their villages were surrounded with mud walls. There are signs that
+their society was stratified. So far as is known at present, this
+culture was spread over the present provinces of Shantung, Kiangsu,
+Chekiang, and Anhui, and some specimens of its pottery went as far as
+Honan and Shansi, into the region of the painted pottery. This culture
+lasted in the east until about 1600 B.C., with clear evidence of rather
+longer duration only in the south. As black pottery of a similar
+character occurs also in the Near East, some authors believe that it has
+been introduced into the Far East by another migration (Pontic
+migration) following that migration which supposedly brought the painted
+pottery. This theory has not been generally accepted because of the fact
+that typical black pottery is limited to the plains of East China; if it
+had been brought in from the West, we should expect to find it in
+considerable amounts also in West China. Ordinary black pottery can be
+simply the result of a special temperature in the pottery kiln; such
+pottery can be found almost everywhere. The typical thin, fine black
+pottery of Lung-shan, however, is in the Far East an eastern element,
+and migrants would have had to pass through the area of the painted
+pottery people without leaving many traces and without pushing their
+predecessors to the East. On the basis of our present knowledge we
+assume that the peoples of the Lung-shan culture were probably of Tai
+and Yao stocks together with some Tunguses.
+
+Recently, a culture of mound-dwellers in Eastern China has been
+discovered, and a southern Chinese culture of people with impressed or
+stamped pottery. This latter seems to be connected with the Yueeh tribes.
+As yet, no further details are known.
+
+
+8 _The first petty States in Shansi_
+
+At the time in which, according to archaeological research, the painted
+pottery flourished in West China, Chinese historical tradition has it
+that the semi-historical rulers, Yao and Shun, and the first official
+dynasty, the Hsia dynasty ruled over parts of China with a centre in
+southern Shansi. While we dismiss as political myths the Confucianist
+stories representing Yao and Shun as models of virtuous rulers, it may
+be that a small state existed in south-western Shansi under a chieftain
+Yao, and farther to the east another small state under a chieftain Shun,
+and that these states warred against each other until Yao's state was
+destroyed. These first small states may have existed around 2000 B.C.
+
+On the cultural scene we first find an important element of progress:
+bronze, in traces in the middle layers of the Yang-shao culture, about
+1800 B.C.; that element had become very widespread by 1400 B.C. The
+forms of the oldest weapons and their ornamentation show similarities
+with weapons from Siberia; and both mythology and other indications
+suggest that the bronze came into China from the north and was not
+produced in China proper. Thus, from the present state of our knowledge,
+it seems most correct to say that the bronze was brought to the Far East
+through the agency of peoples living north of China, such as the Turkish
+tribes who in historical times were China's northern neighbours (or
+perhaps only individual families or clans, the so-called smith families
+with whom we meet later in Turkish tradition), reaching the Chinese
+either through these people themselves or through the further agency of
+Mongols. At first the forms of the weapons were left unaltered. The
+bronze vessels, however, which made their appearance about 1450 B.C. are
+entirely different from anything produced in other parts of Asia; their
+ornamentation shows, on the one hand, elements of the so-called "animal
+style" which is typical of the steppe people of the Ordos area and of
+Central Asia. But most of the other elements, especially the "filling"
+between stylized designs, is recognizably southern (probably of the Tai
+culture), no doubt first applied to wooden vessels and vessels made from
+gourds, and then transferred to bronze. This implies that the art of
+casting bronze very soon spread from North China, where it was first
+practised by Turkish peoples, to the east and south, which quickly
+developed bronze industries of their own. There are few deposits of
+copper and tin in North China, while in South China both metals are
+plentiful and easily extracted, so that a trade in bronze from south to
+north soon set in.
+
+The origin of the Hsia state may have been a consequence of the progress
+due to bronze. The Chinese tradition speaks of the Hsia _dynasty_, but
+can say scarcely anything about it. The excavations, too, yield no
+clear conclusions, so that we can only say that it flourished at the
+time and in the area in which the painted pottery occurred, with a
+centre in south-west Shansi. We date this dynasty now somewhere between
+2000 and 1600 B.C. and believe that it was an agrarian culture with
+bronze weapons and pottery vessels but without the knowledge of the art
+of writing.
+
+
+
+
+Chapter Two
+
+THE SHANG DYNASTY (_c._ 1600-1028 B.C.)
+
+
+1 _Period, origin, material culture_
+
+About 1600 B.C. we come at last into the realm of history. Of the Shang
+dynasty, which now followed, we have knowledge both from later texts and
+from excavations and the documents they have brought to light. The Shang
+civilization, an evident off-shoot of the Lung-shan culture (Tai, Yao,
+and Tunguses), but also with elements of the Hsia culture (with Tibetan
+and Mongol and/or Turkish elements), was beyond doubt a high
+civilization. Of the origin of the Shang _State_ we have no details, nor
+do we know how the Hsia culture passed into the Shang culture.
+
+The central territory of the Shang realm lay in north-western Honan,
+alongside the Shansi mountains and extending into the plains. It was a
+peasant civilization with towns. One of these towns has been excavated.
+It adjoined the site of the present town of Anyang, in the province of
+Honan. The town, the Shang capital from _c._ 1300 to 1028 B.C., was
+probably surrounded by a mud wall, as were the settlements of the
+Lung-shan people. In the centre was what evidently was the ruler's
+palace. Round this were houses probably inhabited by artisans; for the
+artisans formed a sort of intermediate class, as dependents of the
+ruling class. From inscriptions we know that the Shang had, in addition
+to their capital, at least two other large cities and many smaller
+town-like settlements and villages. The rectangular houses were built in
+a style still found in Chinese houses, except that their front did not
+always face south as is now the general rule. The Shang buried their
+kings in large, subterranean, cross-shaped tombs outside the city, and
+many implements, animals and human sacrifices were buried together with
+them. The custom of large burial mounds, which later became typical of
+the Chou dynasty, did not yet exist.
+
+The Shang had sculptures in stone, an art which later more or less
+completely disappeared and which was resuscitated only in post-Christian
+times under the influence of Indian Buddhism. Yet, Shang culture cannot
+well be called a "megalithic" culture. Bronze implements and especially
+bronze vessels were cast in the town. We even know the trade marks of
+some famous bronze founders. The bronze weapons are still similar to
+those from Siberia, and are often ornamented in the so-called "animal
+style", which was used among all the nomad peoples between the Ordos
+region and Siberia until the beginning of the Christian era. On the
+other hand, the famous bronze vessels are more of southern type, and
+reveal an advanced technique that has scarcely been excelled since.
+There can be no doubt that the bronze vessels were used for religious
+service and not for everyday life. For everyday use there were
+earthenware vessels. Even in the middle of the first millennium B.C.,
+bronze was exceedingly dear, as we know from the records of prices.
+China has always suffered from scarcity of metal. For that reason metal
+was accumulated as capital, entailing a further rise in prices; when
+prices had reached a sufficient height, the stocks were thrown on the
+market and prices fell again. Later, when there was a metal coinage,
+this cycle of inflation and deflation became still clearer. The metal
+coinage was of its full nominal value, so that it was possible to coin
+money by melting down bronze implements. As the money in circulation was
+increased in this way, the value of the currency fell. Then it paid to
+turn coin into metal implements. This once more reduced the money in
+circulation and increased the value of the remaining coinage. Thus
+through the whole course of Chinese history the scarcity of metal and
+insufficiency of production of metal continually produced extensive
+fluctuations of the stocks and the value of metal, amounting virtually
+to an economic law in China. Consequently metal implements were never
+universally in use, and vessels were always of earthenware, with the
+further result of the early invention of porcelain. Porcelain vessels
+have many of the qualities of metal ones, but are cheaper.
+
+The earthenware vessels used in this period are in many cases already
+very near to porcelain: there was a pottery of a brilliant white,
+lacking only the glaze which would have made it into porcelain. Patterns
+were stamped on the surface, often resembling the patterns on bronze
+articles. This ware was used only for formal, ceremonial purposes. For
+daily use there was also a perfectly simple grey pottery.
+
+Silk was already in use at this time. The invention of sericulture must
+therefore have dated from very ancient times in China. It undoubtedly
+originated in the south of China, and at first not only the threads
+spun by the silkworm but those made by other caterpillars were also
+used. The remains of silk fabrics that have been found show already an
+advanced weaving technique. In addition to silk, various plant fibres,
+such as hemp, were in use. Woollen fabrics do not seem to have been yet
+used.
+
+The Shang were agriculturists, but their implements were still rather
+primitive. There was no real plough yet; hoes and hoe-like implements
+were used, and the grain, mainly different kinds of millet and some
+wheat, was harvested with sickles. The materials, from which these
+implements were made, were mainly wood and stone; bronze was still too
+expensive to be utilized by the ordinary farmer. As a great number of
+vessels for wine in many different forms have been excavated, we can
+assume that wine, made from special kinds of millet, was a popular
+drink.
+
+The Shang state had its centre in northern Honan, north of the Yellow
+river. At various times, different towns were made into the capital
+city; Yin-ch'ue, their last capital and the only one which has been
+excavated, was their sixth capital. We do not know why the capitals were
+removed to new locations; it is possible that floods were one of the
+main reasons. The area under more or less organized Shang control
+comprised towards the end of the dynasty the present provinces of Honan,
+western Shantung, southern Hopei, central and south Shansi, east Shensi,
+parts of Kiangsu and Anhui. We can only roughly estimate the size of the
+population of the Shang state. Late texts say that at the time of the
+annihilation of the dynasty, some 3.1 million free men and 1.1 million
+serfs were captured by the conquerors; this would indicate a population
+of at least some 4-5 millions. This seems a possible number, if we
+consider that an inscription of the tenth century B.C. which reports
+about an ordinary war against a small and unimportant western neighbour,
+speaks of 13,081 free men and 4,812 serfs taken as prisoners.
+
+Inscriptions mention many neighbours of the Shang with whom they were in
+more or less continuous state of war. Many of these neighbours can now
+be identified. We know that Shansi at that time was inhabited by Ch'iang
+tribes, belonging to the Tibetan culture, as well as by Ti tribes,
+belonging to the northern culture, and by Hsien-yuen and other tribes,
+belonging to the north-western culture; the centre of the Ch'iang tribes
+was more in the south-west of Shansi and in Shensi. Some of these tribes
+definitely once formed a part of the earlier Hsia state. The
+identification of the eastern neighbours of the Shang presents more
+difficulties. We might regard them as representatives of the Tai and Yao
+cultures.
+
+
+2 _Writing and Religion_
+
+Not only the material but also the intellectual level attained in the
+Shang period was very high. We meet for the first time with
+writing--much later than in the Middle East and in India. Chinese
+scholars have succeeded in deciphering some of the documents discovered,
+so that we are able to learn a great deal from them. The writing is a
+rudimentary form of the present-day Chinese script, and like it a
+pictorial writing, but also makes use, as today, of many phonetic signs.
+There were, however, a good many characters that no longer exist, and
+many now used are absent. There were already more than 3,000 characters
+in use of which some 1,000 can now be read. (Today newspapers use some
+3,000 characters; scholars have command of up to 8,000; the whole of
+Chinese literature, ancient and modern, comprises some 50,000
+characters.) With these 3,000 characters the Chinese of the Shang period
+were able to express themselves well.
+
+The still existing fragments of writing of this period are found almost
+exclusively on tortoiseshells or on other bony surfaces, and they
+represent oracles. As early as in the Lung-shan culture there was
+divination by means of "oracle bones", at first without written
+characters. In the earliest period any bones of animals (especially
+shoulder-bones) were used; later only tortoiseshell. For the purpose of
+the oracle a depression was burnt in the shell so that cracks were
+formed on the other side, and the future was foretold from their
+direction. Subsequently particular questions were scratched on the
+shells, and the answers to them; these are the documents that have come
+down to us. In Anyang tens of thousands of these oracle bones with
+inscriptions have been found. The custom of asking the oracle and of
+writing the answers on the bones spread over the borders of the Shang
+state and continued in some areas after the end of the dynasty.
+
+The bronze vessels of later times often bear long inscriptions, but
+those of the Shang period have only very brief texts. On the other hand,
+they are ornamented with pictures, as yet largely unintelligible, of
+countless deities, especially in the shape of animals or birds--pictures
+that demand interpretation. The principal form on these bronzes is that
+of the so-called T'ao-t'ieh, a hybrid with the head of a water-buffalo
+and tiger's teeth.
+
+The Shang period had a religion with many nature deities, especially
+deities of fertility. There was no systematized pantheon, different
+deities being revered in each locality, often under the most varied
+names. These various deities were, however, similar in character, and
+later it occurred often that many of them were combined by the priests
+into a single god. The composite deities thus formed were officially
+worshipped. Their primeval forms lived on, however, especially in the
+villages, many centuries longer than the Shang dynasty. The sacrifices
+associated with them became popular festivals, and so these gods or
+their successors were saved from oblivion; some of them have lived on in
+popular religion to the present day. The supreme god of the official
+worship was called Shang Ti; he was a god of vegetation who guided all
+growth and birth and was later conceived as a forefather of the races of
+mankind. The earth was represented as a mother goddess, who bore the
+plants and animals procreated by Shang Ti. In some parts of the Shang
+realm the two were conceived as a married couple who later were parted
+by one of their children. The husband went to heaven, and the rain is
+the male seed that creates life on earth. In other regions it was
+supposed that in the beginning of the world there was a world-egg, out
+of which a primeval god came, whose body was represented by the earth:
+his hair formed the plants, and his limbs the mountains and valleys.
+Every considerable mountain was also itself a god and, similarly, the
+river god, the thunder god, cloud, lightning, and wind gods, and many
+others were worshipped.
+
+In order to promote the fertility of the earth, it was believed that
+sacrifices must be offered to the gods. Consequently, in the Shang realm
+and the regions surrounding it there were many sorts of human
+sacrifices; often the victims were prisoners of war. One gains the
+impression that many wars were conducted not as wars of conquest but
+only for the purpose of capturing prisoners, although the area under
+Shang control gradually increased towards the west and the south-east, a
+fact demonstrating the interest in conquest. In some regions men lurked
+in the spring for people from other villages; they slew them, sacrificed
+them to the earth, and distributed portions of the flesh of the
+sacrifice to the various owners of fields, who buried them. At a later
+time all human sacrifices were prohibited, but we have reports down to
+the eleventh century A.D., and even later, that such sacrifices were
+offered secretly in certain regions of central China. In other regions a
+great boat festival was held in the spring, to which many crews came
+crowded in long narrow boats. At least one of the boats had to capsize;
+the people who were thus drowned were a sacrifice to the deities of
+fertility. This festival has maintained its fundamental character to
+this day, in spite of various changes. The same is true of other
+festivals, customs, and conceptions, vestiges of which are contained at
+least in folklore.
+
+In addition to the nature deities which were implored to give fertility,
+to send rain, or to prevent floods and storms, the Shang also
+worshipped deceased rulers and even dead ministers as a kind of
+intermediaries between man and the highest deity, Shang Ti. This
+practice may be regarded as the forerunner of "ancestral worship" which
+became so typical of later China.
+
+
+3 _Transition to feudalism_
+
+At the head of the Shang state was a king, posthumously called a "Ti",
+the same word as in the name of the supreme god. We have found on bones
+the names of all the rulers of this dynasty and even some of their
+pre-dynastic ancestors. These names can be brought into agreement with
+lists of rulers found in the ancient Chinese literature. The ruler seems
+to have been a high priest, too; and around him were many other priests.
+We know some of them now so well from the inscriptions that their
+biographies could be written. The king seems to have had some kind of
+bureaucracy. There were "ch'en", officials who served the ruler
+personally, as well as scribes and military officials. The basic army
+organization was in units of one hundred men which were combined as
+"right", "left" and "central" units into an army of 300 men. But it
+seems that the central power did not extend very far. In the more
+distant parts of the realm were more or less independent lords, who
+recognized the ruler only as their supreme lord and religious leader. We
+may describe this as an early, loose form of the feudal system, although
+the main element of real feudalism was still absent. The main
+obligations of these lords were to send tributes of grain, to
+participate with their soldiers in the wars, to send tortoise shells to
+the capital to be used there for oracles, and to send occasionally
+cattle and horses. There were some thirty such dependent states.
+Although we do not know much about the general population, we know that
+the rulers had a patrilinear system of inheritance. After the death of
+the ruler his brothers followed him on the throne, the older brothers
+first. After the death of all brothers, the sons of older or younger
+brothers became rulers. No preference was shown to the son of the oldest
+brother, and no preference between sons of main or of secondary wives is
+recognizable. Thus, the Shang patrilinear system was much less extreme
+than the later system. Moreover, the deceased wives of the rulers played
+a great role in the cult, another element which later disappeared. From
+these facts and from the general structure of Shang religion it has been
+concluded that there was a strong matrilinear strain in Shang culture.
+Although this cannot be proved, it seems quite plausible because we know
+of matrilinear societies in the South of China at later times.
+
+About the middle of the Shang period there occurred interesting changes,
+probably under the influence of nomad peoples from the north-west.
+
+In religion there appears some evidence of star-worship. The deities
+seem to have been conceived as a kind of celestrial court of Shang Ti,
+as his "officials". In the field of material culture, horse-breeding
+becomes more and more evident. Some authors believe that the art of
+riding was already known in late Shang times, although it was certainly
+not yet so highly developed that cavalry units could be used in war.
+With horse-breeding the two-wheeled light war chariot makes its
+appearance. The wheel was already known in earlier times in the form of
+the potter's wheel. Recent excavations have brought to light burials in
+which up to eighteen chariots with two or four horses were found
+together with the owners of the chariots. The cart is not a Chinese
+invention but came from the north, possibly from Turkish peoples. It has
+been contended that it was connected with the war chariot of the Near
+East: shortly before the Shang period there had been vast upheavals in
+western Asia, mainly in connection with the expansion of peoples who
+spoke Indo-European languages (Hittites, etc.) and who became successful
+through the use of quick, light, two-wheeled war-chariots. It is
+possible, but cannot be proved, that the war-chariot spread through
+Central Asia in connection with the spread of such
+Indo-European-speaking groups or by the intermediary of Turkish tribes.
+We have some reasons to believe that the first Indo-European-speaking
+groups arrived in the Far East in the middle of the second millenium
+B.C. Some authors even connect the Hsia with these groups. In any case,
+the maximal distribution of these people seems to have been to the
+western borders of the Shang state. As in Western Asia, a Shang-time
+chariot was manned by three men: the warrior who was a nobleman, his
+driver, and his servant who handed him arrows or other weapons when
+needed. There developed a quite close relationship between the nobleman
+and his chariot-driver. The chariot was a valuable object, manufactured
+by specialists; horses were always expensive and rare in China, and in
+many periods of Chinese history horses were directly imported from
+nomadic tribes in the North or West. Thus, the possessors of vehicles
+formed a privileged class in the Shang realm; they became a sort of
+nobility, and the social organization began to move in the direction of
+feudalism. One of the main sports of the noblemen in this period, in
+addition to warfare, was hunting. The Shang had their special hunting
+grounds south of the mountains which surround Shansi province, along the
+slopes of the T'ai-hang mountain range, and south to the shores of the
+Yellow river. Here, there were still forests and swamps in Shang time,
+and boars, deer, buffaloes and other animals, as well as occasional
+rhinoceros and elephants, were hunted. None of these wild animals was
+used as a sacrifice; all sacrificial animals, such as cattle, pigs,
+etc., were domesticated animals.
+
+Below the nobility we find large numbers of dependent people; modern
+Chinese scholars call them frequently "slaves" and speak of a "slave
+society". There is no doubt that at least some farmers were "free
+farmers"; others were what we might call "serfs": families in hereditary
+group dependence upon some noble families and working on land which the
+noble families regarded as theirs. Families of artisans and craftsmen
+also were hereditary servants of noble families--a type of social
+organization which has its parallels in ancient Japan and in later India
+and other parts of the world. There were also real slaves: persons who
+were the personal property of noblemen. The independent states around
+the Shang state also had serfs. When the Shang captured neighbouring
+states, they re-settled the captured foreign aristocracy by attaching
+them as a group to their own noblemen. The captured serfs remained under
+their masters and shared their fate. The same system was later practised
+by the Chou after their conquest of the Shang state.
+
+The conquests of late Shang added more territory to the realm than could
+be coped with by the primitive communications of the time. When the last
+ruler of Shang made his big war which lasted 260 days against the tribes
+in the south-east, rebellions broke out which lead to the end of the
+dynasty, about 1028 B.C. according to the new chronology (1122 B.C. old
+chronology).
+
+
+
+
+ANTIQUITY
+
+
+
+
+Chapter Three
+
+THE CHOU DYNASTY (_c._ 1028-257 B.C.)
+
+
+1 _Cultural origin of the Chou and end of the Shang dynasty_
+
+The Shang culture still lacked certain things that were to become
+typical of "Chinese" civilization. The family system was not yet the
+strong patriarchal system of the later Chinese. The religion, too, in
+spite of certain other influences, was still a religion of agrarian
+fertility. And although Shang society was strongly stratified and showed
+some tendencies to develop a feudal system, feudalism was still very
+primitive. Although the Shang script was the precursor of later Chinese
+script, it seemed to have contained many words which later disappeared,
+and we are not sure whether Shang language was the same as the language
+of Chou time. With the Chou period, however, we enter a period in which
+everything which was later regarded as typically "Chinese" began to
+emerge.
+
+During the time of the Shang dynasty the Chou formed a small realm in
+the west, at first in central Shensi, an area which even in much later
+times was the home of many "non-Chinese" tribes. Before the beginning of
+the eleventh century B.C. they must have pushed into eastern Shensi, due
+to pressures of other tribes which may have belonged to the Turkish
+ethnic group. However, it is also possible that their movement was
+connected with pressures from Indo-European groups. An analysis of their
+tribal composition at the time of the conquest seems to indicate that
+the ruling house of the Chou was related to the Turkish group, and that
+the population consisted mainly of Turks and Tibetans. Their culture was
+closely related to that of Yang-shao, the previously described
+painted-pottery culture, with, of course, the progress brought by time.
+They had bronze weapons and, especially, the war-chariot. Their eastward
+migration, however, brought them within the zone of the Shang culture,
+by which they were strongly influenced, so that the Chou culture lost
+more and more of its original character and increasingly resembled the
+Shang culture. The Chou were also brought into the political sphere of
+the Shang, as shown by the fact that marriages took place between the
+ruling houses of Shang and Chou, until the Chou state became nominally
+dependent on the Shang state in the form of a dependency with special
+prerogatives. Meanwhile the power of the Chou state steadily grew, while
+that of the Shang state diminished more and more through the disloyalty
+of its feudatories and through wars in the East. Finally, about 1028
+B.C., the Chou ruler, named Wu Wang ("the martial king"), crossed his
+eastern frontier and pushed into central Honan. His army was formed by
+an alliance between various tribes, in the same way as happened again
+and again in the building up of the armies of the rulers of the steppes.
+Wu Wang forced a passage across the Yellow River and annihilated the
+Shang army. He pursued its vestiges as far as the capital, captured the
+last emperor of the Shang, and killed him. Thus was the Chou dynasty
+founded, and with it we begin the actual history of China. The Chou
+brought to the Shang culture strong elements of Turkish and also Tibetan
+culture, which were needed for the release of such forces as could
+create a new empire and maintain it through thousands of years as a
+cultural and, generally, also a political unit.
+
+
+2 _Feudalism in the new empire_
+
+A natural result of the situation thus produced was the turning of the
+country into a feudal state. The conquerors were an alien minority, so
+that they had to march out and spread over the whole country. Moreover,
+the allied tribal chieftains expected to be rewarded. The territory to
+be governed was enormous, but the communications in northern China at
+that time were similar to those still existing not long ago in southern
+China--narrow footpaths from one settlement to another. It is very
+difficult to build roads in the loess of northern China; and the
+war-chariots that required roads had only just been introduced. Under
+such conditions, the simplest way of administering the empire was to
+establish garrisons of the invading tribes in the various parts of the
+country under the command of their chieftains. Thus separate regions of
+the country were distributed as fiefs. If a former subject of the Shang
+surrendered betimes with the territory under his rule, or if there was
+one who could not be overcome by force, the Chou recognized him as a
+feudal lord.
+
+We find in the early Chou time the typical signs of true feudalism:
+fiefs were given in a ceremony in which symbolically a piece of earth
+was handed over to the new fiefholder, and his instalment, his rights
+and obligations were inscribed in a "charter". Most of the fiefholders
+were members of the Chou ruling family or members of the clan to which
+this family belonged; other fiefs were given to heads of the allied
+tribes. The fiefholder (feudal lord) regarded the land of his fief, as
+far as he and his clan actually used it, as "clan" land; parts of this
+land he gave to members of his own branch-clan for their use without
+transferring rights of property, thus creating new sub-fiefs and
+sub-lords. In much later times the concept of landed property of a
+_family_ developed, and the whole concept of "clan" disappeared. By 500
+B.C., most feudal lords had retained only a dim memory that they
+originally belonged to the Chi clan of the Chou or to one of the few
+other original clans, and their so-called sub-lords felt themselves as
+members of independent noble families. Slowly, then, the family names of
+later China began to develop, but it took many centuries until, at the
+time of the Han Dynasty, all citizens (slaves excluded) had accepted
+family names. Then, reversely, families grew again into new clans.
+
+Thus we have this picture of the early Chou state: the imperial central
+power established in Shensi, near the present Sian; over a thousand
+feudal states, great and small, often consisting only of a small
+garrison, or sometimes a more considerable one, with the former
+chieftain as feudal lord over it. Around these garrisons the old
+population lived on, in the north the Shang population, farther east and
+south various other peoples and cultures. The conquerors' garrisons were
+like islands in a sea. Most of them formed new towns, walled, with a
+rectangular plan and central crossroads, similar to the European towns
+subsequently formed out of Roman encampments. This town plan has been
+preserved to the present day.
+
+This upper class in the garrisons formed the nobility; it was sharply
+divided from the indigenous population around the towns. The conquerors
+called the population "the black-haired people", and themselves "the
+hundred families". The rest of the town populations consisted often of
+urban Shang people: Shang noble families together with their bondsmen
+and serfs had been given to Chou fiefholders. Such forced resettlements
+of whole populations have remained typical even for much later periods.
+By this method new cities were provided with urban, refined people and,
+most important, with skilled craftsmen and businessmen who assisted in
+building the cities and in keeping them alive. Some scholars believe
+that many resettled Shang urbanites either were or became businessmen;
+incidentally, the same word "Shang" means "merchant", up to the present
+time. The people of the Shang capital lived on and even attempted a
+revolt in collaboration with some Chou people. The Chou rulers
+suppressed this revolt, and then transferred a large part of this
+population to Loyang. They were settled there in a separate community,
+and vestiges of the Shang population were still to be found there in the
+fifth century A.D.: they were entirely impoverished potters, still
+making vessels in the old style.
+
+
+3 _Fusion of Chou and Shang_
+
+The conquerors brought with them, for their own purposes to begin with,
+their rigid patriarchate in the family system and their cult of Heaven
+(t'ien), in which the worship of sun and stars took the principal place;
+a religion most closely related to that of the Turkish peoples and
+derived from them. Some of the Shang popular deities, however, were
+admitted into the official Heaven-worship. Popular deities became
+"feudal lords" under the Heaven-god. The Shang conceptions of the soul
+were also admitted into the Chou religion: the human body housed two
+souls, the personality-soul and the life-soul. Death meant the
+separation of the souls from the body, the life-soul also slowly dying.
+The personality-soul, however, could move about freely and lived as long
+as there were people who remembered it and kept it from hunger by means
+of sacrifices. The Chou systematized this idea and made it into the
+ancestor-worship that has endured down to the present time.
+
+The Chou officially abolished human sacrifices, especially since, as
+former pastoralists, they knew of better means of employing prisoners of
+war than did the more agrarian Shang. The Chou used Shang and other
+slaves as domestic servants for their numerous nobility, and Shang serfs
+as farm labourers on their estates. They seem to have regarded the land
+under their control as "state land" and all farmers as "serfs". A slave,
+here, must be defined as an individual, a piece of property, who was
+excluded from membership in human society but, in later legal texts, was
+included under domestic animals and immobile property, while serfs as a
+class depended upon another class and had certain rights, at least the
+right to work on the land. They could change their masters if the land
+changed its master, but they could not legally be sold individually.
+Thus, the following, still rather hypothetical, picture of the land
+system of the early Chou time emerges: around the walled towns of the
+feudal lords and sub-lords, always in the plains, was "state land" which
+produced millet and more and more wheat. Cultivation was still largely
+"shifting", so that the serfs in groups cultivated more or less
+standardized plots for a year or more and then shifted to other plots.
+During the growing season they lived in huts on the fields; during the
+winter in the towns in adobe houses. In this manner the yearly life
+cycle was divided into two different periods. The produce of the serfs
+supplied the lords, their dependants and the farmers themselves.
+Whenever the lord found it necessary, the serfs had to perform also
+other services for the lord. Farther away from the towns were the
+villages of the "natives", nominally also subjects of the lord. In most
+parts of eastern China, these, too, were agriculturists. They
+acknowledged their dependence by sending "gifts" to the lord in the
+town. Later these gifts became institutionalized and turned into a form
+of tax. The lord's serfs, on the other hand, tended to settle near the
+fields in villages of their own because, with growing urban population,
+the distances from the town to many of the fields became too great. It
+was also at this time of new settlements that a more intensive
+cultivation with a fallow system began. At latest from the sixth century
+B.C. on, the distinctions between both land systems became unclear; and
+the pure serf-cultivation, called by the old texts the "well-field
+system" because eight cultivating families used one common well,
+disappeared in practice.
+
+The actual structure of early Chou administration is difficult to
+ascertain. The "Duke of Chou", brother of the first ruler, Wu Wang,
+later regent during the minority of Wu Wang's son, and certainly one of
+the most influential persons of this time, was the alleged creator of
+the book _Chou-li_ which contains a detailed table of the bureaucracy of
+the country. However, we know now from inscriptions that the bureaucracy
+at the beginning of the Chou period was not much more developed than in
+late Shang time. The _Chou-li_ gave an ideal picture of a bureaucratic
+state, probably abstracted from actual conditions in feudal states
+several centuries later.
+
+The Chou capital, at Sian, was a twin city. In one part lived the
+master-race of the Chou with the imperial court, in the other the
+subjugated population. At the same time, as previously mentioned, the
+Chou built a second capital, Loyang, in the present province of Honan.
+Loyang was just in the middle of the new state, and for the purposes of
+Heaven-worship it was regarded as the centre of the universe, where it
+was essential that the emperor should reside. Loyang was another twin
+city: in one part were the rulers' administrative buildings, in the
+other the transferred population of the Shang capital, probably artisans
+for the most part. The valuable artisans seem all to have been taken
+over from the Shang, for the bronze vessels of the early Chou age are
+virtually identical with those of the Shang age. The shapes of the
+houses also remained unaltered, and probably also the clothing, though
+the Chou brought with them the novelties of felt and woollen fabrics,
+old possessions of their earlier period. The only fundamental material
+change was in the form of the graves: in the Shang age house-like tombs
+were built underground; now great tumuli were constructed in the fashion
+preferred by all steppe peoples.
+
+One professional class was severely hit by the changed
+circumstances--the Shang priesthood. The Chou had no priests. As with
+all the races of the steppes, the head of the family himself performed
+the religious rites. Beyond this there were only shamans for certain
+purposes of magic. And very soon Heaven-worship was combined with the
+family system, the ruler being declared to be the Son of Heaven; the
+mutual relations within the family were thus extended to the religious
+relations with the deity. If, however, the god of Heaven is the father
+of the ruler, the ruler as his son himself offers sacrifice, and so the
+priest becomes superfluous. Thus the priests became "unemployed". Some
+of them changed their profession. They were the only people who could
+read and write, and as an administrative system was necessary they
+obtained employment as scribes. Others withdrew to their villages and
+became village priests. They organized the religious festivals in the
+village, carried out the ceremonies connected with family events, and
+even conducted the exorcism of evil spirits with shamanistic dances;
+they took charge, in short, of everything connected with customary
+observances and morality. The Chou lords were great respecters of
+propriety. The Shang culture had, indeed, been a high one with an
+ancient and highly developed moral system, and the Chou as rough
+conquerors must have been impressed by the ancient forms and tried to
+imitate them. In addition, they had in their religion of Heaven a
+conception of the existence of mutual relations between Heaven and
+Earth: all that went on in the skies had an influence on earth, and vice
+versa. Thus, if any ceremony was "wrongly" performed, it had an evil
+effect on Heaven--there would be no rain, or the cold weather would
+arrive too soon, or some such misfortune would come. It was therefore of
+great importance that everything should be done "correctly". Hence the
+Chou rulers were glad to call in the old priests as performers of
+ceremonies and teachers of morality similar to the ancient Indian rulers
+who needed the Brahmans for the correct performance of all rites. There
+thus came into existence in the early Chou empire a new social group,
+later called "scholars", men who were not regarded as belonging to the
+lower class represented by the subjugated population but were not
+included in the nobility; men who were not productively employed but
+belonged to a sort of independent profession. They became of very great
+importance in later centuries.
+
+In the first centuries of the Chou dynasty the ruling house steadily
+lost power. Some of the emperors proved weak, or were killed at war;
+above all, the empire was too big and its administration too
+slow-moving. The feudal lords and nobles were occupied with their own
+problems in securing the submission of the surrounding villages to their
+garrisons and in governing them; they soon paid little attention to the
+distant central authority. In addition to this, the situation at the
+centre of the empire was more difficult than that of its feudal states
+farther east. The settlements around the garrisons in the east were
+inhabited by agrarian tribes, but the subjugated population around the
+centre at Sian was made up of nomadic tribes of Turks and Mongols
+together with semi-nomadic Tibetans. Sian lies in the valley of the
+river Wei; the riverside country certainly belonged, though perhaps only
+insecurely, to the Shang empire and was specially well adapted to
+agriculture; but its periphery--mountains in the south, steppes in the
+north--was inhabited (until a late period, to some extent to the present
+day) by nomads, who had also been subjugated by the Chou. The Chou
+themselves were by no means strong, as they had been only a small tribe
+and their strength had depended on auxiliary tribes, which had now
+spread over the country as the new nobility and lived far from the Chou.
+The Chou emperors had thus to hold in check the subjugated but warlike
+tribes of Turks and Mongols who lived quite close to their capital. In
+the first centuries of the dynasty they were more or less successful,
+for the feudal lords still sent auxiliary forces. In time, however,
+these became fewer and fewer, because the feudal lords pursued their own
+policy; and the Chou were compelled to fight their own battles against
+tribes that continually rose against them, raiding and pillaging their
+towns. Campaigns abroad also fell mainly on the shoulders of the Chou,
+as their capital lay near the frontier.
+
+It must not be simply assumed, as is often done by the Chinese and some
+of the European historians, that the Turkish and Mongolian tribes were
+so savage or so pugnacious that they continually waged war just for the
+love of it. The problem is much deeper, and to fail to recognize this is
+to fail to understand Chinese history down to the Middle Ages. The
+conquering Chou established their garrisons everywhere, and these
+garrisons were surrounded by the quarters of artisans and by the
+villages of peasants, a process that ate into the pasturage of the
+Turkish and Mongolian nomads. These nomads, as already mentioned,
+pursued agriculture themselves on a small scale, but it occurred to them
+that they could get farm produce much more easily by barter or by
+raiding. Accordingly they gradually gave up cultivation and became pure
+nomads, procuring the needed farm produce from their neighbours. This
+abandonment of agriculture brought them into a precarious situation: if
+for any reason the Chinese stopped supplying or demanded excessive
+barter payment, the nomads had to go hungry. They were then virtually
+driven to get what they needed by raiding. Thus there developed a mutual
+reaction that lasted for centuries. Some of the nomadic tribes living
+between garrisons withdrew, to escape from the growing pressure, mainly
+into the province of Shansi, where the influence of the Chou was weak
+and they were not numerous; some of the nomad chiefs lost their lives in
+battle, and some learned from the Chou lords and turned themselves into
+petty rulers. A number of "marginal" states began to develop; some of
+them even built their own cities. This process of transformation of
+agro-nomadic tribes into "warrior-nomadic" tribes continued over many
+centuries and came to an end in the third or second century B.C.
+
+The result of the three centuries that had passed was a symbiosis
+between the urban aristocrats and the country-people. The rulers of the
+towns took over from the general population almost the whole vocabulary
+of the language which from now on we may call "Chinese". They naturally
+took over elements of the material civilization. The subjugated
+population had, meanwhile, to adjust itself to its lords. In the
+organism that thus developed, with its unified economic system, the
+conquerors became an aristocratic ruling class, and the subjugated
+population became a lower class, with varied elements but mainly a
+peasantry. From now on we may call this society "Chinese"; it has
+endured to the middle of the twentieth century. Most later essential
+societal changes are the result of internal development and not of
+aggression from without.
+
+
+4 _Limitation of the imperial power_
+
+In 771 B.C. an alliance of northern feudal states had attacked the ruler
+in his western capital; in a battle close to the city they had overcome
+and killed him. This campaign appears to have set in motion considerable
+groups from various tribes, so that almost the whole province of Shensi
+was lost. With the aid of some feudal lords who had remained loyal, a
+Chou prince was rescued and conducted eastward to the second capital,
+Loyang, which until then had never been the ruler's actual place of
+residence. In this rescue a lesser feudal prince, ruler of the feudal
+state of Ch'in, specially distinguished himself. Soon afterwards this
+prince, whose domain had lain close to that of the ruler, reconquered a
+great part of the lost territory, and thereafter regarded it as his own
+fief. The Ch'in family resided in the same capital in which the Chou
+had lived in the past, and five hundred years later we shall meet with
+them again as the dynasty that succeeded the Chou.
+
+The new ruler, resident now in Loyang, was foredoomed to impotence. He
+was now in the centre of the country, and less exposed to large-scale
+enemy attacks; but his actual rule extended little beyond the town
+itself and its immediate environment. Moreover, attacks did not entirely
+cease; several times parts of the indigenous population living between
+the Chou towns rose against the towns, even in the centre of the
+country.
+
+Now that the emperor had no territory that could be the basis of a
+strong rule and, moreover, because he owed his position to the feudal
+lords and was thus under an obligation to them, he ruled no longer as
+the chief of the feudal lords but as a sort of sanctified overlord; and
+this was the position of all his successors. A situation was formed at
+first that may be compared with that of Japan down to the middle of the
+nineteenth century. The ruler was a symbol rather than an exerciser of
+power. There had to be a supreme ruler because, in the worship of Heaven
+which was recognized by all the feudal lords, the supreme sacrifices
+could only be offered by the Son of Heaven in person. There could not be
+a number of sons of heaven because there were not a number of heavens.
+The imperial sacrifices secured that all should be in order in the
+country, and that the necessary equilibrium between Heaven and Earth
+should be maintained. For in the religion of Heaven there was a close
+parallelism between Heaven and Earth, and every omission of a sacrifice,
+or failure to offer it in due form, brought down a reaction from Heaven.
+For these religious reasons a central ruler was a necessity for the
+feudal lords. They needed him also for practical reasons. In the course
+of centuries the personal relationship between the various feudal lords
+had ceased. Their original kinship and united struggles had long been
+forgotten. When the various feudal lords proceeded to subjugate the
+territories at a distance from their towns, in order to turn their city
+states into genuine territorial states, they came into conflict with
+each other. In the course of these struggles for power many of the small
+fiefs were simply destroyed. It may fairly be said that not until the
+eighth and seventh centuries B.C. did the old garrison towns became real
+states. In these circumstances the struggles between the feudal states
+called urgently for an arbiter, to settle simple cases, and in more
+difficult cases either to try to induce other feudal lords to intervene
+or to give sanction to the new situation. These were the only governing
+functions of the ruler from the time of the transfer to the second
+capital.
+
+
+5 _Changes in the relative strength of the feudal states_
+
+In these disturbed times China also made changes in her outer frontiers.
+When we speak of frontiers in this connection, we must take little
+account of the European conception of a frontier. No frontier in that
+sense existed in China until her conflict with the European powers. In
+the dogma of the Chinese religion of Heaven, all the countries of the
+world were subject to the Chinese emperor, the Son of Heaven. Thus there
+could be no such thing as other independent states. In practice the
+dependence of various regions on the ruler naturally varied: near the
+centre, that is to say near the ruler's place of residence, it was most
+pronounced; then it gradually diminished in the direction of the
+periphery. The feudal lords of the inner territories were already rather
+less subordinated than at the centre, and those at a greater distance
+scarcely at all; at a still greater distance were territories whose
+chieftains regarded themselves as independent, subject only in certain
+respects to Chinese overlordship. In such a system it is difficult to
+speak of frontiers. In practice there was, of course, a sort of
+frontier, where the influence of the outer feudal lords ceased to exist.
+The development of the original feudal towns into feudal states with
+actual dominion over their territories proceeded, of course, not only in
+the interior of China but also on its borders, where the feudal
+territories had the advantage of more unrestricted opportunities of
+expansion; thus they became more and more powerful. In the south (that
+is to say, in the south of the Chou empire, in the present central
+China) the garrisons that founded feudal states were relatively small
+and widely separated; consequently their cultural system was largely
+absorbed into that of the aboriginal population, so that they developed
+into feudal states with a character of their own. Three of these
+attained special importance--(1) Ch'u, in the neighbourhood of the
+present Chungking and Hankow; (2) Wu, near the present Nanking; and (3)
+Yueeh, near the present Hangchow. In 704 B.C. the feudal prince of Wu
+proclaimed himself "Wang". "Wang", however was the title of the ruler of
+the Chou dynasty. This meant that Wu broke away from the old Chou
+religion of Heaven, according to which there could be only one ruler
+(_wang_) in the world.
+
+At the beginning of the seventh century it became customary for the
+ruler to unite with the feudal lord who was most powerful at the time.
+This feudal lord became a dictator, and had the military power in his
+hands, like the shoguns in nineteenth-century Japan. If there was a
+disturbance of the peace, he settled the matter by military means. The
+first of these dictators was the feudal lord of the state of Ch'i, in
+the present province of Shantung. This feudal state had grown
+considerably through the conquest of the outer end of the peninsula of
+Shantung, which until then had been independent. Moreover, and this was
+of the utmost importance, the state of Ch'i was a trade centre. Much of
+the bronze, and later all the iron, for use in northern China came from
+the south by road and in ships that went up the rivers to Ch'i, where it
+was distributed among the various regions of the north, north-east, and
+north-west. In addition to this, through its command of portions of the
+coast, Ch'i had the means of producing salt, with which it met the needs
+of great areas of eastern China. It was also in Ch'i that money was
+first used. Thus Ch'i soon became a place of great luxury, far
+surpassing the court of the Chou, and Ch'i also became the centre of the
+most developed civilization.
+
+[Illustration: Map 2: The principal feudal States in the feudal epoch.
+(_roughly 722-481 B.C._)]
+
+After the feudal lord of Ch'i, supported by the wealth and power of his
+feudal state, became dictator, he had to struggle not only against other
+feudal lords, but also many times against risings among the most various
+parts of the population, and especially against the nomad tribes in the
+southern part of the present province of Shansi. In the seventh century
+not only Ch'i but the other feudal states had expanded. The regions in
+which the nomad tribes were able to move had grown steadily smaller, and
+the feudal lords now set to work to bring the nomads of their country
+under their direct rule. The greatest conflict of this period was the
+attack in 660 B.C. against the feudal state of Wei, in northern Honan.
+The nomad tribes seem this time to have been Proto-Mongols; they made a
+direct attack on the garrison town and actually conquered it. The
+remnant of the urban population, no more than 730 in number, had to flee
+southward. It is clear from this incident that nomads were still living
+in the middle of China, within the territory of the feudal states, and
+that they were still decidedly strong, though no longer in a position to
+get rid entirely of the feudal lords of the Chou.
+
+The period of the dictators came to an end after about a century,
+because it was found that none of the feudal states was any longer
+strong enough to exercise control over all the others. These others
+formed alliances against which the dictator was powerless. Thus this
+period passed into the next, which the Chinese call the period of the
+Contending States.
+
+
+6 _Confucius_
+
+After this survey of the political history we must consider the
+intellectual history of this period, for between 550 and 280 B.C. the
+enduring fundamental influences in the Chinese social order and in the
+whole intellectual life of China had their original. We saw how the
+priests of the earlier dynasty of the Shang developed into the group of
+so-called "scholars". When the Chou ruler, after the move to the second
+capital, had lost virtually all but his religious authority, these
+"scholars" gained increased influence. They were the specialists in
+traditional morals, in sacrifices, and in the organization of festivals.
+The continually increasing ritualism at the court of the Chou called for
+more and more of these men. The various feudal lords also attracted
+these scholars to their side, employed them as tutors for their
+children, and entrusted them with the conduct of sacrifices and
+festivals.
+
+China's best-known philosopher, Confucius (Chinese: K'ung Tzu), was one
+of these scholars. He was born in 551 B.C. in the feudal state Lu in the
+present province of Shantung. In Lu and its neighbouring state Sung,
+institutions of the Shang had remained strong; both states regarded
+themselves as legitimate heirs of Shang culture, and many traces of
+Shang culture can be seen in Confucius's political and ethical ideas. He
+acquired the knowledge which a scholar had to possess, and then taught
+in the families of nobles, also helping in the administration of their
+properties. He made several attempts to obtain advancement, either in
+vain or with only a short term of employment ending in dismissal. Thus
+his career was a continuing pilgrimage from one noble to another, from
+one feudal lord to another, accompanied by a few young men, sons of
+scholars, who were partly his pupils and partly his servants. Many of
+these disciples seem to have been "illegitimate" sons of noblemen, i.e.
+sons of concubines, and Confucius's own family seems to have been of the
+same origin. In the strongly patriarchal and patrilinear system of the
+Chou and the developing primogeniture, children of secondary wives had a
+lower social status. Ultimately Confucius gave up his wanderings,
+settled in his home town of Lu, and there taught his disciples until his
+death in 479 B.C.
+
+Such was briefly the life of Confucius. His enemies claim that he was a
+political intriguer, inciting the feudal lords against each other in the
+course of his wanderings from one state to another, with the intention
+of somewhere coming into power himself. There may, indeed, be some truth
+in that.
+
+Confucius's importance lies in the fact that he systematized a body of
+ideas, not of his own creation, and communicated it to a circle of
+disciples. His teachings were later set down in writing and formed,
+right down to the twentieth century, the moral code of the upper classes
+of China. Confucius was fully conscious of his membership of a social
+class whose existence was tied to that of the feudal lords. With their
+disappearance, his type of scholar would become superfluous. The common
+people, the lower class, was in his view in an entirely subordinate
+position. Thus his moral teaching is a code for the ruling class.
+Accordingly it retains almost unaltered the elements of the old cult of
+Heaven, following the old tradition inherited from the northern peoples.
+For him Heaven is not an arbitrarily governing divine tyrant, but the
+embodiment of a system of legality. Heaven does not act independently,
+but follows a universal law, the so-called "Tao". Just as sun, moon, and
+stars move in the heavens in accordance with law, so man should conduct
+himself on earth in accord with the universal law, not against it. The
+ruler should not actively intervene in day-to-day policy, but should
+only act by setting an example, like Heaven; he should observe the
+established ceremonies, and offer all sacrifices in accordance with the
+rites, and then all else will go well in the world. The individual, too,
+should be guided exactly in his life by the prescriptions of the rites,
+so that harmony with the law of the universe may be established.
+
+A second idea of the Confucian system came also from the old conceptions
+of the Chou conquerors, and thus originally from the northern peoples.
+This is the patriarchal idea, according to which the family is the cell
+of society, and at the head of the family stands the eldest male adult
+as a sort of patriarch. The state is simply an extension of the family,
+"state", of course, meaning simply the class of the feudal lords (the
+"chuen-tzu"). And the organization of the family is also that of the
+world of the gods. Within the family there are a number of ties, all of
+them, however, one-sided: that of father to son (the son having to obey
+the father unconditionally and having no rights of his own;) that of
+husband to wife (the wife had no rights); that of elder to younger
+brother. An extension of these is the association of friend with friend,
+which is conceived as an association between an elder and a younger
+brother. The final link, and the only one extending beyond the family
+and uniting it with the state, is the association of the ruler with the
+subject, a replica of that between father and son. The ruler in turn is
+in the position of son to Heaven. Thus in Confucianism the cult of
+Heaven, the family system, and the state are welded into unity. The
+frictionless functioning of this whole system is effected by everyone
+adhering to the rites, which prescribe every important action. It is
+necessary, of course, that in a large family, in which there may be up
+to a hundred persons living together, there shall be a precisely
+established ordering of relationships between individuals if there is
+not to be continual friction. Since the scholars of Confucius's type
+specialized in the knowledge and conduct of ceremonies, Confucius gave
+ritualism a correspondingly important place both in spiritual and in
+practical life.
+
+So far as we have described it above, the teaching of Confucius was a
+further development of the old cult of Heaven. Through bitter
+experience, however, Confucius had come to realize that nothing could be
+done with the ruling house as it existed in his day. So shadowy a figure
+as the Chou ruler of that time could not fulfil what Confucius required
+of the "Son of Heaven". But the opinions of students of Confucius's
+actual ideas differ. Some say that in the only book in which he
+personally had a hand, the so-called _Annals of Spring and Autumn_, he
+intended to set out his conception of the character of a true emperor;
+others say that in that book he showed how he would himself have acted
+as emperor, and that he was only awaiting an opportunity to make himself
+emperor. He was called indeed, at a later time, the "uncrowned ruler".
+In any case, the _Annals of Spring and Autumn_ seem to be simply a dry
+work of annals, giving the history of his native state of Lu on the
+basis of the older documents available to him. In his text, however,
+Confucius made small changes by means of which he expressed criticism or
+recognition; in this way he indirectly made known how in his view a
+ruler should act or should not act. He did not shrink from falsifying
+history, as can today be demonstrated. Thus on one occasion a ruler had
+to flee from a feudal prince, which in Confucius's view was impossible
+behaviour for the ruler; accordingly he wrote instead that the ruler
+went on a hunting expedition. Elsewhere he tells of an eclipse of the
+sun on a certain day, on which in fact there was no eclipse. By writing
+of an eclipse he meant to criticize the way a ruler had acted, for the
+sun symbolized the ruler, and the eclipse meant that the ruler had not
+been guided by divine illumination. The demonstration that the _Annals
+of Spring and Autumn_ can only be explained in this way was the
+achievement some thirty-five years ago of Otto Franke, and through this
+discovery Confucius's work, which the old sinologists used to describe
+as a dry and inadequate book, has become of special value to us. The
+book ends with the year 481 B.C., and in spite of its distortions it is
+the principal source for the two-and-a-half centuries with which it
+deals.
+
+Rendered alert by this experience, we are able to see and to show that
+most of the other later official works of history follow the example of
+the _Annals of Spring and Autumn_ in containing things that have been
+deliberately falsified. This is especially so in the work called
+_T'ung-chien kang-mu_, which was the source of the history of the
+Chinese empire translated into French by de Mailla.
+
+Apart from Confucius's criticism of the inadequate capacity of the
+emperor of his day, there is discernible, though only in the form of
+cryptic hints, a fundamentally important progressive idea. It is that a
+nobleman (chuen-tzu) should not be a member of the ruling _elite_ by
+right of birth alone, but should be a man of superior moral qualities.
+From Confucius on, "chuen-tzu" became to mean "a gentleman".
+Consequently, a country should not be ruled by a dynasty based on
+inheritance through birth, but by members of the nobility who show
+outstanding moral qualification for rulership. That is to say, the rule
+should pass from the worthiest to the worthiest, the successor first
+passing through a period of probation as a minister of state. In an
+unscrupulous falsification of the tradition, Confucius declared that
+this principle was followed in early times. It is probably safe to
+assume that Confucius had in view here an eventual justification of
+claims to rulership of his own.
+
+Thus Confucius undoubtedly had ideas of reform, but he did not interfere
+with the foundations of feudalism. For the rest, his system consists
+only of a social order and a moral teaching. Metaphysics, logic,
+epistemology, i.e. branches of philosophy which played so great a part
+in the West, are of no interest to him. Nor can he be described as the
+founder of a religion; for the cult of Heaven of which he speaks and
+which he takes over existed in exactly the same form before his day. He
+is merely the man who first systematized those notions. He had no
+successes in his lifetime and gained no recognition; nor did his
+disciples or their disciples gain any general recognition; his work did
+not become of importance until some three hundred years after his death,
+when in the second century B.C. his teaching was adjusted to the new
+social conditions: out of a moral system for the decaying feudal society
+of the past centuries developed the ethic of the rising social order of
+the gentry. The gentry (in much the same way as the European
+bourgeoisie) continually claimed that there should be access for every
+civilized citizen to the highest places in the social pyramid, and the
+rules of Confucianism became binding on every member of society if he
+was to be considered a gentleman. Only then did Confucianism begin to
+develop into the imposing system that dominated China almost down to the
+present day. Confucianism did not become a religion. It was comparable
+to the later Japanese Shintoism, or to a group of customs among us which
+we all observe, if we do not want to find ourselves excluded from our
+community, but which we should never describe as religion. We stand up
+when the national anthem is played, we give precedency to older people,
+we erect war memorials and decorate them with flowers, and by these and
+many other things show our sense of belonging. A similar but much more
+conscious and much more powerful part was played by Confucianism in the
+life of the average Chinese, though he was not necessarily interested in
+philosophical ideas.
+
+While the West has set up the ideal of individualism and is suffering
+now because it no longer has any ethical system to which individuals
+voluntarily submit; while for the Indians the social problem consisted
+in the solving of the question how every man could be enabled to live
+his life with as little disturbance as possible from his fellow-men,
+Confucianism solved the problem of how families with groups of hundreds
+of members could live together in peace and co-operation in a densely
+populated country. Everyone knew his position in the family and so, in a
+broader sense, in the state; and this prescribed his rights and duties.
+We may feel that the rules to which he was subjected were pedantic; but
+there was no limit to their effectiveness: they reduced to a minimum the
+friction that always occurs when great masses of people live close
+together; they gave Chinese society the strength through which it has
+endured; they gave security to its individuals. China's first real
+social crisis after the collapse of feudalism, that is to say, after the
+fourth or third century B.C., began only in the present century with the
+collapse of the social order of the gentry and the breakdown of the
+family system.
+
+
+7 _Lao Tzu_
+
+In eighteenth-century Europe Confucius was the only Chinese philosopher
+held in regard; in the last hundred years, the years of Europe's
+internal crisis, the philosopher Lao Tzu steadily advanced in repute, so
+that his book was translated almost a hundred times into various
+European languages. According to the general view among the Chinese, Lao
+Tzu was an older contemporary of Confucius; recent Chinese and Western
+research (A. Waley; H. H. Dubs) has contested this view and places Lao
+Tzu in the latter part of the fourth century B.C., or even later.
+Virtually nothing at all is known about his life; the oldest biography
+of Lao Tzu, written about 100 B.C., says that he lived as an official at
+the ruler's court and, one day, became tired of the life of an official
+and withdrew from the capital to his estate, where he died in old age.
+This, too, may be legendary, but it fits well into the picture given to
+us by Lao Tzu's teaching and by the life of his later followers. From
+the second century A.D., that is to say at least four hundred years
+after his death, there are legends of his migrating to the far west.
+Still later narratives tell of his going to Turkestan (where a temple
+was actually built in his honour in the Medieval period); according to
+other sources he travelled as far as India or Sogdiana (Samarkand and
+Bokhara), where according to some accounts he was the teacher or
+forerunner of Buddha, and according to others of Mani, the founder of
+Manichaeism. For all this there is not a vestige of documentary
+evidence.
+
+Lao Tzu's teaching is contained in a small book, the _Tao Te Ching_, the
+"Book of the World Law and its Power". The book is written in quite
+simple language, at times in rhyme, but the sense is so vague that
+countless versions, differing radically from each other, can be based on
+it, and just as many translations are possible, all philologically
+defensible. This vagueness is deliberate.
+
+Lao Tzu's teaching is essentially an effort to bring man's life on earth
+into harmony with the life and law of the universe (Tao). This was also
+Confucius's purpose. But while Confucius set out to attain that purpose
+in a sort of primitive scientific way, by laying down a number of rules
+of human conduct, Lao Tzu tries to attain his ideal by an intuitive,
+emotional method. Lao Tzu is always described as a mystic, but perhaps
+this is not entirely appropriate; it must be borne in mind that in his
+time the Chinese language, spoken and written, still had great
+difficulties in the expression of ideas. In reading Lao Tzu's book we
+feel that he is trying to express something for which the language of
+his day was inadequate; and what he wanted to express belonged to the
+emotional, not the intellectual, side of the human character, so that
+any perfectly clear expression of it in words was entirely impossible.
+It must be borne in mind that the Chinese language lacks definite word
+categories like substantive, adjective, adverb, or verb; any word can be
+used now in one category and now in another, with a few exceptions; thus
+the understanding of a combination like "white horse" formed a difficult
+logical problem for the thinker of the fourth century B.C.: did it mean
+"white" plus "horse"? Or was "white horse" no longer a horse at all but
+something quite different?
+
+Confucius's way of bringing human life into harmony with the life of the
+universe was to be a process of assimilating Man as a social being, Man
+in his social environment, to Nature, and of so maintaining his activity
+within the bounds of the community. Lao Tzu pursues another path, the
+path for those who feel disappointed with life in the community. A
+Taoist, as a follower of Lao Tzu is called, withdraws from all social
+life, and carries out none of the rites and ceremonies which a man of
+the upper class should observe throughout the day. He lives in
+self-imposed seclusion, in an elaborate primitivity which is often
+described in moving terms that are almost convincing of actual
+"primitivity". Far from the city, surrounded by Nature, the Taoist lives
+his own life, together with a few friends and his servants, entirely
+according to his nature. His own nature, like everything else,
+represents for him a part of the Tao, and the task of the individual
+consists in the most complete adherence to the Tao that is conceivable,
+as far as possible performing no act that runs counter to the Tao. This
+is the main element of Lao Tzu's doctrine, the doctrine of _wu-wei_,
+"passive achievement".
+
+Lao Tzu seems to have thought that this doctrine could be applied to the
+life of the state. He assumed that an ideal life in society was possible
+if everyone followed his own nature entirely and no artificial
+restrictions were imposed. Thus he writes: "The more the people are
+forbidden to do this and that, the poorer will they be. The more sharp
+weapons the people possess, the more will darkness and bewilderment
+spread through the land. The more craft and cunning men have, the more
+useless and pernicious contraptions will they invent. The more laws and
+edicts are imposed, the more thieves and bandits there will be. 'If I
+work through Non-action,' says the Sage, 'the people will transform
+themselves.'"[1] Thus according to Lao Tzu, who takes the existence of a
+monarchy for granted, the ruler must treat his subjects as follows: "By
+emptying their hearts of desire and their minds of envy, and by filling
+their stomachs with what they need; by reducing their ambitions and by
+strengthening their bones and sinews; by striving to keep them without
+the knowledge of what is evil and without cravings. Thus are the crafty
+ones given no scope for tempting interference. For it is by Non-action
+that the Sage governs, and nothing is really left uncontrolled."[2]
+
+    [1] _The Way of Acceptance_: a new version of Lao Tzu's _Tao Te
+    Ching_, by Hermon Ould (Dakers, 1946), Ch. 57.
+
+    [2] _The Way of Acceptance_, Ch. 3.
+
+Lao Tzu did not live to learn that such rule of good government would be
+followed by only one sort of rulers--dictators; and as a matter of fact
+the "Legalist theory" which provided the philosophic basis for
+dictatorship in the third century B.C. was attributable to Lao Tzu. He
+was not thinking, however, of dictatorship; he was an individualistic
+anarchist, believing that if there were no active government all men
+would be happy. Then everyone could attain unity with Nature for
+himself. Thus we find in Lao Tzu, and later in all other Taoists, a
+scornful repudiation of all social and official obligations. An answer
+that became famous was given by the Taoist Chuang Tzu (see below) when
+it was proposed to confer high office in the state on him (the story may
+or may not be true, but it is typical of Taoist thought): "I have
+heard," he replied, "that in Ch'u there is a tortoise sacred to the
+gods. It has now been dead for 3,000 years, and the king keeps it in a
+shrine with silken cloths, and gives it shelter in the halls of a
+temple. Which do you think that tortoise would prefer--to be dead and
+have its vestigial bones so honoured, or to be still alive and dragging
+its tail after it in the mud?" the officials replied: "No doubt it would
+prefer to be alive and dragging its tail after it in the mud." Then
+spoke Chuang Tzu: "Begone! I, too, would rather drag my tail after me in
+the mud!" (Chuang Tzu 17, 10.)
+
+The true Taoist withdraws also from his family. Typical of this is
+another story, surely apocryphal, from Chuang Tzu (Ch. 3, 3). At the
+death of Lao Tzu a disciple went to the family and expressed his
+sympathy quite briefly and formally. The other disciples were
+astonished, and asked his reason. He said: "Yes, at first I thought that
+he was our man, but he is not. When I went to grieve, the old men were
+bewailing him as though they were bewailing a son, and the young wept as
+though they were mourning a mother. To bind them so closely to himself,
+he must have spoken words which he should not have spoken, and wept
+tears which he should not have wept. That, however, is a falling away
+from the heavenly nature."
+
+Lao Tzu's teaching, like that of Confucius, cannot be described as
+religion; like Confucius's, it is a sort of social philosophy, but of
+irrationalistic character. Thus it was quite possible, and later it
+became the rule, for one and the same person to be both Confucian and
+Taoist. As an official and as the head of his family, a man would think
+and act as a Confucian; as a private individual, when he had retired far
+from the city to live in his country mansion (often modestly described
+as a cave or a thatched hut), or when he had been dismissed from his
+post or suffered some other trouble, he would feel and think as a
+Taoist. In order to live as a Taoist it was necessary, of course, to
+possess such an estate, to which a man could retire with his servants,
+and where he could live without himself doing manual work. This
+difference between the Confucian and the Taoist found a place in the
+works of many Chinese poets. I take the following quotation from an
+essay by the statesman and poet Ts'ao Chih, of the end of the second
+century A.D.:
+
+"Master Mysticus lived in deep seclusion on a mountain in the
+wilderness; he had withdrawn as in flight from the world, desiring to
+purify his spirit and give rest to his heart. He despised official
+activity, and no longer maintained any relations with the world; he
+sought quiet and freedom from care, in order in this way to attain
+everlasting life. He did nothing but send his thoughts wandering between
+sky and clouds, and consequently there was nothing worldly that could
+attract and tempt him.
+
+[Illustration: 1 Painted pottery from Kansu: Neolithic. _In the
+collection of the Museum fuer Voelkerkunde, Berlin_.]
+
+[Illustration: 2 Ancient bronze tripod found at Anyang. _From G. Ecke:
+Fruehe chinesische Bronzen aus der Sammlung Oskar Trautmann, Peking 1939,
+plate 3._]
+
+"When Mr. Rationalist heard of this man, he desired to visit him, in
+order to persuade him to alter his views. He harnessed four horses, who
+could quickly traverse the plain, and entered his light fast carriage.
+He drove through the plain, leaving behind him the ruins of abandoned
+settlements; he entered the boundless wilderness, and finally reached
+the dwelling of Master Mysticus. Here there was a waterfall on one side,
+and on the other were high crags; at the back a stream flowed deep down
+in its bed, and in front was an odorous wood. The master wore a white
+doeskin cap and a striped fox-pelt. He came forward from a cave buried
+in the mountain, leaned against the tall crag, and enjoyed the prospect
+of wild nature. His ideas floated on the breezes, and he looked as if
+the wide spaces of the heavens and the countries of the earth were too
+narrow for him; as if he was going to fly but had not yet left the
+ground; as if he had already spread his wings but wanted to wait a
+moment. Mr. Rationalist climbed up with the aid of vine shoots, reached
+the top of the crag, and stepped up to him, saying very respectfully:
+
+"'I have heard that a man of nobility does not flee from society, but
+seeks to gain fame; a man of wisdom does not swim against the current,
+but seeks to earn repute. You, however, despise the achievements of
+civilization and culture; you have no regard for the splendour of
+philanthropy and justice; you squander your powers here in the
+wilderness and neglect ordered relations between man....'"
+
+Frequently Master Mysticus and Mr. Rationalist were united in a single
+person. Thus, Shih Ch'ung wrote in an essay on himself:
+
+"In my youth I had great ambition and wanted to stand out above the
+multitude. Thus it happened that at a little over twenty years of age I
+was already a court official; I remained in the service for twenty-five
+years. When I was fifty I had to give up my post because of an
+unfortunate occurrence.... The older I became, the more I appreciated
+the freedom I had acquired; and as I loved forest and plain, I retired
+to my villa. When I built this villa, a long embankment formed the
+boundary behind it; in front the prospect extended over a clear canal;
+all around grew countless cypresses, and flowing water meandered round
+the house. There were pools there, and outlook towers; I bred birds and
+fishes. In my harem there were always good musicians who played dance
+tunes. When I went out I enjoyed nature or hunted birds and fished. When
+I came home, I enjoyed playing the lute or reading; I also liked to
+concoct an elixir of life and to take breathing exercises,[3] because I
+did not want to die, but wanted one day to lift myself to the skies,
+like an immortal genius. Suddenly I was drawn back into the official
+career, and became once more one of the dignitaries of the Emperor."
+
+    [3] Both Taoist practices.
+
+Thus Lao Tzu's individualist and anarchist doctrine was not suited to
+form the basis of a general Chinese social order, and its employment in
+support of dictatorship was certainly not in the spirit of Lao Tzu.
+Throughout history, however, Taoism remained the philosophic attitude of
+individuals of the highest circle of society; its real doctrine never
+became popularly accepted; for the strong feeling for nature that
+distinguishes the Chinese, and their reluctance to interfere in the
+sanctified order of nature by technical and other deliberate acts, was
+not actually a result of Lao Tzu's teaching, but one of the fundamentals
+from which his ideas started.
+
+If the date assigned to Lao Tzu by present-day research (the fourth
+instead of the sixth century B.C.) is correct, he was more or less
+contemporary with Chuang Tzu, who was probably the most gifted poet
+among the Chinese philosophers and Taoists. A thin thread extends from
+them as far as the fourth century A.D.: Huai-nan Tzu, Chung-ch'ang
+T'ung, Yuean Chi (210-263), Liu Ling (221-300), and T'ao Ch'ien
+(365-427), are some of the most eminent names of Taoist philosophers.
+After that the stream of original thought dried up, and we rarely find a
+new idea among the late Taoists. These gentlemen living on their estates
+had acquired a new means of expressing their inmost feelings: they wrote
+poetry and, above all, painted. Their poems and paintings contain in a
+different outward form what Lao Tzu had tried to express with the
+inadequate means of the language of his day. Thus Lao Tzu's teaching has
+had the strongest influence to this day in this field, and has inspired
+creative work which is among the finest achievements of mankind.
+
+
+
+
+Chapter Four
+
+THE CONTENDING STATES (481-256 B.C.): DISSOLUTION OF THE FEUDAL SYSTEM
+
+
+1 _Social and military changes_
+
+The period following that of the Chou dictatorships is known as that of
+the Contending States. Out of over a thousand states, fourteen remained,
+of which, in the period that now followed, one after another
+disappeared, until only one remained. This period is the fullest, or one
+of the fullest, of strife in all Chinese history. The various feudal
+states had lost all sense of allegiance to the ruler, and acted in
+entire independence. It is a pure fiction to speak of a Chinese State in
+this period; the emperor had no more power than the ruler of the Holy
+Roman Empire in the late medieval period of Europe, and the so-called
+"feudal states" of China can be directly compared with the developing
+national states of Europe. A comparison of this period with late
+medieval Europe is, indeed, of highest interest. If we adopt a political
+system of periodization, we might say that around 500 B.C. the unified
+feudal state of the first period of Antiquity came to an end and the
+second, a period of the national states began, although formally, the
+feudal system continued and the national states still retained many
+feudal traits.
+
+As none of these states was strong enough to control and subjugate the
+rest, alliances were formed. The most favoured union was the north-south
+axis; it struggled against an east-west league. The alliances were not
+stable but broke up again and again through bribery or intrigue, which
+produced new combinations. We must confine ourselves to mentioning the
+most important of the events that took place behind this military
+facade.
+
+Through the continual struggles more and more feudal lords lost their
+lands; and not only they, but the families of the nobles dependent on
+them, who had received so-called sub-fiefs. Some of the landless nobles
+perished; some offered their services to the remaining feudal lords as
+soldiers or advisers. Thus in this period we meet with a large number of
+migratory politicians who became competitors of the wandering scholars.
+Both these groups recommended to their lord ways and means of gaining
+victory over the other feudal lords, so as to become sole ruler. In
+order to carry out their plans the advisers claimed the rank of a
+Minister or Chancellor.
+
+Realistic though these advisers and their lords were in their thinking,
+they did not dare to trample openly on the old tradition. The emperor
+might in practice be a completely powerless figurehead, but he belonged
+nevertheless, according to tradition, to a family of divine origin,
+which had obtained its office not merely by the exercise of force but
+through a "divine mandate". Accordingly, if one of the feudal lords
+thought of putting forward a claim to the imperial throne, he felt
+compelled to demonstrate that his family was just as much of divine
+origin as the emperor's, and perhaps of remoter origin. In this matter
+the travelling "scholars" rendered valuable service as manufacturers of
+genealogical trees. Each of the old noble families already had its
+family tree, as an indispensable requisite for the sacrifices to
+ancestors. But in some cases this tree began as a branch of that of the
+imperial family: this was the case of the feudal lords who were of
+imperial descent and whose ancestors had been granted fiefs after the
+conquest of the country. Others, however, had for their first ancestor a
+local deity long worshipped in the family's home country, such as the
+ancient agrarian god Huang Ti, or the bovine god Shen Nung. Here the
+"scholars" stepped in, turning the local deities into human beings and
+"emperors". This suddenly gave the noble family concerned an imperial
+origin. Finally, order was brought into this collection of ancient
+emperors. They were arranged and connected with each other in
+"dynasties" or in some other "historical" form. Thus at a stroke Huang
+Ti, who about 450 B.C. had been a local god in the region of southern
+Shansi, became the forefather of almost all the noble families,
+including that of the imperial house of the Chou. Needless to say, there
+would be discrepancies between the family trees constructed by the
+various scholars for their lords, and later, when this problem had lost
+its political importance, the commentators laboured for centuries on the
+elaboration of an impeccable system of "ancient emperors"--and to this
+day there are sinologists who continue to present these humanized gods
+as historical personalities.
+
+In the earlier wars fought between the nobles they were themselves the
+actual combatants, accompanied only by their retinue. As the struggles
+for power grew in severity, each noble hired such mercenaries as he
+could, for instance the landless nobles just mentioned. Very soon it
+became the custom to arm peasants and send them to the wars. This
+substantially increased the armies. The numbers of soldiers who were
+killed in particular battles may have been greatly exaggerated (in a
+single battle in 260 B.C., for instance, the number who lost their lives
+was put at 450,000, a quite impossible figure); but there must have been
+armies of several thousand men, perhaps as many as 10,000. The
+population had grown considerably by that time.
+
+The armies of the earlier period consisted mainly of the nobles in their
+war chariots; each chariot surrounded by the retinue of the nobleman.
+Now came large troops of commoners as infantry as well, drawn from the
+peasant population. To these, cavalry were first added in the fifth
+century B.C., by the northern state of Chao (in the present Shansi),
+following the example of its Turkish and Mongol neighbours. The general
+theory among ethnologists is that the horse was first harnessed to a
+chariot, and that riding came much later; but it is my opinion that
+riders were known earlier, but could not be efficiently employed in war
+because the practice had not begun of fighting in disciplined troops of
+horsemen, and the art had not been learnt of shooting accurately with
+the bow from the back of a galloping horse, especially shooting to the
+rear. In any case, its cavalry gave the feudal state of Chao a military
+advantage for a short time. Soon the other northern states copied it one
+after another--especially Ch'in, in north-west China. The introduction
+of cavalry brought a change in clothing all over China, for the former
+long skirt-like garb could not be worn on horseback. Trousers and the
+riding-cap were introduced from the north.
+
+The new technique of war made it important for every state to possess as
+many soldiers as possible, and where it could to reduce the enemy's
+numbers. One result of this was that wars became much more sanguinary;
+another was that men in other countries were induced to immigrate and
+settle as peasants, so that the taxes they paid should provide the means
+for further recruitment of soldiers. In the state of Ch'in, especially,
+the practice soon started of using the whole of the peasantry
+simultaneously as a rough soldiery. Hence that state was particularly
+anxious to attract peasants in large numbers.
+
+
+2 _Economic changes_
+
+In the course of the wars much land of former noblemen had become free.
+Often the former serfs had then silently become landowners. Others had
+started to cultivate empty land in the area inhabited by the indigenous
+population and regarded this land, which they themselves had made
+fertile, as their private family property. There was, in spite of the
+growth of the population, still much cultivable land available.
+Victorious feudal lords induced farmers to come to their territory and
+to cultivate the wasteland. This is a period of great migrations,
+internal and external. It seems that from this period on not only
+merchants but also farmers began to migrate southwards into the area of
+the present provinces of Kwangtung and Kwangsi and as far as Tonking.
+
+As long as the idea that all land belonged to the great clans of the
+Chou prevailed, sale of land was inconceivable; but when individual
+family heads acquired land or cultivated new land, they regarded it as
+their natural right to dispose of the land as they wished. From now on
+until the end of the medieval period, the family head as representative
+of the family could sell or buy land. However, the land belonged to the
+family and not to him as a person. This development was favoured by the
+spread of money. In time land in general became an asset with a market
+value and could be bought and sold.
+
+Another important change can be seen from this time on. Under the feudal
+system of the Chou strict primogeniture among the nobility existed: the
+fief went to the oldest son by the main wife. The younger sons were
+given independent pieces of land with its inhabitants as new, secondary
+fiefs. With the increase in population there was no more such land that
+could be set up as a new fief. From now on, primogeniture was retained
+in the field of ritual and religion down to the present time: only the
+oldest son of the main wife represents the family in the ancestor
+worship ceremonies; only the oldest son of the emperor could become his
+successor. But the landed property from now on was equally divided among
+all sons. Occasionally the oldest son was given some extra land to
+enable him to pay the expenses for the family ancestral worship. Mobile
+property, on the other side, was not so strictly regulated and often the
+oldest son was given preferential treatment in the inheritance.
+
+The technique of cultivation underwent some significant changes. The
+animal-drawn plough seems to have been invented during this period, and
+from now on, some metal agricultural implements like iron sickles and
+iron plough-shares became more common. A fallow system was introduced so
+that cultivation became more intensive. Manuring of fields was already
+known in Shang time. It seems that the consumption of meat decreased
+from this period on: less mutton and beef were eaten. Pig and dog
+became the main sources of meat, and higher consumption of beans made up
+for the loss of proteins. All this indicates a strong population
+increase. We have no statistics for this period, but by 400 B.C. it is
+conceivable that the population under the control of the various
+individual states comprised something around twenty-five millions. The
+eastern plains emerge more and more as centres of production.
+
+The increased use of metal and the invention of coins greatly stimulated
+trade. Iron which now became quite common, was produced mainly in
+Shansi, other metals in South China. But what were the traders to do
+with their profits? Even later in China, and almost down to recent
+times, it was never possible to hoard large quantities of money.
+Normally the money was of copper, and a considerable capital in the form
+of copper coin took up a good deal of room and was not easy to conceal.
+If anyone had much money, everyone in his village knew it. No one dared
+to hoard to any extent for fear of attracting bandits and creating
+lasting insecurity. On the other hand the merchants wanted to attain the
+standard of living which the nobles, the landowners, used to have. Thus
+they began to invest their money in land. This was all the easier for
+them since it often happened that one of the lesser nobles or a peasant
+fell deeply into debt to a merchant and found himself compelled to give
+up his land in payment of the debt.
+
+Soon the merchants took over another function. So long as there had been
+many small feudal states, and the feudal lords had created lesser lords
+with small fiefs, it had been a simple matter for the taxes to be
+collected, in the form of grain, from the peasants through the agents of
+the lesser lords. Now that there were only a few great states in
+existence, the old system was no longer effectual. This gave the
+merchants their opportunity. The rulers of the various states entrusted
+the merchants with the collection of taxes, and this had great
+advantages for the ruler: he could obtain part of the taxes at once, as
+the merchant usually had grain in stock, or was himself a landowner and
+could make advances at any time. Through having to pay the taxes to the
+merchant, the village population became dependent on him. Thus the
+merchants developed into the first administrative officials in the
+provinces.
+
+In connection with the growth of business, the cities kept on growing.
+It is estimated that at the beginning of the third century, the city of
+Lin-chin, near the present Chi-nan in Shantung, had a population of
+210,000 persons. Each of its walls had a length of 4,000 metres; thus,
+it was even somewhat larger than the famous city of Lo-yang, capital of
+China during the Later Han dynasty, in the second century A.D. Several
+other cities of this period have been recently excavated and must have
+had populations far above 10,000 persons. There were two types of
+cities: the rectangular, planned city of the Chou conquerors, a seat of
+administration; and the irregularly shaped city which grew out of a
+market place and became only later an administrative centre. We do not
+know much about the organization and administration of these cities, but
+they seem to have had considerable independence because some of them
+issued their own city coins.
+
+When these cities grew, the food produced in the neighbourhood of the
+towns no longer sufficed for their inhabitants. This led to the building
+of roads, which also facilitated the transport of supplies for great
+armies. These roads mainly radiated from the centre of consumption into
+the surrounding country, and they were less in use for communication
+between one administrative centre and another. For long journeys the
+rivers were of more importance, since transport by wagon was always
+expensive owing to the shortage of draught animals. Thus we see in this
+period the first important construction of canals and a development of
+communications. With the canal construction was connected the
+construction of irrigation and drainage systems, which further promoted
+agricultural production. The cities were places in which often great
+luxury developed; music, dance, and other refinements were cultivated;
+but the cities also seem to have harboured considerable industries.
+Expensive and technically superior silks were woven; painters decorated
+the walls of temples and palaces; blacksmiths and bronze-smiths produced
+beautiful vessels and implements. It seems certain that the art of
+casting iron and the beginnings of the production of steel were already
+known at this time. The life of the commoners in these cities was
+regulated by laws; the first codes are mentioned in 536 B.C. By the end
+of the fourth century B.C. a large body of criminal law existed,
+supposedly collected by Li K'uei, which became the foundation of all
+later Chinese law. It seems that in this period the states of China
+moved quickly towards a money economy, and an observer to whom the later
+Chinese history was not known could have predicted the eventual
+development of a capitalistic society out of the apparent tendencies.
+
+So far nothing has been said in these chapters about China's foreign
+policy. Since the central ruling house was completely powerless, and the
+feudal lords were virtually independent rulers, little can be said, of
+course, about any "Chinese" foreign policy. There is less than ever to
+be said about it for this period of the "Contending States". Chinese
+merchants penetrated southwards, and soon settlers moved in increasing
+numbers into the plains of the south-east. In the north, there were
+continual struggles with Turkish and Mongol tribes, and about 300 B.C.
+the name of the Hsiung-nu (who are often described as "The Huns of the
+Far East") makes its first appearance. It is known that these northern
+peoples had mastered the technique of horseback warfare and were far
+ahead of the Chinese, although the Chinese imitated their methods. The
+peasants of China, as they penetrated farther and farther north, had to
+be protected by their rulers against the northern peoples, and since the
+rulers needed their armed forces for their struggles within China, a
+beginning was made with the building of frontier walls, to prevent
+sudden raids of the northern peoples against the peasant settlements.
+Thus came into existence the early forms of the "Great Wall of China".
+This provided for the first time a visible frontier between Chinese and
+non-Chinese. Along this frontier, just as by the walls of towns, great
+markets were held at which Chinese peasants bartered their produce to
+non-Chinese nomads. Both partners in this trade became accustomed to it
+and drew very substantial profits from it. We even know the names of
+several great horse-dealers who bought horses from the nomads and sold
+them within China.
+
+
+3 _Cultural changes_
+
+Together with the economic and social changes in this period, there came
+cultural changes. New ideas sprang up in exuberance, as would seem
+entirely natural, because in times of change and crisis men always come
+forward to offer solutions for pressing problems. We shall refer here
+only briefly to the principal philosophers of the period.
+
+Mencius (_c._ 372-289 B.C.) and Hsuen Tzu (_c._ 298-238 B.C.) were both
+followers of Confucianism. Both belonged to the so-called "scholars",
+and both lived in the present Shantung, that is to say, in eastern
+China. Both elaborated the ideas of Confucius, but neither of them
+achieved personal success. Mencius (Meng Tzu) recognized that the
+removal of the ruling house of the Chou no longer presented any
+difficulty. The difficult question for him was when a change of ruler
+would be justified. And how could it be ascertained whom Heaven had
+destined as successor if the existing dynasty was brought down? Mencius
+replied that the voice of the "people", that is to say of the upper
+class and its following, would declare the right man, and that this man
+would then be Heaven's nominee. This theory persisted throughout the
+history of China. Hsuen Tzu's chief importance lies in the fact that he
+recognized that the "laws" of nature are unchanging but that man's fate
+is determined not by nature alone but, in addition, by his own
+activities. Man's nature is basically bad, but by working on himself
+within the framework of society, he can change his nature and can
+develop. Thus, Hsuen Tzu's philosophy contains a dynamic element, fit for
+a dynamic period of history.
+
+In the strongest contrast to these thinkers was the school of Mo Ti (at
+some time between 479 and 381 B.C.). The Confucian school held fast to
+the old feudal order of society, and was only ready to agree to a few
+superficial changes. The school of Mo Ti proposed to alter the
+fundamental principles of society. Family ethics must no longer be
+retained; the principles of family love must be extended to the whole
+upper class, which Mo Ti called the "people". One must love another
+member of the upper class just as much as one's own father. Then the
+friction between individuals and between states would cease. Instead of
+families, large groups of people friendly to one another must be
+created. Further one should live frugally and not expend endless money
+on effete rites, as the Confucianists demanded. The expenditure on
+weddings and funerals under the Confucianist ritual consumed so much
+money that many families fell into debt and, if they were unable to pay
+off the debt, sank from the upper into the lower class. In order to
+maintain the upper class, therefore, there must be more frugality. Mo
+Ti's teaching won great influence. He and his successors surrounded
+themselves with a private army of supporters which was rigidly organized
+and which could be brought into action at any time as its leader wished.
+Thus the Mohists came forward everywhere with an approach entirely
+different from that of the isolated Confucians. When the Mohists offered
+their assistance to a ruler, they brought with them a group of technical
+and military experts who had been trained on the same principles. In
+consequence of its great influence this teaching was naturally hotly
+opposed by the Confucianists.
+
+We see clearly in Mo Ti's and his followers' ideas the influence of the
+changed times. His principle of "universal love" reflects the breakdown
+of the clans and the general weakening of family bonds which had taken
+place. His ideal of social organization resembles organizations of
+merchants and craftsmen which we know only of later periods. His stress
+upon frugality, too, reflects a line of thought which is typical of
+businessmen. The rationality which can also be seen in his metaphysical
+ideas and which has induced modern Chinese scholars to call him an early
+materialist is fitting to an age in which a developing money economy and
+expanding trade required a cool, logical approach to the affairs of this
+world.
+
+A similar mentality can be seen in another school which appeared from
+the fifth century B.C. on, the "dialecticians". Here are a number of
+names to mention: the most important are Kung-sun Lung and Hui Tzu, who
+are comparable with the ancient Greek dialecticians and Sophists. They
+saw their main task in the development of logic. Since, as we have
+mentioned, many "scholars" journeyed from one princely court to another,
+and other people came forward, each recommending his own method to the
+prince for the increase of his power, it was of great importance to be
+able to talk convincingly, so as to defeat a rival in a duel of words on
+logical grounds.
+
+Unquestionably, however, the most important school of this period was
+that of the so-called Legalists, whose most famous representative was
+Shang Yang (or Shang Tzu, died 338 B.C.). The supporters of this school
+came principally from old princely families that had lost their feudal
+possessions, and not from among the so-called scholars. They were people
+belonging to the upper class who possessed political experience and now
+offered their knowledge to other princes who still reigned. These men
+had entirely given up the old conservative traditions of Confucianism;
+they were the first to make their peace with the new social order. They
+recognized that little or nothing remained of the old upper class of
+feudal lords and their following. The last of the feudal lords collected
+around the heads of the last remaining princely courts, or lived quietly
+on the estates that still remained to them. Such a class, with its moral
+and economic strength broken, could no longer lead. The Legalists
+recognized, therefore, only the ruler and next to him, as the really
+active and responsible man, the chancellor; under these there were to be
+only the common people, consisting of the richer and poorer peasants;
+the people's duty was to live and work for the ruler, and to carry out
+without question whatever orders they received. They were not to discuss
+or think, but to obey. The chancellor was to draft laws which came
+automatically into operation. The ruler himself was to have nothing to
+do with the government or with the application of the laws. He was only
+a symbol, a representative of the equally inactive Heaven. Clearly these
+theories were much the best suited to the conditions of the break-up of
+feudalism about 300 B.C. Thus they were first adopted by the state in
+which the old idea of the feudal state had been least developed, the
+state of Ch'in, in which alien peoples were most strongly represented.
+Shang Yang became the actual organizer of the state of Ch'in. His ideas
+were further developed by Han Fei Tzu (died 233 B.C.). The mentality
+which speaks out of his writings has closest similarity to the famous
+Indian Arthashastra which originated slightly earlier; both books
+exhibit a "Macchiavellian" spirit. It must be observed that these
+theories had little or nothing to do with the ideas of the old cult of
+Heaven or with family allegiance; on the other hand, the soldierly
+element, with the notion of obedience, was well suited to the
+militarized peoples of the west. The population of Ch'in, organized
+throughout on these principles, was then in a position to remove one
+opponent after another. In the middle of the third century B.C. the
+greater part of the China of that time was already in the hands of
+Ch'in, and in 256 B.C. the last emperor of the Chou dynasty was
+compelled, in his complete impotence, to abdicate in favour of the ruler
+of Ch'in.
+
+Apart from these more or less political speculations, there came into
+existence in this period, by no mere chance, a school of thought which
+never succeeded in fully developing in China, concerned with natural
+science and comparable with the Greek natural philosophy. We have
+already several times pointed to parallels between Chinese and Indian
+thoughts. Such similarities may be the result of mere coincidence. But
+recent findings in Central Asia indicate that direct connections between
+India, Persia, and China may have started at a time much earlier than we
+had formerly thought. Sogdian merchants who later played a great role in
+commercial contacts might have been active already from 350 or 400 B.C.
+on and might have been the transmitters of new ideas. The most important
+philosopher of this school was Tsou Yen (flourished between 320 and 295
+B.C.); he, as so many other Chinese philosophers of this time, was a
+native of Shantung, and the ports of the Shantung coast may well have
+been ports of entrance of new ideas from Western Asia as were the roads
+through the Turkestan basin into Western China. Tsou Yen's basic ideas
+had their root in earlier Chinese speculations: the doctrine that all
+that exists is to be explained by the positive, creative, or the
+negative, passive action (Yang and Yin) of the five elements, wood,
+fire, earth, metal, and water (Wu hsing). But Tsou Yen also considered
+the form of the world, and was the first to put forward the theory that
+the world consists not of a single continent with China in the middle of
+it, but of nine continents. The names of these continents sound like
+Indian names, and his idea of a central world-mountain may well have
+come from India. The "scholars" of his time were quite unable to
+appreciate this beginning of science, which actually led to the
+contention of this school, in the first century B.C., that the earth was
+of spherical shape. Tsou Yen himself was ridiculed as a dreamer; but
+very soon, when the idea of the reciprocal destruction of the elements
+was applied, perhaps by Tsou Yen himself, to politics, namely when, in
+connection with the astronomical calculations much cultivated by this
+school and through the identification of dynasties with the five
+elements, the attempt was made to explain and to calculate the duration
+and the supersession of dynasties, strong pressure began to be brought
+to bear against this school. For hundreds of years its books were
+distributed and read only in secret, and many of its members were
+executed as revolutionaries. Thus, this school, instead of becoming the
+nucleus of a school of natural science, was driven underground. The
+secret societies which started to arise clearly from the first century
+B.C. on, but which may have been in existence earlier, adopted the
+politico-scientific ideas of Tsou Yen's school. Such secret societies
+have existed in China down to the present time. They all contained a
+strong religious, but heterodox element which can often be traced back
+to influences from a foreign religion. In times of peace they were
+centres of a true, emotional religiosity. In times of stress, a
+"messianic" element tended to become prominent: the world is bad and
+degenerating; morality and a just social order have decayed, but the
+coming of a savior is close; the saviour will bring a new, fair order
+and destroy those who are wicked. Tsou Yen's philosophy seemed to allow
+them to calculate when this new order would start; later secret
+societies contained ideas from Iranian Mazdaism, Manichaeism and
+Buddhism, mixed with traits from the popular religions and often couched
+in terms taken from the Taoists. The members of such societies were,
+typically, ordinary farmers who here found an emotional outlet for their
+frustrations in daily life. In times of stress, members of the leading
+_elite_ often but not always established contacts with these societies,
+took over their leadership and led them to open rebellion.
+
+The fate of Tsou Yen's school did not mean that the Chinese did not
+develop in the field of sciences. At about Tsou Yen's lifetime, the
+first mathematical handbook was written. From these books it is obvious
+that the interest of the government in calculating the exact size of
+fields, the content of measures for grain, and other fiscal problems
+stimulated work in this field, just as astronomy developed from the
+interest of the government in the fixation of the calendar. Science kept
+on developing in other fields, too, but mainly as a hobby of scholars
+and in the shops of craftsmen, if it did not have importance for the
+administration and especially taxation and budget calculations.
+
+
+
+
+Chapter Five
+
+THE CH'IN DYNASTY (256-207 B.C.)
+
+
+1 _Towards the unitary State_
+
+In 256 B.C. the last ruler of the Chou dynasty abdicated in favour of
+the feudal lord of the state of Ch'in. Some people place the beginning
+of the Ch'in dynasty in that year, 256 B.C.; others prefer the date 221
+B.C., because it was only in that year that the remaining feudal states
+came to their end and Ch'in really ruled all China.
+
+The territories of the state of Ch'in, the present Shensi and eastern
+Kansu, were from a geographical point of view transit regions, closed
+off in the north by steppes and deserts and in the south by almost
+impassable mountains. Only between these barriers, along the rivers Wei
+(in Shensi) and T'ao (in Kansu), is there a rich cultivable zone which
+is also the only means of transit from east to west. All traffic from
+and to Turkestan had to take this route. It is believed that strong
+relations with eastern Turkestan began in this period, and the state of
+Ch'in must have drawn big profits from its "foreign trade". The merchant
+class quickly gained more and more importance. The population was
+growing through immigration from the east which the government
+encouraged. This growing population with its increasing means of
+production, especially the great new irrigation systems, provided a
+welcome field for trade which was also furthered by the roads, though
+these were actually built for military purposes.
+
+The state of Ch'in had never been so closely associated with the feudal
+communities of the rest of China as the other feudal states. A great
+part of its population, including the ruling class, was not purely
+Chinese but contained an admixture of Turks and Tibetans. The other
+Chinese even called Ch'in a "barbarian state", and the foreign influence
+was, indeed, unceasing. This was a favourable soil for the overcoming of
+feudalism, and the process was furthered by the factors mentioned in the
+preceding chapter, which were leading to a change in the social
+structure of China. Especially the recruitment of the whole population,
+including the peasantry, for war was entirely in the interest of the
+influential nomad fighting peoples within the state. About 250 B.C.,
+Ch'in was not only one of the economically strongest among the feudal
+states, but had already made an end of its own feudal system.
+
+Every feudal system harbours some seeds of a bureaucratic system of
+administration: feudal lords have their personal servants who are not
+recruited from the nobility, but who by their easy access to the lord
+can easily gain importance. They may, for instance, be put in charge of
+estates, workshops, and other properties of the lord and thus acquire
+experience in administration and an efficiency which are obviously of
+advantage to the lord. When Chinese lords of the preceding period, with
+the help of their sub-lords of the nobility, made wars, they tended to
+put the newly-conquered areas not into the hands of newly-enfeoffed
+noblemen, but to keep them as their property and to put their
+administration into the hands of efficient servants; these were the
+first bureaucratic officials. Thus, in the course of the later Chou
+period, a bureaucratic system of administration had begun to develop,
+and terms like "district" or "prefecture" began to appear, indicating
+that areas under a bureaucratic administration existed beside and inside
+areas under feudal rule. This process had gone furthest in Ch'in and was
+sponsored by the representatives of the Legalist School, which was best
+adapted to the new economic and social situation.
+
+A son of one of the concubines of the penultimate feudal ruler of Ch'in
+was living as a hostage in the neighbouring state of Chao, in what is
+now northern Shansi. There he made the acquaintance of an unusual man,
+the merchant Lue Pu-wei, a man of education and of great political
+influence. Lue Pu-wei persuaded the feudal ruler of Ch'in to declare this
+son his successor. He also sold a girl to the prince to be his wife, and
+the son of this marriage was to be the famous and notorious Shih
+Huang-ti. Lue Pu-wei came with his protege to Ch'in, where he became his
+Prime Minister, and after the prince's death in 247 B.C. Lue Pu-wei
+became the regent for his young son Shih Huang-ti (then called Cheng).
+For the first time in Chinese history a merchant, a commoner, had
+reached one of the highest positions in the state. It is not known what
+sort of trade Lue Pu-wei had carried on, but probably he dealt in horses,
+the principal export of the state of Chao. As horses were an absolute
+necessity for the armies of that time, it is easy to imagine that a
+horse-dealer might gain great political influence.
+
+Soon after Shih Huang-ti's accession Lue Pu-wei was dismissed, and a new
+group of advisers, strong supporters of the Legalist school, came into
+power. These new men began an active policy of conquest instead of the
+peaceful course which Lue Pu-wei had pursued. One campaign followed
+another in the years from 230 to 222, until all the feudal states had
+been conquered, annexed, and brought under Shih Huang-ti's rule.
+
+
+2 _Centralization in every field_
+
+The main task of the now gigantic realm was the organization of
+administration. One of the first acts after the conquest of the other
+feudal states was to deport all the ruling families and other important
+nobles to the capital of Ch'in; they were thus deprived of the basis of
+their power, and their land could be sold. These upper-class families
+supplied to the capital a class of consumers of luxury goods which
+attracted craftsmen and businessmen and changed the character of the
+capital from that of a provincial town to a centre of arts and crafts.
+It was decided to set up the uniform system of administration throughout
+the realm, which had already been successfully introduced in Ch'in: the
+realm was split up into provinces and the provinces into prefectures;
+and an official was placed in charge of each province or prefecture.
+Originally the prefectures in Ch'in had been placed directly under the
+central administration, with an official, often a merchant, being
+responsible for the collection of taxes; the provinces, on the other
+hand, formed a sort of military command area, especially in the
+newly-conquered frontier territories. With the growing militarization of
+Ch'in, greater importance was assigned to the provinces, and the
+prefectures were made subordinate to them. Thus the officials of the
+provinces were originally army officers but now, in the reorganization
+of the whole realm, the distinction between civil and military
+administration was abolished. At the head of the province were a civil
+and also a military governor, and both were supervised by a controller
+directly responsible to the emperor. Since there was naturally a
+continual struggle for power between these three officials, none of them
+was supreme and none could develop into a sort of feudal lord. In this
+system we can see the essence of the later Chinese administration.
+
+[Illustration: 3 Bronze plaque representing two horses fighting each
+other. Ordos region, animal style. _From V. Griessmaier: Sammlung Baron
+Eduard von der Heydt, Vienna 1936, illustration No. 6._]
+
+[Illustration: 4 Hunting scene: detail from the reliefs in the tombs at
+Wu-liang-tz'u. _From a print in the author's possession._]
+
+[Illustration: 5 Part of the 'Great Wall'. _Photo Eberhard._]
+
+Owing to the centuries of division into independent feudal states, the
+various parts of the country had developed differently. Each province
+spoke a different dialect which also contained many words borrowed from
+the language of the indigenous population; and as these earlier
+populations sometimes belonged to different races with different
+languages, in each state different words had found their way into the
+Chinese dialects. This caused divergences not only in the spoken but in
+the written language, and even in the characters in use for writing.
+There exist to this day dictionaries in which the borrowed words of that
+time are indicated, and keys to the various old forms of writing also
+exist. Thus difficulties arose if, for instance, a man from the old
+territory of Ch'in was to be transferred as an official to the east: he
+could not properly understand the language and could not read the
+borrowed words, if he could read at all! For a large number of the
+officials of that time, especially the officers who became military
+governors, were certainly unable to read. The government therefore
+ordered that the language of the whole country should be unified, and
+that a definite style of writing should be generally adopted. The words
+to be used were set out in lists, so that the first lexicography came
+into existence simply through the needs of practical administration, as
+had happened much earlier in Babylon. Thus, the few recently found
+manuscripts from pre-Ch'in times still contain a high percentage of
+Chinese characters which we cannot read because they were local
+characters; but all words in texts after the Ch'in time can be read
+because they belong to the standardized script. We know now that all
+classical texts of pre-Ch'in time as we have them today, have been
+re-written in this standardized script in the second century B.C.: we do
+not know which words they actually contained at the time when they were
+composed, nor how these words were actually pronounced, a fact which
+makes the reconstruction of Chinese language before Ch'in very
+difficult.
+
+The next requirement for the carrying on of the administration was the
+unification of weights and measures and, a surprising thing to us, of
+the gauge of the tracks for wagons. In the various feudal states there
+had been different weights and measures in use, and this had led to
+great difficulties in the centralization of the collection of taxes. The
+centre of administration, that is to say the new capital of Ch'in, had
+grown through the transfer of nobles and through the enormous size of
+the administrative staff into a thickly populated city with very large
+requirements of food. The fields of the former state of Ch'in alone
+could not feed the city; and the grain supplied in payment of taxation
+had to be brought in from far around, partly by cart. The only roads
+then existing consisted of deep cart-tracks. If the axles were not of
+the same length for all carts, the roads were simply unusable for many
+of them. Accordingly a fixed length was laid down for axles. The
+advocates of all these reforms were also their beneficiaries, the
+merchants.
+
+The first principle of the Legalist school, a principle which had been
+applied in Ch'in and which was to be extended to the whole realm, was
+that of the training of the population in discipline and obedience, so
+that it should become a convenient tool in the hands of the officials.
+This requirement was best met by a people composed as far as possible
+only of industrious, uneducated, and tax-paying peasants. Scholars and
+philosophers were not wanted, in so far as they were not directly
+engaged in work commissioned by the state. The Confucianist writings
+came under special attack because they kept alive the memory of the old
+feudal conditions, preaching the ethic of the old feudal class which had
+just been destroyed and must not be allowed to rise again if the state
+was not to suffer fresh dissolution or if the central administration was
+not to be weakened. In 213 B.C. there took place the great holocaust of
+books which destroyed the Confucianist writings with the exception of
+one copy of each work for the State Library. Books on practical subjects
+were not affected. In the fighting at the end of the Ch'in dynasty the
+State Library was burnt down, so that many of the old works have only
+come down to us in an imperfect state and with doubtful accuracy. The
+real loss arose, however, from the fact that the new generation was
+little interested in the Confucianist literature, so that when, fifty
+years later, the effort was made to restore some texts from the oral
+tradition, there no longer existed any scholars who really knew them by
+heart, as had been customary in the past.
+
+In 221 B.C. Shih Huang-ti had become emperor of all China. The judgments
+passed on him vary greatly: the official Chinese historiography rejects
+him entirely--naturally, for he tried to exterminate Confucianism, while
+every later historian was himself a Confucian. Western scholars often
+treat him as one of the greatest men in world history. Closer research
+has shown that Shih Huang-ti was evidently an average man without any
+great gifts, that he was superstitious, and shared the tendency of his
+time to mystical and shamanistic notions. His own opinion was that he
+was the first of a series of ten thousand emperors of his dynasty (Shih
+Huang-ti means "First Emperor"), and this merely suggests megalomania.
+The basic principles of his administration had been laid down long
+before his time by the philosophers of the Legalist school, and were
+given effect by his Chancellor Li Ssu. Li Ssu was the really great
+personality of that period. The Legalists taught that the ruler must do
+as little as possible himself. His Ministers were there to act for him.
+He himself was to be regarded as a symbol of Heaven. In that capacity
+Shih Huang-ti undertook periodical journeys into the various parts of
+the empire, less for any practical purpose of inspection than for
+purposes of public worship. They corresponded to the course of the sun,
+and this indicates that Shih Huang-ti had adopted a notion derived from
+the older northern culture of the nomad peoples.
+
+He planned the capital in an ambitious style but, although there was
+real need for extension of the city, his plans can scarcely be regarded
+as of great service. His enormous palace, and also his mausoleum which
+was built for him before his death, were constructed in accordance with
+astral notions. Within the palace the emperor continually changed his
+residential quarters, probably not only from fear of assassination but
+also for astral reasons. His mausoleum formed a hemispherical dome, and
+all the stars of the sky were painted on its interior.
+
+
+3 _Frontier defence. Internal collapse_
+
+When the empire had been unified by the destruction of the feudal
+states, the central government became responsible for the protection of
+the frontiers from attack from without. In the south there were only
+peoples in a very low state of civilization, who could offer no serious
+menace to the Chinese. The trading colonies that gradually extended to
+Canton and still farther south served as Chinese administrative centres
+for provinces and prefectures, with small but adequate armies of their
+own, so that in case of need they could defend themselves. In the north
+the position was much more difficult. In addition to their conquest
+within China, the rulers of Ch'in had pushed their frontier far to the
+north. The nomad tribes had been pressed back and deprived of their best
+pasturage, namely the Ordos region. When the livelihood of nomad peoples
+is affected, when they are threatened with starvation, their tribes
+often collect round a tribal leader who promises new pasturage and
+better conditions of life for all who take part in the common campaigns.
+In this way the first great union of tribes in the north of China came
+into existence in this period, forming the realm of the Hsiung-nu under
+their first leader, T'ou-man. This first realm of the Hsiung-nu was not
+yet extensive, but its ambitious and warlike attitude made it a danger
+to Ch'in. It was therefore decided to maintain a large permanent army in
+the north. In addition to this, the frontier walls already existing in
+the mountains were rebuilt and made into a single great system. Thus
+came into existence in 214 B.C., out of the blood and sweat of countless
+pressed labourers, the famous Great Wall.
+
+On one of his periodical journeys the emperor fell ill and died. His
+death was the signal for the rising of many rebellious elements. Nobles
+rose in order to regain power and influence; generals rose because they
+objected to the permanent pressure from the central administration and
+their supervision by controllers; men of the people rose as popular
+leaders because the people were more tormented than ever by forced
+labour, generally at a distance from their homes. Within a few months
+there were six different rebellions and six different "rulers".
+Assassinations became the order of the day; the young heir to the throne
+was removed in this way and replaced by another young prince. But as
+early as 206 B.C. one of the rebels, Liu Chi (also called Liu Pang),
+entered the capital and dethroned the nominal emperor. Liu Chi at first
+had to retreat and was involved in hard fighting with a rival, but
+gradually he succeeded in gaining the upper hand and defeated not only
+his rival but also the other eighteen states that had been set up anew
+in China in those years.
+
+
+
+
+THE MIDDLE AGES
+
+
+
+
+Chapter Six
+
+THE HAN DYNASTY (206 B.C.-A.D. 220)
+
+
+1 _Development of the gentry-state_
+
+In 206 B.C. Liu Chi assumed the title of Emperor and gave his dynasty
+the name of the Han Dynasty. After his death he was given as emperor the
+name of Kao Tsu.[4] The period of the Han dynasty may be described as
+the beginning of the Chinese Middle Ages, while that of the Ch'in
+dynasty represents the transition from antiquity to the Middle Ages; for
+under the Han dynasty we meet in China with a new form of state, the
+"gentry state". The feudalism of ancient times has come definitely to
+its end.
+
+    [4] From then on, every emperor was given after his death an
+    official name as emperor, under which he appears in the Chinese
+    sources. We have adopted the original or the official name according
+    to which of the two has come into the more general use in Western
+    books.
+
+Emperor Kao Tsu came from eastern China, and his family seems to have
+been a peasant family; in any case it did not belong to the old
+nobility. After his destruction of his strongest rival, the removal of
+the kings who had made themselves independent in the last years of the
+Ch'in dynasty was a relatively easy task for the new autocrat, although
+these struggles occupied the greater part of his reign. A much more
+difficult question, however, faced him: How was the empire to be
+governed? Kao Tsu's old friends and fellow-countrymen, who had helped
+him into power, had been rewarded by appointment as generals or high
+officials. Gradually he got rid of those who had been his best comrades,
+as so many upstart rulers have done before and after him in every
+country in the world. An emperor does not like to be reminded of a very
+humble past, and he is liable also to fear the rivalry of men who
+formerly were his equals. It is evident that little attention was paid
+to theories of administration; policy was determined mainly by practical
+considerations. Kao Tsu allowed many laws and regulations to remain in
+force, including the prohibition of Confucianist writings. On the other
+hand, he reverted to the allocation of fiefs, though not to old noble
+families but to his relatives and some of his closest adherents,
+generally men of inferior social standing. Thus a mixed administration
+came into being: part of the empire was governed by new feudal princes,
+and another part split up into provinces and prefectures and placed
+directly under the central power through its officials.
+
+But whence came the officials? Kao Tsu and his supporters, as farmers
+from eastern China, looked down upon the trading population to which
+farmers always regard themselves as superior. The merchants were ignored
+as potential officials although they had often enough held official
+appointments under the former dynasty. The second group from which
+officials had been drawn under the Ch'in was that of the army officers,
+but their military functions had now, of course, fallen to Kao Tsu's
+soldiers. The emperor had little faith, however, in the loyalty of
+officers, even of his own, and apart from that he would have had first
+to create a new administrative organization for them. Accordingly he
+turned to another class which had come into existence, the class later
+called the _gentry_, which in practice had the power already in its
+hands.
+
+The term "gentry" has no direct parallel in Chinese texts; the later
+terms "shen-shih" and "chin-shen" do not quite cover this concept. The
+basic unit of the gentry class are families, not individuals. Such
+families often derive their origin from branches of the Chou nobility.
+But other gentry families were of different and more recent origin in
+respect to land ownership. Some late Chou and Ch'in officials of
+non-noble origin had become wealthy and had acquired land; the same was
+true for wealthy merchants and finally, some non-noble farmers who were
+successful in one or another way, bought additional land reaching the
+size of large holdings. All "gentry" families owned substantial estates
+in the provinces which they leased to tenants on a kind of contract
+basis. The tenants, therefore, cannot be called "serfs" although their
+factual position often was not different from the position of serfs. The
+rents of these tenants, usually about half the gross produce, are the
+basis of the livelihood of the gentry. One part of a gentry family
+normally lives in the country on a small home farm in order to be able
+to collect the rents. If the family can acquire more land and if this
+new land is too far away from the home farm to make collection of rents
+easy, a new home farm is set up under the control of another branch of
+the family. But the original home remains to be regarded as the real
+family centre.
+
+In a typical gentry family, another branch of the family is in the
+capital or in a provincial administrative centre in official positions.
+These officials at the same time are the most highly educated members of
+the family and are often called the "literati". There are also always
+individual family members who are not interested in official careers or
+who failed in their careers and live as free "literati" either in the
+big cities or on the home farms. It seems, to judge from much later
+sources, that the families assisted their most able members to enter the
+official careers, while those individuals who were less able were used
+in the administration of the farms. This system in combination with the
+strong familism of the Chinese, gave a double security to the gentry
+families. If difficulties arose in the estates either by attacks of
+bandits or by war or other catastrophes, the family members in official
+positions could use their influence and power to restore the property in
+the provinces. If, on the other hand, the family members in official
+positions lost their positions or even their lives by displeasing the
+court, the home branch could always find ways to remain untouched and
+could, in a generation or two, recruit new members and regain power and
+influence in the government. Thus, as families, the gentry was secure,
+although failures could occur to individuals. There are many gentry
+families who remained in the ruling _elite_ for many centuries, some
+over more than a thousand years, weathering all vicissitudes of life.
+Some authors believe that Chinese leading families generally pass
+through a three- or four-generation cycle: a family member by his
+official position is able to acquire much land, and his family moves
+upward. He is able to give the best education and other facilities to
+his sons who lead a good life. But either these sons or the grandsons
+are spoiled and lazy; they begin to lose their property and status. The
+family moves downward, until in the fourth or fifth generation a new
+rise begins. Actual study of families seems to indicate that this is not
+true. The main branch of the family retains its position over centuries.
+But some of the branch families, created often by the less able family
+members, show a tendency towards downward social mobility.
+
+It is clear from the above that a gentry family should be interested in
+having a fair number of children. The more sons they have, the more
+positions of power the family can occupy and thus, the more secure it
+will be; the more daughters they have, the more "political" marriages
+they can conclude, i.e. marriages with sons of other gentry families in
+positions of influence. Therefore, gentry families in China tend to be,
+on the average, larger than ordinary families, while in our Western
+countries the leading families usually were smaller than the lower class
+families. This means that gentry families produced more children than
+was necessary to replenish the available leading positions; thus, some
+family members had to get into lower positions and had to lose status.
+In view of this situation it was very difficult for lower class families
+to achieve access into this gentry group. In European countries the
+leading _elite_ did not quite replenish their ranks in the next
+generation, so that there was always some chance for the lower classes
+to move up into leading ranks. The gentry society was, therefore, a
+comparably stable society with little upward social mobility but with
+some downward mobility. As a whole and for reasons of gentry
+self-interest, the gentry stood for stability and against change.
+
+The gentry members in the bureaucracy collaborated closely with one
+another because they were tied together by bonds of blood or marriage.
+It was easy for them to find good tutors for their children, because a
+pupil owed a debt of gratitude to his teacher and a child from a gentry
+family could later on nicely repay this debt; often, these teachers
+themselves were members of other gentry families. It was easy for sons
+of the gentry to get into official positions, because the people who had
+to recommend them for office were often related to them or knew the
+position of their family. In Han time, local officials had the duty to
+recommend young able men; if these men turned out to be good, the
+officials were rewarded, if not they were blamed or even punished. An
+official took less of a chance, if he recommended a son of an
+influential family, and he obliged such a candidate so that he could
+later count on his help if he himself should come into difficulties.
+When, towards the end of the second century B.C., a kind of examination
+system was introduced, this attitude was not basically changed.
+
+The country branch of the family by the fact that it controlled large
+tracts of land, supplied also the logical tax collectors: they had the
+standing and power required for this job. Even if they were appointed in
+areas other than their home country (a rule which later was usually
+applied), they knew the gentry families of the other district or were
+related to them and got their support by appointing their members as
+their assistants.
+
+Gentry society continued from Kao Tsu's time to 1948, but it went
+through a number of phases of development and changed considerably in
+time. We will later outline some of the most important changes. In
+general the number of politically leading gentry families was around one
+hundred (texts often speak of "the hundred families" in this time) and
+they were concentrated in the capital; the most important home seats of
+these families in Han time were close to the capital and east of it or
+in the plains of eastern China, at that time the main centre of grain
+production.
+
+We regard roughly the first one thousand years of "Gentry Society" as
+the period of the Chinese "Middle Ages", beginning with the Han dynasty;
+the preceding time of the Ch'in was considered as a period of
+transition, a time in which the feudal period of "Antiquity" came to a
+formal end and a new organization of society began to become visible.
+Even those authors who do not accept a sociological classification of
+periods and many authors who use Marxist categories, believe that with
+Ch'in and Han a new era in Chinese history began.
+
+
+2 _Situation of the Hsiung-nu empire; its relation to the Han empire.
+Incorporation of South China_
+
+In the time of the Ch'in dynasty there had already come into unpleasant
+prominence north of the Chinese frontier the tribal union, then
+relatively small, of the Hsiung-nu. Since then, the Hsiung-nu empire had
+destroyed the federation of the Yueeh-chih tribes (some of which seem to
+have been of Indo-European language stock) and incorporated their people
+into their own federation; they had conquered also the less well
+organized eastern pastoral tribes, the Tung-hu and thus had become a
+formidable power. Everything goes to show that it had close relations
+with the territories of northern China. Many Chinese seem to have
+migrated to the Hsiung-nu empire, where they were welcome as artisans
+and probably also as farmers; but above all they were needed for the
+staffing of a new state administration. The scriveners in the newly
+introduced state secretariat were Chinese and wrote Chinese, for at that
+time the Hsiung-nu apparently had no written language. There were
+Chinese serving as administrators and court officials, and even as
+instructors in the army administration, teaching the art of warfare
+against non-nomads. But what was the purpose of all this? Mao Tun, the
+second ruler of the Hsiung-nu, and his first successors undoubtedly
+intended ultimately to conquer China, exactly as many other northern
+peoples after them planned to do, and a few of them did. The main
+purpose of this was always to bring large numbers of peasants under the
+rule of the nomad rulers and so to solve, once for all, the problem of
+the provision of additional winter food. Everything that was needed, and
+everything that seemed to be worth trying to get as they grew more
+civilized, would thus be obtained better and more regularly than by
+raids or by tedious commercial negotiations. But if China was to be
+conquered and ruled there must exist a state organization of equal
+authority to hers; the Hsiung-nu ruler must himself come forward as Son
+of Heaven and develop a court ceremonial similar to that of a Chinese
+emperor. Thus the basis of the organization of the Hsiung-nu state lay
+in its rivalry with the neighbouring China; but the details naturally
+corresponded to the special nature of the Hsiung-nu social system. The
+young Hsiung-nu feudal state differed from the ancient Chinese feudal
+state not only in depending on a nomad economy with only supplementary
+agriculture, but also in possessing, in addition to a whole class of
+nobility and another of commoners, a stratum of slavery to be analysed
+further below. Similar to the Chou state, the Hsiung-nu state contained,
+especially around the ruler, an element of court bureaucracy which,
+however, never developed far enough to replace the basically feudal
+character of administration.
+
+Thus Kao Tsu was faced in Mao Tun not with a mere nomad chieftain but
+with the most dangerous of enemies, and Kao Tsu's policy had to be
+directed to preventing any interference of the Hsiung-nu in North
+Chinese affairs, and above all to preventing alliances between Hsiung-nu
+and Chinese. Hsiung-nu alone, with their technique of horsemen's
+warfare, would scarcely have been equal to the permanent conquest of the
+fortified towns of the north and the Great Wall, although they
+controlled a population which may have been in excess of 2,000,000
+people. But they might have succeeded with Chinese aid. Actually a
+Chinese opponent of Kao Tsu had already come to terms with Mao Tun, and
+in 200 B.C. Kao Tsu was very near suffering disaster in northern Shansi,
+as a result of which China would have come under the rule of the
+Hsiung-nu. But it did not come to that, and Mao Tun made no further
+attempt, although the opportunity came several times. Apparently the
+policy adopted by his court was not imperialistic but national, in the
+uncorrupted sense of the word. It was realized that a country so thickly
+populated as China could only be administered from a centre within
+China. The Hsiung-nu would thus have had to abandon their home territory
+and rule in China itself. That would have meant abandoning the flocks,
+abandoning nomad life, and turning into Chinese. The main supporters of
+the national policy, the first principle of which was loyalty to the old
+ways of life, seem to have been the tribal chieftains. Mao Tun fell in
+with their view, and the Hsiung-nu maintained their state as long as
+they adhered to that principle--for some seven hundred years. Other
+nomad peoples, Toba, Mongols, and Manchus, followed the opposite policy,
+and before long they were caught in the mechanism of the much more
+highly developed Chinese economy and culture, and each of them
+disappeared from the political scene in the course of a century or so.
+
+The national line of policy of the Hsiung-nu did not at all mean an end
+of hostilities and raids on Chinese territory, so that Kao Tsu declared
+himself ready to give the Hsiung-nu the foodstuffs and clothing
+materials they needed if they would make an end of their raids. A treaty
+to this effect was concluded, and sealed by the marriage of a Chinese
+princess with Mao Tun. This was the first international treaty in the
+Far East between two independent powers mutually recognized as equals,
+and the forms of international diplomacy developed in this time remained
+the standard forms for the next thousand years. The agreement was
+renewed at the accession of each new ruler, but was never adhered to
+entirely by either side. The needs of the Hsiung-nu increased with the
+expansion of their empire and the growing luxury of their court; the
+Chinese, on the other hand, wanted to give as little as possible, and no
+doubt they did all they could to cheat the Hsiung-nu. Thus, in spite of
+the treaties the Hsiung-nu raids went on. With China's progressive
+consolidation, the voluntary immigration of Chinese into the Hsiung-nu
+empire came to an end, and the Hsiung-nu actually began to kidnap
+Chinese subjects. These were the main features of the relations between
+Chinese and Hsiung-nu almost until 100 B.C.
+
+In the extreme south, around the present-day Canton, another independent
+empire had been formed in the years of transition, under the leadership
+of a Chinese. The narrow basis of this realm was no doubt provided by
+the trading colonies, but the indigenous population of Yueeh tribes was
+insufficiently civilized for the building up of a state that could have
+maintained itself against China. Kao Tsu sent a diplomatic mission to
+the ruler of this state, and invited him to place himself under Chinese
+suzerainty (196 B.C.). The ruler realized that he could offer no serious
+resistance, while the existing circumstances guaranteed him virtual
+independence and he yielded to Kao Tsu without a struggle.
+
+
+3 _Brief feudal reaction. Consolidation of the gentry_
+
+Kao Tsu died in 195 B.C. From then to 179 the actual ruler was his
+widow, the empress Lue, while children were officially styled emperors.
+The empress tried to remove all the representatives of the emperor's
+family and to replace them with members of her own family. To secure her
+position she revived the feudal system, but she met with strong
+resistance from the dynasty and its supporters who already belonged in
+many cases to the new gentry, and who did not want to find their
+position jeopardized by the creation of new feudal lords.
+
+On the death of the empress her opponents rose, under the leadership of
+Kao Tsu's family. Every member of the empress's family was exterminated,
+and a son of Kao Tsu, known later under the name of Wen Ti (Emperor
+Wen), came to the throne. He reigned from 179 to 157 B.C. Under him
+there were still many fiefs, but with the limitation which the emperor
+Kao Tsu had laid down shortly before his death: only members of the
+imperial family should receive fiefs, to which the title of King was
+attached. Thus all the more important fiefs were in the hands of the
+imperial family, though this did not mean that rivalries came to an end.
+
+On the whole Wen Ti's period of rule passed in comparative peace. For
+the first time since the beginning of Chinese history, great areas of
+continuous territory were under unified rule, without unending internal
+warfare such as had existed under Shih Huang-ti and Kao Tsu. The
+creation of so extensive a region of peace produced great economic
+advance. The burdens that had lain on the peasant population were
+reduced, especially since under Wen Ti the court was very frugal. The
+population grew and cultivated fresh land, so that production increased
+and with it the exchange of goods. The most outstanding sign of this was
+the abandonment of restrictions on the minting of copper coin, in order
+to prevent deflation through insufficiency of payment media. As a
+consequence more taxes were brought in, partly in kind, partly in coin,
+and this increased the power of the central government. The new gentry
+streamed into the towns, their standard of living rose, and they made
+themselves more and more into a class apart from the general population.
+As people free from material cares, they were able to devote themselves
+to scholarship. They went back to the old writings and studied them once
+more. They even began to identify themselves with the nobles of feudal
+times, to adopt the rules of good behaviour and the ceremonial described
+in the Confucianist books, and very gradually, as time went on, to make
+these their textbooks of good form. From this point the Confucianist
+ideals first began to penetrate the official class recruited from the
+gentry, and then the state organization itself. It was expected that an
+official should be versed in Confucianism, and schools were set up for
+Confucianist education. Around 100 B.C. this led to the introduction of
+the examination system, which gradually became the one method of
+selection of new officials. The system underwent many changes, but
+remained in operation in principle until 1904. The object of the
+examinations was not to test job efficiency but command of the ideals of
+the gentry and knowledge of the literature inculcating them: this was
+regarded as sufficient qualification for any position in the service of
+the state.
+
+In theory this path to training of character and to admission to the
+state service was open to every "respectable" citizen. Of the
+traditional four "classes" of Chinese society, only the first two,
+officials (_shih_) and farmers (_nung_) were always regarded as fully
+"respectable" (_liang-min_). Members of the other two classes, artisans
+(_kung_) and merchants (_shang_), were under numerous restrictions.
+Below these were classes of "lowly people" (_ch'ien-min_) and below
+these the slaves which were not part of society proper. The privileges
+and obligations of these categories were soon legally fixed. In
+practice, during the first thousand years of the existence of the
+examination system no peasant had a chance to become an official by
+means of the examinations. In the Han period the provincial officials
+had to propose suitable young persons for examination, and so for
+admission to the state service, as was already mentioned. In addition,
+schools had been instituted for the sons of officials; it is interesting
+to note that there were, again and again, complaints about the low level
+of instruction in these schools. Nevertheless, through these schools all
+sons of officials, whatever their capacity or lack of capacity, could
+become officials in their turn. In spite of its weaknesses, the system
+had its good side. It inoculated a class of people with ideals that were
+unquestionably of high ethical value. The Confucian moral system gave a
+Chinese official or any member of the gentry a spiritual attitude and an
+outward bearing which in their best representatives has always commanded
+respect, an integrity that has always preserved its possessors, and in
+consequence Chinese society as a whole, from moral collapse, from
+spiritual nihilism, and has thus contributed to the preservation of
+Chinese cultural values in spite of all foreign conquerors.
+
+In the time of Wen Ti and especially of his successors, the revival at
+court of the Confucianist ritual and of the earlier Heaven-worship
+proceeded steadily. The sacrifices supposed to have been performed in
+ancient times, the ritual supposed to have been prescribed for the
+emperor in the past, all this was reintroduced. Obviously much of it was
+spurious: much of the old texts had been lost, and when fragments were
+found they were arbitrarily completed. Moreover, the old writing was
+difficult to read and difficult to understand; thus various things were
+read into the texts without justification. The new Confucians who came
+forward as experts in the moral code were very different men from their
+predecessors; above all, like all their contemporaries, they were
+strongly influenced by the shamanistic magic that had developed in the
+Ch'in period.
+
+Wen Ti's reign had brought economic advance and prosperity;
+intellectually it had been a period of renaissance, but like every such
+period it did not simply resuscitate what was old, but filled the
+ancient moulds with an entirely new content. Socially the period had
+witnessed the consolidation of the new upper class, the gentry, who
+copied the mode of life of the old nobility. This is seen most clearly
+in the field of law. In the time of the Legalists the first steps had
+been taken in the codification of the criminal law. They clearly
+intended these laws to serve equally for all classes of the people. The
+Ch'in code which was supposedly Li K'uei's code, was used in the Han
+period, and was extensively elaborated by Siao Ho (died 193 B.C.) and
+others. This code consisted of two volumes of the chief laws for grave
+cases, one of mixed laws for the less serious cases, and six volumes on
+the imposition of penalties. In the Han period "decisions" were added,
+so that about A.D. 200 the code had grown to 26,272 paragraphs with over
+17,000,000 words. The collection then consisted of 960 volumes. This
+colossal code has been continually revised, abbreviated, or expanded,
+and under its last name of "Collected Statues of the Manchu Dynasty" it
+retained its validity down to the present century.
+
+Alongside this collection there was another book that came to be
+regarded and used as a book of precedences. The great Confucianist
+philosopher Tung Chung-shu (179-104 B.C.), a firm supporter of the
+ideology of the new gentry class, declared that the classic Confucianist
+writings, and especially the book _Ch'un-ch'iu_, "Annals of Spring and
+Autumn", attributed to Confucius himself, were essentially books of
+legal decisions. They contained "cases" and Confucius's decisions of
+them. Consequently any case at law that might arise could be decided by
+analogy with the cases contained in "Annals of Spring and Autumn". Only
+an educated person, of course, a member of the gentry, could claim that
+his action should be judged by the decisions of Confucius and not by the
+code compiled for the common people, for Confucius had expressly stated
+that his rules were intended only for the upper class. Thus, right down
+to modern times an educated person could be judged under regulations
+different from those applicable to the common people, or if judged on
+the basis of the laws, he had to expect a special treatment. The
+principle of the "equality before the law" which the Legalists had
+advocated and which fitted well into the absolutistic, totalitarian
+system of the Ch'in, had been attacked by the feudal nobility at that
+time and was attacked by the new gentry of the Han time. Legalist
+thinking remained an important undercurrent for many centuries to come,
+but application of the equalitarian principle was from now on never
+seriously considered.
+
+Against the growing influence of the officials belonging to the gentry
+there came a last reaction. It came as a reply to the attempt of a
+representative of the gentry to deprive the feudal princes of the whole
+of their power. In the time of Wen Ti's successor a number of feudal
+kings formed an alliance against the emperor, and even invited the
+Hsiung-nu to join them. The Hsiung-nu did not do so, because they saw
+that the rising had no prospect of success, and it was quelled. After
+that the feudal princes were steadily deprived of rights. They were
+divided into two classes, and only privileged ones were permitted to
+live in the capital, the others being required to remain in their
+domains. At first, the area was controlled by a "minister" of the
+prince, an official of the state; later the area remained under normal
+administration and the feudal prince kept only an empty title; the tax
+income of a certain number of families of an area was assigned to him
+and transmitted to him by normal administrative channels. Often, the
+number of assigned families was fictional in that the actual income was
+from far fewer families. This system differs from the Near Eastern
+system in which also no actual enfeoffment took place, but where
+deserving men were granted the right to collect themselves the taxes of
+a certain area with certain numbers of families.
+
+Soon after this the whole government was given the shape which it
+continued to have until A.D. 220, and which formed the point of
+departure for all later forms of government. At the head of the state
+was the emperor, in theory the holder of absolute power in the state
+restricted only by his responsibility towards "Heaven", i.e. he had to
+follow and to enforce the basic rules of morality, otherwise "Heaven"
+would withdraw its "mandate", the legitimation of the emperor's rule,
+and would indicate this withdrawal by sending natural catastrophes. Time
+and again we find emperors publicly accusing themselves for their faults
+when such catastrophes occurred; and to draw the emperor's attention to
+actual or made-up calamities or celestrial irregularities was one way to
+criticize an emperor and to force him to change his behaviour. There are
+two other indications which show that Chinese emperors--excepting a few
+individual cases--at least in the first ten centuries of gentry society
+were not despots: it can be proved that in some fields the
+responsibility for governmental action did not lie with the emperor but
+with some of his ministers. Secondly, the emperor was bound by the law
+code: he could not change it nor abolish it. We know of cases in which
+the ruler disregarded the code, but then tried to "defend" his arbitrary
+action. Each new dynasty developed a new law code, usually changing only
+details of the punishment, not the basic regulations. Rulers could issue
+additional "regulations", but these, too, had to be in the spirit of
+the general code and the existing moral norms. This situation has some
+similarity to the situation in Muslim countries. At the ruler's side
+were three counsellors who had, however, no active functions. The real
+conduct of policy lay in the hands of the "chancellor", or of one of the
+"nine ministers". Unlike the practice with which we are familiar in the
+West, the activities of the ministries (one of them being the court
+secretariat) were concerned primarily with the imperial palace. As,
+however, the court secretariat, one of the nine ministries, was at the
+same time a sort of imperial statistical office, in which all economic,
+financial, and military statistical material was assembled, decisions on
+issues of critical importance for the whole country could and did come
+from it. The court, through the Ministry of Supplies, operated mines and
+workshops in the provinces and organized the labour service for public
+constructions. The court also controlled centrally the conscription for
+the general military service. Beside the ministries there was an
+extensive administration of the capital with its military guards. The
+various parts of the country, including the lands given as fiefs to
+princes, had a local administration, entirely independent of the central
+government and more or less elaborated according to their size. The
+regional administration was loosely associated with the central
+government through a sort of primitive ministry of the interior, and
+similarly the Chinese representatives in the protectorates, that is to
+say the foreign states which had submitted to Chinese protective
+overlordship, were loosely united with a sort of foreign ministry in the
+central government. When a rising or a local war broke out, that was the
+affair of the officer of the region concerned. If the regional troops
+were insufficient, those of the adjoining regions were drawn upon; if
+even these were insufficient, a real "state of war" came into being;
+that is to say, the emperor appointed eight generals-in-chief, mobilized
+the imperial troops, and intervened. This imperial army then had
+authority over the regional and feudal troops, the troops of the
+protectorates, the guards of the capital, and those of the imperial
+palace. At the end of the war the imperial army was demobilized and the
+generals-in-chief were transferred to other posts.
+
+In all this there gradually developed a division into civil and military
+administration. A number of regions would make up a province with a
+military governor, who was in a sense the representative of the imperial
+army, and who was supposed to come into activity only in the event of
+war.
+
+This administration of the Han period lacked the tight organization that
+would make precise functioning possible. On the other hand, an
+extremely important institution had already come into existence in a
+primitive form. As central statistical authority, the court secretariat
+had a special position within the ministries and supervised the
+administration of the other offices. Thus there existed alongside the
+executive a means of independent supervision of it, and the resulting
+rivalry enabled the emperor or the chancellor to detect and eliminate
+irregularities. Later, in the system of the T'ang period (A.D. 618-906),
+this institution developed into an independent censorship, and the
+system was given a new form as a "State and Court Secretariat", in which
+the whole executive was comprised and unified. Towards the end of the
+T'ang period the permanent state of war necessitated the permanent
+commissioning of the imperial generals-in-chief and of the military
+governors, and as a result there came into existence a "Privy Council of
+State", which gradually took over functions of the executive. The system
+of administration in the Han and in the T'ang period is shown in the
+following table:
+
+     _Han epoch_                             _T'ang epoch_
+
+  1. Emperor                              1. Emperor
+
+  2. Three counsellors to the emperor     2. Three counsellors and three
+     (with no active functions)              assistants (with no active
+                                             functions)
+
+  3. Eight supreme generals               3. Generals and Governors-General
+     (only appointed in time of war)         (only appointed in time of
+                                             war; but in practice
+                                             continuously in office)
+
+  4. ----                                 4. (a) State secretariat
+                                               (1) Central secretariat
+                                               (2) Secretariat of the Crown
+                                               (3) Secretariat of the Palace
+                                                   and imperial historical
+                                                   commission
+
+                                          4. (b) Emperor's Secretariat
+                                               (1) Private Archives
+                                               (2) Court Adjutants' Office
+                                               (3) Harem administration
+
+  5. Court administration (Ministries)    5. Court administration
+                                             (Ministries)
+    (1) Ministry for state sacrifices          (1) Ministry for state
+                                                   sacrifices
+    (2) Ministry for imperial coaches          (2) Ministry for imperial
+       and horses                                  coaches and horses
+    (3) Ministry for justice at court          (3) Ministry for justice
+                                                   at court
+    (4) Ministry for receptions                (4) Ministry for receptions
+                                                   (i.e. foreign affairs)
+    (5) Ministry for ancestors'                (5) Ministry for ancestors'
+        temples                                    temples
+    (6) Ministry for supplies to the           (6) Ministry for supplies to
+        court                                      the court
+    (7) Ministry for the harem                 (7) Economic and financial
+                                                   Ministry
+    (8) Ministry for the palace                (8) Ministry for the payment
+        guards                                     of salaries
+    (9) Ministry for the court                 (9) Ministry for armament
+        (state secretariat)                        and magazines
+
+  6. Administration of the capital:       6. Administration of the capital:
+    (1) Crown prince's palace                  (1) Crown prince's palace
+    (2) Security service for the capital       (2) Palace guards and guards'
+                                                   office
+    (3) Capital administration:                (3) Arms production
+      (a) Guards of the capital                    department
+      (b) Guards of the city gates
+      (c) Building department
+                                               (4) Labour service
+                                                   department
+                                               (5) Building department
+                                               (6) Transport department
+                                               (7) Department for education
+                                                   (of sons of officials!)
+
+  7. Ministry of the Interior             7. Ministry of the Interior
+     (Provincial administration)             (Provincial administration)
+
+  8. Foreign Ministry                     8. ----
+
+                                          9. Censorship (Audit council)
+
+
+There is no denying that according to our standard this whole system was
+still elementary and "personal", that is to say, attached to the
+emperor's person--though it should not be overlooked that we ourselves
+are not yet far from a similar phase of development. To this day the
+titles of not a few of the highest officers of state--the Lord Privy
+Seal, for instance--recall that in the past their offices were conceived
+as concerned purely with the personal service of the monarch. In one
+point, however, the Han administrative set-up was quite modern: it
+already had a clear separation between the emperor's private treasury
+and the state treasury; laws determined which of the two received
+certain taxes and which had to make certain payments. This separation,
+which in Europe occurred not until the late Middle Ages, in China was
+abolished at the end of the Han Dynasty.
+
+The picture changes considerably to the advantage of the Chinese as soon
+as we consider the provincial administration. The governor of a
+province, and each of his district officers or prefects, had a staff
+often of more than a hundred officials. These officials were drawn from
+the province or prefecture and from the personal friends of the
+administrator, and they were appointed by the governor or the prefect.
+The staff was made up of officials responsible for communications with
+the central or provincial administration (private secretary, controller,
+finance officer), and a group of officials who carried on the actual
+local administration. There were departments for transport, finance,
+education, justice, medicine (hygiene), economic and military affairs,
+market control, and presents (which had to be made to the higher
+officials at the New Year and on other occasions). In addition to these
+offices, organized in a quite modern style, there was an office for
+advising the governor and another for drafting official documents and
+letters.
+
+The interesting feature of this system is that the provincial
+administration was _de facto_ independent of the central administration,
+and that the governor and even his prefects could rule like kings in
+their regions, appointing and discharging as they chose. This was a
+vestige of feudalism, but on the other hand it was a healthy check
+against excessive centralization. It is thanks to this system that even
+the collapse of the central power or the cutting off of a part of the
+empire did not bring the collapse of the country. In a remote frontier
+town like Tunhuang, on the border of Turkestan, the life of the local
+Chinese went on undisturbed whether communication with the capital was
+maintained or was broken through invasions by foreigners. The official
+sent from the centre would be liable at any time to be transferred
+elsewhere; and he had to depend on the practical knowledge of his
+subordinates, the members of the local families of the gentry. These
+officials had the local government in their hands, and carried on the
+administration of places like Tunhuang through a thousand years and
+more. The Hsin family, for instance, was living there in 50 B.C. and was
+still there in A.D. 950; and so were the Yin, Ling-hu, Li, and K'ang
+families.
+
+All the officials of the various offices or Ministries were appointed
+under the state examination system, but they had no special professional
+training; only for the more important subordinate posts were there
+specialists, such as jurists, physicians, and so on. A change came
+towards the end of the T'ang period, when a Department of Commerce and
+Monopolies was set up; only specialists were appointed to it, and it was
+placed directly under the emperor. Except for this, any official could
+be transferred from any ministry to any other without regard to his
+experience.
+
+
+4 _Turkestan policy. End of the Hsiung-nu empire_
+
+In the two decades between 160 and 140 B.C. there had been further
+trouble with the Hsiung-nu, though there was no large-scale fighting.
+There was a fundamental change of policy under the next emperor, Wu (or
+Wu Ti, 141-86 B.C.). The Chinese entered for the first time upon an
+active policy against the Hsiung-nu. There seem to have been several
+reasons for this policy, and several objectives. The raids of the
+Hsiung-nu from the Ordos region and from northern Shansi had shown
+themselves to be a direct menace to the capital and to its extremely
+important hinterland. Northern Shansi is mountainous, with deep ravines.
+A considerable army on horseback could penetrate some distance to the
+south before attracting attention. Northern Shensi and the Ordos region
+are steppe country, in which there were very few Chinese settlements and
+through which an army of horsemen could advance very quickly. It was
+therefore determined to push back the Hsiung-nu far enough to remove
+this threat. It was also of importance to break the power of the
+Hsiung-nu in the province of Kansu, and to separate them as far as
+possible from the Tibetans living in that region, to prevent any union
+between those two dangerous adversaries. A third point of importance was
+the safeguarding of caravan routes. The state, and especially the
+capital, had grown rich through Wen Ti's policy. Goods streamed into the
+capital from all quarters. Commerce with central Asia had particularly
+increased, bringing the products of the Middle East to China. The
+caravan routes passed through western Shensi and Kansu to eastern
+Turkestan, but at that time the Hsiung-nu dominated the approaches to
+Turkestan and were in a position to divert the trade to themselves or
+cut it off. The commerce brought profit not only to the caravan traders,
+most of whom were probably foreigners, but to the officials in the
+provinces and prefectures through which the routes passed. Thus the
+officials in western China were interested in the trade routes being
+brought under direct control, so that the caravans could arrive
+regularly and be immune from robbery. Finally, the Chinese government
+may well have regarded it as little to its honour to be still paying
+dues to the Hsiung-nu and sending princesses to their rulers, now that
+China was incomparably wealthier and stronger than at the time when that
+policy of appeasement had begun.
+
+[Illustration: Map 3. China in the struggle with, the Huns or Hsiung Nu
+_(roughly 128-100 B.C.)_]
+
+The first active step taken was to try, in 133 B.C., to capture the
+head of the Hsiung-nu state, who was called a _shan-yue_; but the
+_shan-yue_ saw through the plan and escaped. There followed a period of
+continuous fighting until 119 B.C. The Chinese made countless attacks,
+without lasting success. But the Hsiung-nu were weakened, one sign of
+this being that there were dissensions after the death of the _shan-yue_
+Chuen-ch'en, and in 127 B.C. his son went over to the Chinese. Finally
+the Chinese altered their tactics, advancing in 119 B.C. with a strong
+army of cavalry, which suffered enormous losses but inflicted serious
+loss on the Hsiung-nu. After that the Hsiung-nu withdrew farther to the
+north, and the Chinese settled peasants in the important region of
+Kansu.
+
+Meanwhile, in 125 B.C., the famous Chang Ch'ien had returned. He had
+been sent in 138 to conclude an alliance with the Yueeh-chih against the
+Hsiung-nu. The Yueeh-chih had formerly been neighbours of the Hsiung-nu
+as far as the Ala Shan region, but owing to defeat by the Hsiung-nu
+their remnants had migrated to western Turkestan. Chang Ch'ien had
+followed them. Politically he had had no success, but he brought back
+accurate information about the countries in the far west, concerning
+which nothing had been known beyond the vague reports of merchants. Now
+it was learnt whence the foreign goods came and whither the Chinese
+goods went. Chang Ch'ien's reports (which are one of the principal
+sources for the history of central Asia at that remote time)
+strengthened the desire to enter into direct and assured commercial
+relations with those distant countries. The government evidently thought
+of getting this commerce into its own hands. The way to do this was to
+impose "tribute" on the countries concerned. The idea was that the
+missions bringing the annual "tribute" would be a sort of state
+bartering commissions. The state laid under tribute must supply
+specified goods at its own cost, and received in return Chinese produce,
+the value of which was to be roughly equal to the "tribute". Thus Chang
+Ch'ien's reports had the result that, after the first successes against
+the Hsiung-nu, there was increased interest in a central Asian policy.
+The greatest military success were the campaigns of General Li Kuang-li
+to Ferghana in 104 and 102 B.C. The result of the campaigns was to bring
+under tribute all the small states in the Tarim basin and some of the
+states of western Turkestan. From now on not only foreign consumer goods
+came freely into China, but with them a great number of other things,
+notably plants such as grape, peach, pomegranate.
+
+In 108 B.C. the western part of Korea was also conquered. Korea was
+already an important transit region for the trade with Japan. Thus this
+trade also came under the direct influence of the Chinese government.
+Although this conquest represented a peril to the eastern flank of the
+Hsiung-nu, it did not by any means mean that they were conquered. The
+Hsiung-nu while weakened evaded the Chinese pressure, but in 104 B.C.
+and again in 91 they inflicted defeats on the Chinese. The Hsiung-nu
+were indirectly threatened by Chinese foreign policy, for the Chinese
+concluded an alliance with old enemies of the Hsiung-nu, the Wu-sun, in
+the north of the Tarim basin. This made the Tarim basin secure for the
+Chinese, and threatened the Hsiung-nu with a new danger in their rear.
+Finally the Chinese did all they could through intrigue, espionage, and
+sabotage to promote disunity and disorder within the Hsiung-nu, though
+it cannot be seen from the Chinese accounts how far the Chinese were
+responsible for the actual conflicts and the continual changes of
+_shan-yue_. Hostilities against the Hsiung-nu continued incessantly,
+after the death of Wu Ti, under his successor, so that the Hsiung-nu
+were further weakened. In consequence of this it was possible to rouse
+against them other tribes who until then had been dependent on them--the
+Ting-ling in the north and the Wu-huan in the east. The internal
+difficulties of the Hsiung-nu increased further.
+
+Wu Ti's active policy had not been directed only against the Hsiung-nu.
+After heavy fighting he brought southern China, with the region round
+Canton, and the south-eastern coast, firmly under Chinese dominion--in
+this case again on account of trade interests. No doubt there were
+already considerable colonies of foreign merchants in Canton and other
+coastal towns, trading in Indian and Middle East goods. The traders seem
+often to have been Sogdians. The southern wars gave Wu Ti the control of
+the revenues from this commerce. He tried several times to advance
+through Yuennan in order to secure a better land route to India, but
+these attempts failed. Nevertheless, Chinese influence became stronger
+in the south-west.
+
+In spite of his long rule, Wu Ti did not leave an adult heir, as the
+crown prince was executed, with many other persons, shortly before Wu
+Ti's death. The crown prince had been implicated in an alleged attempt
+by a large group of people to remove the emperor by various sorts of
+magic. It is difficult to determine today what lay behind this affair;
+probably it was a struggle between two cliques of the gentry. Thus a
+regency council had to be set up for the young heir to the throne; it
+included a member of a Hsiung-nu tribe. The actual government was in the
+hands of a general and his clique until the death of the heir to the
+throne, and at the beginning of his successor's reign.
+
+At this time came the end of the Hsiung-nu empire--a foreign event of
+the utmost importance. As a result of the continual disastrous wars
+against the Chinese, in which not only many men but, especially, large
+quantities of cattle fell into Chinese hands, the livelihood of the
+Hsiung-nu was seriously threatened; their troubles were increased by
+plagues and by unusually severe winters. To these troubles were added
+political difficulties, including unsettled questions in regard to the
+succession to the throne. The result of all this was that the Hsiung-nu
+could no longer offer effective military resistance to the Chinese.
+There were a number of _shan-yue_ ruling contemporaneously as rivals, and
+one of them had to yield to the Chinese in 58 B.C.; in 51 he came as a
+vassal to the Chinese court. The collapse of the Hsiung-nu empire was
+complete. After 58 B.C. the Chinese were freed from all danger from that
+quarter and were able, for a time, to impose their authority in Central
+Asia.
+
+
+5 _Impoverishment. Cliques. End of the Dynasty_
+
+In other respects the Chinese were not doing as well as might have been
+assumed. The wars carried on by Wu Ti and his successors had been
+ruinous. The maintenance of large armies of occupation in the new
+regions, especially in Turkestan, also meant a permanent drain on the
+national funds. There was a special need for horses, for the people of
+the steppes could only be fought by means of cavalry. As the Hsiung-nu
+were supplying no horses, and the campaigns were not producing horses
+enough as booty, the peasants had to rear horses for the government.
+Additional horses were bought at very high prices, and apart from this
+the general financing of the wars necessitated increased taxation of the
+peasants, a burden on agriculture no less serious than was the enrolment
+of many peasants for military service. Finally, the new external trade
+did not by any means bring the advantages that had been hoped for. The
+tribute missions brought tribute but, to begin with, this meant an
+obligation to give presents in return; moreover, these missions had to
+be fed and housed in the capital, often for months, as the official
+receptions took place only on New Year's Day. Their maintenance entailed
+much expense, and meanwhile the members of the missions traded privately
+with the inhabitants and the merchants of the capital, buying things
+they needed and selling things they had brought in addition to the
+tribute. The tribute itself consisted mainly of "precious articles",
+which meant strange or rare things of no practical value. The emperor
+made use of them as elements of personal luxury, or made presents of
+some of them to deserving officials. The gifts offered by the Chinese in
+return consisted mainly of silk. Silk was received by the government as
+a part of the tax payments and formed an important element of the
+revenue of the state. It now went abroad without bringing in any
+corresponding return. The private trade carried on by the members of the
+missions was equally unserviceable to the Chinese. It, too, took from
+them goods of economic value, silk and gold, which went abroad in
+exchange for luxury articles of little or no economic importance, such
+as glass, precious stones, or stud horses, which in no way benefited the
+general population. Thus in this last century B.C. China's economic
+situation grew steadily and fairly rapidly worse. The peasants, more
+heavily taxed than ever, were impoverished, and yet the exchequer became
+not fuller but emptier, so that gold began even to be no longer
+available for payments. Wu Ti was aware of the situation and called
+different groups together to discuss the problems of economics. Under
+the name "Discussions on Salt and Iron" the gist of these talks is
+preserved and shows that one group under the leadership of Sang
+Hung-yang (143-80 B.C.) was business-oriented and thinking in economic
+terms, while their opponents, mainly Confucianists, regarded the
+situation mainly as a moral crisis. Sang proposed an "equable
+transportation" and a "standardization" system and favoured other state
+monopolies and controls; these ideas were taken up later and continued
+to be discussed, again and again.
+
+Already under Wu Ti there had been signs of a development which now
+appeared constantly in Chinese history. Among the new gentry, families
+entered into alliances with each other, sealed their mutual allegiance
+by matrimonial unions, and so formed large cliques. Each clique made it
+its concern to get the most important government positions into its
+hands, so that it should itself control the government. Under Wu Ti, for
+example, almost all the important generals had belonged to a certain
+clique, which remained dominant under his two successors. Two of the
+chief means of attaining power were for such a clique to give the
+emperor a girl from its ranks as wife, and to see to it that all the
+eunuchs around the emperor should be persons dependent on the clique.
+Eunuchs came generally from the poorer classes; they were launched at
+court by members of the great cliques, or quite openly presented to the
+emperor.
+
+The chief influence of the cliques lay, however, in the selection of
+officials. It is not surprising that the officials recommended only sons
+of people in their own clique--their family or its closest associates.
+On top of all this, the examiners were in most cases themselves members
+of the same families to which the provincial officials belonged. Thus it
+was made doubly certain that only those candidates who were to the
+liking of the dominant group among the gentry should pass.
+
+Surrounded by these cliques, the emperors became in most cases powerless
+figureheads. At times energetic rulers were able to play off various
+cliques against each other, and so to acquire personal power; but the
+weaker emperors found themselves entirely in the hands of cliques. Not a
+few emperors in China were removed by cliques which they had attempted
+to resist; and various dynasties were brought to their end by the
+cliques; this was the fate of the Han dynasty.
+
+The beginning of its fall came with the activities of the widow of the
+emperor Yuean Ti. She virtually ruled in the name of her
+eighteen-year-old son, the emperor Ch'eng Ti (32-7 B.C.), and placed all
+her brothers, and also her nephew, Wang Mang, in the principal
+government posts. They succeeded at first in either removing the
+strongest of the other cliques or bringing them into dependence. Within
+the Wang family the nephew Wang Mang steadily advanced, securing direct
+supporters even in some branches of the imperial family; these
+personages declared their readiness to join him in removing the existing
+line of the imperial house. When Ch'eng Ti died without issue, a young
+nephew of his (Ai Ti, 6-1 B.C.) was placed on the throne by Wang Mang,
+and during this period the power of the Wangs and their allies grew
+further, until all their opponents had been removed and the influence of
+the imperial family very greatly reduced. When Ai Ti died, Wang Mang
+placed an eight-year-old boy on the throne, himself acting as regent;
+four years later the boy fell ill and died, probably with Wang Mang's
+aid. Wang Mang now chose a one-year-old baby, but soon after he felt
+that the time had come for officially assuming the rulership. In A.D. 8
+he dethroned the baby, ostensibly at Heaven's command, and declared
+himself emperor and first of the Hsin ("new") dynasty. All the members
+of the old imperial family in the capital were removed from office and
+degraded to commoners, with the exception of those who had already been
+supporting Wang Mang. Only those members who held unimportant posts at a
+distance remained untouched.
+
+Wang Mang's "usurpation" is unusual from two points of view. First, he
+paid great attention to public opinion and induced large masses of the
+population to write petitions to the court asking the Han ruler to
+abdicate; he even fabricated "heavenly omina" in his own favour and
+against the Han dynasty in order to get wide support even from
+intellectuals. Secondly, he inaugurated a formal abdication ceremony,
+culminating in the transfer of the imperial seal to himself. This
+ceremony became standard for the next centuries. The seal was made of a
+precious stone, once presented to the Ch'in dynasty ruler before he
+ascended the throne. From now on, the possessor of this seal was the
+legitimate ruler.
+
+
+6 _The pseudo-socialistic dictatorship. Revolt of the "Red Eyebrows"_
+
+Wang Mang's dynasty lasted only from A.D. 9 to 23; but it was one of the
+most stirring periods of Chinese history. It is difficult to evaluate
+Wang Mang, because all we know about him stems from sources hostile
+towards him. Yet we gain the impression that some of his innovations,
+such as the legalization of enthronement through the transfer of the
+seal; the changes in the administration of provinces and in the
+bureaucratic set-up in the capital; and even some of his economic
+measures were so highly regarded that they were retained or
+re-introduced, although this happened in some instances centuries later
+and without mentioning Wang Mang's name. But most of his policies and
+actions were certainly neither accepted nor acceptable. He made use of
+every conceivable resource in order to secure power to his clique. As
+far as possible he avoided using open force, and resorted to a
+high-level propaganda. Confucianism, the philosophic basis of the power
+of the gentry, served him as a bait; he made use of the so-called "old
+character school" for his purposes. When, after the holocaust of books,
+it was desired to collect the ancient classics again, texts were found
+under strange circumstances in the walls of Confucius's house; they were
+written in an archaic script. The people who occupied themselves with
+these books were called the old character school. The texts came under
+suspicion; most scholars had little belief in their genuineness. Wang
+Mang, however, and his creatures energetically supported the cult of
+these ancient writings. The texts were edited and issued, and in the
+process, as can now be seen, certain things were smuggled into them that
+fitted in well with Wang Mang's intentions. He even had other texts
+reissued with falsifications. He now represented himself in all his
+actions as a man who did with the utmost precision the things which the
+books reported of rulers or ministers of ancient times. As regent he had
+declared that his model was the brother of the first emperor of the Chou
+dynasty; as emperor he took for his exemplar one of the mythical
+emperors of ancient China; of his new laws he claimed that they were
+simply revivals of decrees of the golden age. In all this he appealed to
+the authority of literature that had been tampered with to suit his
+aims. Actually, such laws had never before been customary; either Wang
+Mang completely misinterpreted passages in an ancient text to suit his
+purpose, or he had dicta that suited him smuggled into the text. There
+can be no question that Wang Mang and his accomplices began by
+deliberately falsifying and deceiving. However, as time went on, he
+probably began to believe in his own frauds.
+
+Wang Mang's great series of certain laws has brought him the name of
+"the first Socialist on the throne of China". But closer consideration
+reveals that these measures, ostensibly and especially aimed at the good
+of the poor, were in reality devised simply in order to fill the
+imperial exchequer and to consolidate the imperial power. When we read
+of the turning over of great landed estates to the state, do we not
+imagine that we are faced with a modern land reform? But this applied
+only to the wealthiest of all the landowners, who were to be deprived in
+this way of their power. The prohibition of private slave-owning had a
+similar purpose, the state reserving to itself the right to keep slaves.
+Moreover, landless peasants were to receive land to till, at the expense
+of those who possessed too much. This admirable law, however, was not
+intended seriously to be carried into effect. Instead, the setting up of
+a system of state credits for peasants held out the promise, in spite of
+rather reduced interest rates, of important revenue. The peasants had
+never been in a position to pay back their private debts together with
+the usurious interest, but there were at least opportunities of coming
+to terms with a private usurer, whereas the state proved a merciless
+creditor. It could dispossess the peasant, and either turn his property
+into a state farm, convey it to another owner, or make the peasant a
+state slave. Thus this measure worked against the interest of the
+peasants, as did the state monopoly of the exploitation of mountains and
+lakes. "Mountains and lakes" meant the uncultivated land around
+settlements, the "village commons", where people collected firewood or
+went fishing. They now had to pay money for fishing rights and for the
+right to collect wood, money for the emperor's exchequer. The same
+purpose lay behind the wine, salt, and iron tool monopolies. Enormous
+revenues came to the state from the monopoly of minting coin, when old
+metal coin of full value was called in and exchanged for debased coin.
+Another modern-sounding institution, that of the "equalization offices",
+was supposed to buy cheap goods in times of plenty in order to sell them
+to the people in times of scarcity at similarly low prices, so
+preventing want and also preventing excessive price fluctuations. In
+actual fact these state offices formed a new source of profit, buying
+cheaply and selling as dearly as possible.
+
+Thus the character of these laws was in no way socialistic; nor,
+however, did they provide an El Dorado for the state finances, for Wang
+Mang's officials turned all the laws to their private advantage. The
+revenues rarely reached the capital; they vanished into the pockets of
+subordinate officials. The result was a further serious lowering of the
+level of existence of the peasant population, with no addition to the
+financial resources of the state. Yet Wang Mang had great need of money,
+because he attached importance to display and because he was planning a
+new war. He aimed at the final destruction of the Hsiung-nu, so that
+access to central Asia should no longer be precarious and it should thus
+be possible to reduce the expense of the military administration of
+Turkestan. The war would also distract popular attention from the
+troubles at home. By way of preparation for war, Wang Mang sent a
+mission to the Hsiung-nu with dishonouring proposals, including changes
+in the name of the Hsiung-nu and in the title of the _shan-yue_. The name
+Hsiung-nu was to be given the insulting change of Hsiang-nu, meaning
+"subjugated slaves". The result was that risings of the Hsiung-nu took
+place, whereupon Wang Mang commanded that the whole of their country
+should be partitioned among fifteen _shan-yue_ and declared the country
+to be a Chinese province. Since this declaration had no practical
+result, it robbed Wang Mang of the increased prestige he had sought and
+only further infuriated the Hsiung-nu. Wang Mang concentrated a vast
+army on the frontier. Meanwhile he lost the whole of the possessions in
+Turkestan.
+
+But before Wang Mang's campaign against the Hsiung-nu could begin, the
+difficulties at home grew steadily worse. In A.D. 12 Wang Mang felt
+obliged to abrogate all his reform legislation because it could not be
+carried into effect; and the economic situation proved more lamentable
+than ever. There were continual risings, which culminated in A.D. 18 in
+a great popular insurrection, a genuine revolutionary rising of the
+peasants, whose distress had grown beyond bearing through Wang Mang's
+ill-judged measures. The rebels called themselves "Red Eyebrows"; they
+had painted their eyebrows red by way of badge and in order to bind
+their members indissolubly to their movement. The nucleus of this rising
+was a secret society. Such secret societies, usually are harmless, but
+may, in emergency situations, become an immensely effective instrument
+in the hands of the rural population. The secret societies then organize
+the peasants, in order to achieve a forcible settlement of the matter in
+dispute. Occasionally, however, the movement grows far beyond its
+leaders' original objective and becomes a popular revolutionary
+movement, directed against the whole ruling class. That is what happened
+on this occasion. Vast swarms of peasants marched to the capital,
+killing all officials and people of position on their way. The troops
+sent against them by Wang Mang either went over to the Red Eyebrows or
+copied them, plundering wherever they could and killing officials. Owing
+to the appalling mass murders and the fighting, the forces placed by
+Wang Mang along the frontier against the Hsiung-nu received no
+reinforcements and, instead of attacking the Hsiung-nu, themselves went
+over to plundering, so that ultimately the army simply disintegrated.
+Fortunately for China, the _shan-yue_ of the time did not take advantage
+of his opportunity, perhaps because his position within the Hsiung-nu
+empire was too insecure.
+
+Scarcely had the popular rising begun when descendants of the deposed
+Han dynasty appeared and tried to secure the support of the upper class.
+They came forward as fighters against the usurper Wang Mang and as
+defenders of the old social order against the revolutionary masses. But
+the armies which these Han princes were able to collect were no better
+than those of the other sides. They, too, consisted of poor and hungry
+peasants, whose aim was to get money or goods by robbery; they too,
+plundered and murdered more than they fought.
+
+However, one prince by the name of Liu Hsiu gradually gained the upper
+hand. The basis of his power was the district of Nanyang in Honan, one
+of the wealthiest agricultural centres of China at that time and also
+the centre of iron and steel production. The big landowners, the gentry
+of Nanyang, joined him, and the prince's party conquered the capital.
+Wang Mang, placing entire faith in his sanctity, did not flee; he sat in
+his robes in the throne-room and recited the ancient writings, convinced
+that he would overcome his adversaries by the power of his words. But a
+soldier cut off his head (A.D. 22). The skull was kept for two hundred
+years in the imperial treasury. The fighting, nevertheless, went on.
+Various branches of the prince's party fought one another, and all of
+them fought the Red Eyebrows. In those years millions of men came to
+their end. Finally, in A.D. 24, Liu Hsiu prevailed, becoming the first
+emperor of the second Han dynasty, also called the Later Han dynasty;
+his name as emperor was Kuang-wu Ti (A.D. 25-57).
+
+
+7 _Reaction and Restoration: the Later Han dynasty_
+
+Within the country the period that followed was one of reaction and
+restoration. The massacres of the preceding years had so reduced the
+population that there was land enough for the peasants who remained
+alive. Moreover, their lords and the money-lenders of the towns were
+generally no longer alive, so that many peasants had become free of
+debt. The government was transferred from Sian to Loyang, in the present
+province of Honan. This brought the capital nearer to the great
+wheat-producing regions, so that the transport of grain and other taxes
+in kind to the capital was cheapened. Soon this cleared foundation was
+covered by a new stratum, a very sparse one, of great landowners who
+were supporters and members of the new imperial house, largely
+descendants of the landowners of the earlier Han period. At first they
+were not much in evidence, but they gained power more and more rapidly.
+In spite of this, the first half-century of the Later Han period was one
+of good conditions on the land and economic recovery.
+
+
+8 _Hsiung-nu policy_
+
+In foreign policy the first period of the Later Han dynasty was one of
+extraordinary success, both in the extreme south and in the question of
+the Hsiung-nu. During the period of Wang Mang's rule and the fighting
+connected with it, there had been extensive migration to the south and
+south-west. Considerable regions of Chinese settlement had come into
+existence in Yuennan and even in Annam and Tongking, and a series of
+campaigns under General Ma Yuean (14 B.C.-A.D. 49) now added these
+regions to the territory of the empire. These wars were carried on with
+relatively small forces, as previously in the Canton region, the natives
+being unable to offer serious resistance owing to their inferiority in
+equipment and civilization. The hot climate, however, to which the
+Chinese soldiers were unused, was hard for them to endure.
+
+The Hsiung-nu, in spite of internal difficulties, had regained
+considerable influence in Turkestan during the reign of Wang Mang. But
+the king of the city state of Yarkand had increased his power by
+shrewdly playing off Chinese and Hsiung-nu against each other, so that
+before long he was able to attack the Hsiung-nu. The small states in
+Turkestan, however, regarded the overlordship of the distant China as
+preferable to that of Yarkand or the Hsiung-nu both of whom, being
+nearer, were able to bring their power more effectively into play.
+Accordingly many of the small states appealed for Chinese aid. Kuang-wu
+Ti met this appeal with a blank refusal, implying that order had only
+just been restored in China and that he now simply had not the resources
+for a campaign in Turkestan. Thus, the king of Yarkand was able to
+extend his power over the remainder of the small states of Turkestan,
+since the Hsiung-nu had been obliged to withdraw. Kuang-wu Ti had had
+several frontier wars with the Hsiung-nu without any decisive result.
+But in the years around A.D. 45 the Hsiung-nu had suffered several
+severe droughts and also great plagues of locusts, so that they had lost
+a large part of their cattle. They were no longer able to assert
+themselves in Turkestan and at the same time to fight the Chinese in the
+south and the Hsien-pi and the Wu-huan in the east. These two peoples,
+apparently largely of Mongol origin, had been subject in the past to
+Hsiung-nu overlordship. They had spread steadily in the territories
+bordering Manchuria and Mongolia, beyond the eastern frontier of the
+Hsiung-nu empire. Living there in relative peace and at the same time in
+possession of very fertile pasturage, these two peoples had grown in
+strength. And since the great political collapse of 58 B.C. the
+Hsiung-nu had not only lost their best pasturage in the north of the
+provinces of Shensi and Shansi, but had largely grown used to living in
+co-operation with the Chinese. They had become much more accustomed to
+trade with China, exchanging animals for textiles and grain, than to
+warfare, so that in the end they were defeated by the Hsien-pi and
+Wu-huan, who had held to the older form of purely war-like nomad life.
+Weakened by famine and by the wars against Wu-huan and Hsien-pi, the
+Hsiung-nu split into two, one section withdrawing to the north.
+
+The southern Hsiung-nu were compelled to submit to the Chinese in order
+to gain security from their other enemies. Thus the Chinese were able to
+gain a great success without moving a finger: the Hsiung-nu, who for
+centuries had shown themselves again and again to be the most dangerous
+enemies of China, were reduced to political insignificance. About a
+hundred years earlier the Hsiung-nu empire had suffered defeat; now half
+of what remained of it became part of the Chinese state. Its place was
+taken by the Hsien-pi and Wu-huan, but at first they were of much less
+importance.
+
+In spite of the partition, the northern Hsiung-nu attempted in the years
+between A.D. 60 and 70 to regain a sphere of influence in Turkestan;
+this seemed the easier for them since the king of Yarkand had been
+captured and murdered, and Turkestan was more or less in a state of
+confusion. The Chinese did their utmost to play off the northern against
+the southern Hsiung-nu and to maintain a political balance of power in
+the west and north. So long as there were a number of small states in
+Turkestan, of which at least some were friendly to China, Chinese trade
+caravans suffered relatively little disturbance on their journeys.
+Independent states in Turkestan had proved more profitable for trade
+than when a large army of occupation had to be maintained there. When,
+however, there appeared to be the danger of a new union of the two
+parts of the Hsiung-nu as a restoration of a large empire also
+comprising all Turkestan, the Chinese trading monopoly was endangered.
+Any great power would secure the best goods for itself, and there would
+be no good business remaining for China.
+
+For these reasons a great Chinese campaign was undertaken against
+Turkestan in A.D. 73 under Tou Ku. Mainly owing to the ability of the
+Chinese deputy commander Pan Ch'ao, the whole of Turkestan was quickly
+conquered. Meanwhile the emperor Ming Ti (A.D. 58-75) had died, and under
+the new emperor Chang Ti (76-88) the "isolationist" party gained the
+upper hand against the clique of Tou Ku and Pan Ch'ao: the danger of the
+restoration of a Hsiung-nu empire, the isolationists contended, no
+longer existed; Turkestan should be left to itself; the small states
+would favour trade with China of their own accord. Meanwhile, a
+considerable part of Turkestan had fallen away from China, for Chang Ti
+sent neither money nor troops to hold the conquered territories. Pan
+Ch'ao nevertheless remained in Turkestan (at Kashgar and Khotan) where
+he held on amid countless difficulties. Although he reported (A.D. 78)
+that the troops could feed themselves in Turkestan and needed neither
+supplies nor money from home, no reinforcements of any importance were
+sent; only a few hundred or perhaps a thousand men, mostly released
+criminals, reached him. Not until A.D. 89 did the Pan Ch'ao clique
+return to power when the mother of the young emperor Ho Ti (89-105) took
+over the government during his minority: she was a member of the family
+of Tou Ku. She was interested in bringing to a successful conclusion the
+enterprise which had been started by members of her family and its
+followers. In addition, it can be shown that a number of other members
+of the "war party" had direct interests in the west, mainly in form of
+landed estates. Accordingly, a campaign was started in 89 under her
+brother against the northern Hsiung-nu, and it decided the fate of
+Turkestan in China's favour. Turkestan remained firmly in Chinese
+possession until the death of Pan Ch'ao in 102. Shortly afterwards heavy
+fighting broke out again: the Tanguts advanced from the south in an
+attempt to cut off Chinese access to Turkestan. The Chinese drove back
+the Tanguts and maintained their hold on Turkestan, though no longer
+absolutely.
+
+
+9 _Economic situation. Rebellion of the "Yellow Turbans". Collapse of
+the Han dynasty_
+
+The economic results of the Turkestan trade in this period were not so
+unfavourable as in the earlier Han period. The army of occupation was
+incomparably smaller, and under Pan Ch'ao's policy the soldiers were fed
+and paid in Turkestan itself, so that the cost to China remained small.
+Moreover, the drain on the national income was no longer serious
+because, in the intervening period, regular Chinese settlements had been
+planted in Turkestan including Chinese merchants, so that the trade no
+longer remained entirely in the hands of foreigners.
+
+In spite of the economic consolidation at the beginning of the Later Han
+dynasty, and in spite of the more balanced trade, the political
+situation within China steadily worsened from A.D. 80 onwards. Although
+the class of great landowners was small, a number of cliques formed
+within it, and their mutual struggle for power soon went beyond the
+limits of court intrigue. New actors now came upon the stage, namely the
+eunuchs. With the economic improvement there had been a general increase
+in the luxury at the court of the Han emperors, and the court steadily
+increased in size. The many hundred wives and concubines in the palace
+made necessary a great army of eunuchs. As they had the ear of the
+emperor and so could influence him, the eunuchs formed an important
+political factor. For a time the main struggle was between the group of
+eunuchs and the group of scholars. The eunuchs served a particular
+clique to which some of the emperor's wives belonged. The scholars, that
+is to say the ministers, together with members of the ministries and the
+administrative staff, served the interests of another clique. The
+struggles grew more and more sanguinary in the middle of the second
+century A.D. It soon proved that the group with the firmest hold in the
+provinces had the advantage, because it was not easy to control the
+provinces from a distance. The result was that, from about A.D. 150,
+events at court steadily lost importance, the lead being taken by the
+generals commanding the provincial troops. It would carry us too far to
+give the details of all these struggles. The provincial generals were at
+first Ts'ao Ts'ao, Lue Pu, Yuean Shao, and Sun Ts'e; later came Liu Pei.
+All were striving to gain control of the government, and all were
+engaged in mutual hostilities from about 180 onwards. Each general was
+also trying to get the emperor into his hands. Several times the last
+emperor of the Later Han dynasty, Hsien Ti (190-220), was captured by
+one or another of the generals. As the successful general was usually
+unable to maintain his hold on the capital, he dragged the poor emperor
+with him from place to place until he finally had to give him up to
+another general. The point of this chase after the emperor was that
+according to the idea introduced earlier by Wang Mang the first ruler of
+a new dynasty had to receive the imperial seals from the last emperor
+of the previous dynasty. The last emperor must abdicate in proper form.
+Accordingly, each general had to get possession of the emperor to begin
+with, in order at the proper time to take over the seals.
+
+By about A.D. 200 the new conditions had more or less crystallized.
+There remained only three great parties. The most powerful was that of
+Ts'ao Ts'ao, who controlled the north and was able to keep permanent
+hold of the emperor. In the west, in the province of Szechwan, Liu Pei
+had established himself, and in the south-east Sun Ts'e's brother.
+
+But we must not limit our view to these generals' struggles. At this
+time there were two other series of events of equal importance with
+those. The incessant struggles of the cliques against each other
+continued at the expense of the people, who had to fight them and pay
+for them. Thus, after A.D. 150 the distress of the country population
+grew beyond all limits. Conditions were as disastrous as in the time of
+Wang Mang. And once more, as then, a popular movement broke out, that of
+the so-called "Yellow Turbans". This was the first of the two important
+events. This popular movement had a characteristic which from now on
+became typical of all these risings of the people. The intellectual
+leaders of the movement, Chang Ling and others, were members of a
+particular religious sect. This sect was influenced by Iranian Mazdaism
+on the one side and by certain ideas from Lao Tzu; on the other side;
+and these influences were superimposed on popular rural as well as,
+perhaps, local tribal religious beliefs and superstitions. The sect had
+roots along the coastal settlements of Eastern China, where it seems to
+have gained the support of the peasantry and their local priests. These
+priests of the people were opposed to the representatives of the
+official religion, that is to say the officials drawn from the gentry.
+In small towns and villages the temples of the gods of the fruits of the
+field, of the soil, and so on, were administered by authorized local
+officials, and these officials also carried out the prescribed
+sacrifices. The old temples of the people were either done away with (we
+have many edicts of the Han period concerning the abolition of popular
+forms of religious worship), or their worship was converted into an
+official cult: the all-powerful gentry extended their domination over
+religion as well as all else. But the peasants regarded their local
+unauthorized priests as their natural leaders against the gentry and
+against gentry forms of religion. One branch, probably the main branch
+of this movement, developed a stronghold in Eastern Szechwan province,
+where its members succeeded to create a state of their own which
+retained its independence for a while. It is the only group which
+developed real religious communities in which men and women
+participated, extensive welfare schemes existed and class differences
+were discouraged. It had a real church organization with dioceses,
+communal friendship meals and a confession ritual; in short, real piety
+developed as it could not develop in the official religions. After the
+annihilation of this state, remnants of the organization can be traced
+through several centuries, mainly in central and south China. It may
+well be that the many "Taoistic" traits which can be found in the
+religions of late and present-day Mongolian and Tibetan tribes, can be
+derived from this movement of the Yellow Turbans.
+
+The rising of the Yellow Turbans began in 184; all parties, cliques and
+generals alike, were equally afraid of the revolutionaries, since these
+were a threat to the gentry as such, and so to all parties. Consequently
+a combined army of considerable size was got together and sent against
+the rebels. The Yellow Turbans were beaten.
+
+During these struggles it became evident that Ts'ao Ts'ao with his
+troops had become the strongest of all the generals. His troops seem to
+have consisted not of Chinese soldiers alone, but also of Hsiung-nu. It
+is understandable that the annals say nothing about this, and it can
+only be inferred from the facts. It appears that in order to reinforce
+their armies the generals recruited not only Chinese but foreigners. The
+generals operating in the region of the present-day Peking had soldiers
+of the Wu-huan and Hsien-pi, and even of the Ting-ling; Liu Pei, in the
+west, made use of Tanguts, and Ts'ao Ts'ao clearly went farthest of all
+in this direction; he seems to have been responsible for settling
+nineteen tribes of Hsiung-nu in the Chinese province of Shansi between
+180 and 200, in return for their armed aid. In this way Ts'ao Ts'ao
+gained permanent power in the empire by means of these troops, so that
+immediately after his death his son Ts'ao P'ei, with the support of
+powerful allied families, was able to force the emperor to abdicate and
+to found a new dynasty, the Wei dynasty (A.D. 220).
+
+This meant, however, that a part of China which for several centuries
+had been Chinese was given up to the Hsiung-nu. This was not, of course,
+what Ts'ao Ts'ao had intended; he had given the Hsiung-nu some area of
+pasturage in Shansi with the idea that they should be controlled and
+administered by the officials of the surrounding district. His plan had
+been similar to what the Chinese had often done with success: aliens
+were admitted into the territory of the empire in a body, but then the
+influence of the surrounding administrative centres was steadily
+extended over them, until the immigrants completely lost their own
+nationality and became Chinese. The nineteen tribes of Hsiung-nu,
+however, were much too numerous, and after the prolonged struggles in
+China the provincial administration proved much too weak to be able to
+carry out the plan. Thus there came into existence here, within China, a
+small Hsiung-nu realm ruled by several _shan-yue_. This was the second
+major development, and it became of the utmost importance to the history
+of the next four centuries.
+
+
+10 _Literature and Art_
+
+With the development of the new class of the gentry in the Han period,
+there was an increase in the number of those who were anxious to
+participate in what had been in the past an exclusively aristocratic
+possession--education. Thus it is by no mere chance that in this period
+many encyclopaedias were compiled. Encyclopaedias convey knowledge in an
+easily grasped and easily found form. The first compilation of this sort
+dates from the third century B.C. It was the work of Lue Pu-wei, the
+merchant who was prime minister and regent during the minority of Shih
+Huang-ti. It contains general information concerning ceremonies,
+customs, historic events, and other things the knowledge of which was
+part of a general education. Soon afterwards other encyclopaedias
+appeared, of which the best known is the Book of the Mountains and Seas
+_(Shan Hai Ching)_. This book, arranged according to regions of the
+world, contains everything known at the time about geography, natural
+philosophy, and the animal and plant world, and also about popular
+myths. This tendency to systemization is shown also in the historical
+works. The famous _Shih Chi_, one of our main sources for Chinese
+history, is the first historical work of the modern type, that is to
+say, built up on a definite plan, and it was also the model for all
+later official historiography. Its author, Ssu-ma Ch'ien (born 135
+B.C.), and his father, made use of the material in the state archives
+and of private documents, old historical and philosophical books,
+inscriptions, and the results of their own travels. The philosophical
+and historical books of earlier times (with the exception of those of
+the nature of chronicles) consisted merely of a few dicta or reports of
+particular events, but the _Shih Chi_ is a compendium of a mass of
+source-material. The documents were abbreviated, but the text of the
+extracts was altered as little as possible, so that the general result
+retains in a sense the value of an original source. In its arrangement
+the _Shih Chi_ became a model for all later historians: the first part
+is in the form of annals, and there follow tables concerning the
+occupants of official posts and fiefs, and then biographies of various
+important personalities, though the type of the comprehensive biography
+did not appear till later. The _Shih Chi_ also, like later historical
+works, contains many monographs dealing with particular fields of
+knowledge, such as astronomy, the calendar, music, economics, official
+dress at court, and much else. The whole type of construction differs
+fundamentally from such works as those of Thucydides or Herodotus. The
+Chinese historical works have the advantage that the section of annals
+gives at once the events of a particular year, the monographs describe
+the development of a particular field of knowledge, and the biographical
+section offers information concerning particular personalities. The
+mental attitude is that of the gentry: shortly after the time of Ssu-ma
+Ch'ien an historical department was founded, in which members of the
+gentry worked as historians upon the documents prepared by
+representatives of the gentry in the various government offices.
+
+In addition to encyclopaedias and historical works, many books of
+philosophy were written in the Han period, but most of them offer no
+fundamentally new ideas. They were the product of the leisure of rich
+members of the gentry, and only three of them are of importance. One is
+the work of Tung Chung-shu, already mentioned. The second is a book by
+Liu An called _Huai-nan Tzu_. Prince Liu An occupied himself with Taoism
+and allied problems, gathered around him scholars of different schools,
+and carried on discussions with them. Many of his writings are lost, but
+enough is extant to show that he was one of the earliest Chinese
+alchemists. The question has not yet been settled, but it is probable
+that alchemy first appeared in China, together with the cult of the
+"art" of prolonging life, and was later carried to the West, where it
+flourished among the Arabs and in medieval Europe.
+
+The third important book of the Han period was the _Lun Heng_ (Critique
+of Opinions) of Wang Ch'ung, which appeared in the first century of the
+Christian era. Wang Ch'ung advocated rational thinking and tried to pave
+the way for a free natural science, in continuation of the beginnings
+which the natural philosophers of the later Chou period had made. The
+book analyses reports in ancient literature and customs of daily life,
+and shows how much they were influenced by superstition and by ignorance
+of the facts of nature. From this attitude a modern science might have
+developed, as in Europe towards the end of the Middle Ages; but the
+gentry had every reason to play down this tendency which, with its
+criticism of all that was traditional, might have proceeded to an attack
+on the dominance of the gentry and their oppression especially of the
+merchants and artisans. It is fascinating to observe how it was the
+needs of the merchants and seafarers of Asia Minor and Greece that
+provided the stimulus for the growth of the classic sciences, and how on
+the contrary the growth of Chinese science was stifled because the
+gentry were so strongly hostile to commerce and navigation, though both
+had always existed.
+
+There were great literary innovations in the field of poetry. The
+splendour and elegance at the new imperial court of the Han dynasty
+attracted many poets who sang the praises of the emperor and his court
+and were given official posts and dignities. These praises were in the
+form of grandiloquent, overloaded poetry, full of strange similes and
+allusions, but with little real feeling. In contrast, the many women
+singers and dancers at the court, mostly slaves from southern China,
+introduced at the court southern Chinese forms of song and poem, which
+were soon adopted and elaborated by poets. Poems and dance songs were
+composed which belonged to the finest that Chinese poetry can show--full
+of natural feeling, simple in language, moving in content.
+
+Our knowledge of the arts is drawn from two sources--literature, and the
+actual discoveries in the excavations. Thus we know that most of the
+painting was done on silk, of which plenty came into the market through
+the control of silk-producing southern China. Paper had meanwhile been
+invented in the second century B.C., by perfecting the techniques of
+making bark-cloth and felt. Unfortunately nothing remains of the actual
+works that were the first examples of what the Chinese everywhere were
+beginning to call "art". "People", that is to say the gentry, painted as
+a social pastime, just as they assembled together for poetry,
+discussion, or performances of song and dance; they painted as an
+aesthetic pleasure and rarely as a means of earning. We find philosophic
+ideas or greetings, emotions, and experiences represented by
+paintings--paintings with fanciful or ideal landscapes; paintings
+representing life and environment of the cultured class in idealized
+form, never naturalistic either in fact or in intention. Until recently
+it was an indispensable condition in the Chinese view that an artist
+must be "cultured" and be a member of the gentry--distinguished,
+unoccupied, wealthy. A man who was paid for his work, for instance for a
+portrait for the ancestral cult, was until late time regarded as a
+craftsman, not as an artist. Yet, these "craftsmen" have produced in Han
+time and even earlier, many works which, in our view, undoubtedly belong
+to the realm of art. In the tombs have been found reliefs whose
+technique is generally intermediate between simple outline engraving and
+intaglio. The lining-in is most frequently executed in scratched lines.
+The representations, mostly in strips placed one above another, are of
+lively historical scenes, scenes from the life of the dead, great ritual
+ceremonies, or adventurous scenes from mythology. Bronze vessels have
+representations in inlaid gold and silver, mostly of animals. The most
+important documents of the painting of the Han period have also been
+found in tombs. We see especially ladies and gentlemen of society, with
+richly ornamented, elegant, expensive clothing that is very reminiscent
+of the clothing customary to this day in Japan. There are also artistic
+representations of human figures on lacquer caskets. While sculpture was
+not strongly developed, the architecture of the Han must have been
+magnificent and technically highly complex. Sculpture and temple
+architecture received a great stimulus with the spread of Buddhism in
+China. According to our present knowledge, Buddhism entered China from
+the south coast and through Central Asia at latest in the first century
+B.C.; it came with foreign merchants from India or Central Asia.
+According to Indian customs, Brahmans, the Hindu caste providing all
+Hindu priests, could not leave their homes. As merchants on their trips
+which lasted often several years, did not want to go without religious
+services, they turned to Buddhist priests as well as to priests of Near
+Eastern religions. These priests were not prevented from travelling and
+used this opportunity for missionary purposes. Thus, for a long time
+after the first arrival of Buddhists, the Buddhist priests in China were
+foreigners who served foreign merchant colonies. The depressed
+conditions of the people in the second century A.D. drove members of the
+lower classes into their arms, while the parts of Indian science which
+these priests brought with them from India aroused some interest in
+certain educated circles. Buddhism, therefore, undeniably exercised an
+influence at the end of the Han dynasty, although no Chinese were
+priests and few, if any, gentry members were adherents of the religious
+teachings.
+
+With the end of the Han period a further epoch of Chinese history comes
+to its close. The Han period was that of the final completion and
+consolidation of the social order of the gentry. The period that
+followed was that of the conflicts of the Chinese with the populations
+on their northern borders.
+
+
+
+
+Chapter Seven
+
+THE EPOCH OF THE FIRST DIVISION OF CHINA (A.D. 220-580)
+
+
+
+(A) The three kingdoms (220-265)
+
+
+1 _Social, intellectual, and economic problems during the first
+division_
+
+The end of the Han period was followed by the three and a half centuries
+of the first division of China into several kingdoms, each with its own
+dynasty. In fact, once before during the period of the Contending
+States, China had been divided into a number of states, but at least in
+theory they had been subject to the Chou dynasty, and none of the
+contending states had made the claim to be the legitimate ruler of all
+China. In this period of the "first division" several states claimed to
+be legitimate rulers, and later Chinese historians tried to decide which
+of these had "more right" to this claim. At the outset (220-280) there
+were three kingdoms (Wei, Wu, Shu Han); then came an unstable reunion
+during twenty-seven years (280-307) under the rule of the Western Chin.
+This was followed by a still sharper division between north and south:
+while a wave of non-Chinese nomad dynasties poured over the north, in
+the south one Chinese clique after another seized power, so that dynasty
+followed dynasty until finally, in 580, a united China came again into
+existence, adopting the culture of the north and the traditions of the
+gentry.
+
+In some ways, the period from 220 to 580 can be compared with the period
+of the coincidentally synchronous breakdown of the Roman Empire: in both
+cases there was no great increase in population, although in China
+perhaps no over-all decrease in population as in the Roman Empire;
+decrease occurred, however, in the population of the great Chinese
+cities, especially of the capital; furthermore we witness, in both
+empires, a disorganization of the monetary system, i.e. in China the
+reversal to a predominance of natural economy after some 400 years of
+money economy. Yet, this period cannot be simply dismissed as a
+transition period, as was usually done by the older European works on
+China. The social order of the gentry, whose birth and development
+inside China we followed, had for the first time to defend itself
+against views and systems entirely opposed to it; for the Turkish and
+Mongol peoples who ruled northern China brought with them their
+traditions of a feudal nobility with privileges of birth and all that
+they implied. Thus this period, socially regarded, is especially that of
+the struggle between the Chinese gentry and the northern nobility, the
+gentry being excluded at first as a direct political factor in the
+northern and more important part of China. In the south the gentry
+continued in the old style with a constant struggle between cliques, the
+only difference being that the class assumed a sort of "colonial"
+character through the formation of gigantic estates and through
+association with the merchant class.
+
+To throw light on the scale of events, we need to have figures of
+population. There are no figures for the years around A.D. 220, and we
+must make do with those of 140; but in order to show the relative
+strength of the three states it is the ratio between the figures that
+matters. In 140 the regions which later belonged to Wei had roughly
+29,000,000 inhabitants; those later belonging to Wu had 11,700,000;
+those which belonged later to Shu Han had a bare 7,500,000. (The figures
+take no account of the primitive native population, which was not yet
+included in the taxation lists.) The Hsiung-nu formed only a small part
+of the population, as there were only the nineteen tribes which had
+abandoned one of the parts, already reduced, of the Hsiung-nu empire.
+The whole Hsiung-nu empire may never have counted more than some
+3,000,000. At the time when the population of what became the Wei
+territory totalled 29,000,000 the capital with its immediate environment
+had over a million inhabitants. The figure is exclusive of most of the
+officials and soldiers, as these were taxable in their homes and so were
+counted there. It is clear that this was a disproportionate
+concentration round the capital.
+
+It was at this time that both South and North China felt the influence
+of Buddhism, which until A.D. 220 had no more real effect on China than
+had, for instance, the penetration of European civilization between 1580
+and 1842. Buddhism offered new notions, new ideals, foreign science, and
+many other elements of culture, with which the old Chinese philosophy
+and science had to contend. At the same time there came with Buddhism
+the first direct knowledge of the great civilized countries west of
+China. Until then China had regarded herself as the only existing
+civilized country, and all other countries had been regarded as
+barbaric, for a civilized country was then taken to mean a country with
+urban industrial crafts and agriculture. In our present period, however,
+China's relations with the Middle East and with southern Asia were so
+close that the existence of civilized countries outside China had to be
+admitted. Consequently, when alien dynasties ruled in northern China and
+a new high civilization came into existence there, it was impossible to
+speak of its rulers as barbarians any longer. Even the theory that the
+Chinese emperor was the Son of Heaven and enthroned at the centre of the
+world was no longer tenable. Thus a vast widening of China's
+intellectual horizon took place.
+
+Economically, our present period witnessed an adjustment in South China
+between the Chinese way of life, which had penetrated from the north,
+and that of the natives of the south. Large groups of Chinese had to
+turn over from wheat culture in dry fields to rice culture in wet
+fields, and from field culture to market gardening. In North China the
+conflict went on between Chinese agriculture and the cattle breeding of
+Central Asia. Was the will of the ruler to prevail and North China to
+become a country of pasturage, or was the country to keep to the
+agrarian tradition of the people under this rule? The Turkish and Mongol
+conquerors had recently given up their old supplementary agriculture and
+had turned into pure nomads, obtaining the agricultural produce they
+needed by raiding or trade. The conquerors of North China were now faced
+with a different question: if they were to remain nomads, they must
+either drive the peasants into the south, or make them into slave
+herdsmen, or exterminate them. There was one more possibility: they
+might install themselves as a ruling upper class, as nobles over the
+subjugated native peasants. The same question was faced much later by
+the Mongols, and at first they answered it differently from the peoples
+of our present period. Only by attention to this problem shall we be in
+a position to explain why the rule of the Turkish peoples did not last,
+why these peoples were gradually absorbed and disappeared.
+
+
+2 _Status of the two southern Kingdoms_
+
+When the last emperor of the Han period had to abdicate in favour of
+Ts'ao P'ei and the Wei dynasty began, China was in no way a unified
+realm. Almost immediately, in 221, two other army commanders, who had
+long been independent, declared themselves emperors. In the south-west
+of China, in the present province of Szechwan, the Shu Han dynasty was
+founded in this way, and in the south-east, in the region of the present
+Nanking, the Wu dynasty.
+
+The situation of the southern kingdom of Shu Han (221-263) corresponded
+more or less to that of the Chungking regime in the Second World War.
+West of it the high Tibetan mountains towered up; there was very little
+reason to fear any major attack from that direction. In the north and
+east the realm was also protected by difficult mountain country. The
+south lay relatively open, but at that time there were few Chinese
+living there, but only natives with a relatively low civilization. The
+kingdom could only be seriously attacked from two corners--through the
+north-west, where there was a negotiable plateau, between the Ch'in-ling
+mountains in the north and the Tibetan mountains in the west, a plateau
+inhabited by fairly highly developed Tibetan tribes; and secondly
+through the south-east corner, where it would be possible to penetrate
+up the Yangtze. There was in fact incessant fighting at both these
+dangerous corners.
+
+Economically, Shu Han was not in a bad position. The country had long
+been part of the Chinese wheat lands, and had a fairly large Chinese
+peasant population in the well irrigated plain of Ch'engtu. There was
+also a wealthy merchant class, supplying grain to the surrounding
+mountain peoples and buying medicaments and other profitable Tibetan
+products. And there were trade routes from here through the present
+province of Yuennan to India.
+
+Shu Han's difficulty was that its population was not large enough to be
+able to stand against the northern State of Wei; moreover, it was
+difficult to carry out an offensive from Shu Han, though the country
+could defend itself well. The first attempt to find a remedy was a
+campaign against the native tribes of the present Yuennan. The purpose of
+this was to secure man-power for the army and also slaves for sale; for
+the south-west had for centuries been a main source for traffic in
+slaves. Finally it was hoped to gain control over the trade to India.
+All these things were intended to strengthen Shu Han internally, but in
+spite of certain military successes they produced no practical result,
+as the Chinese were unable in the long run to endure the climate or to
+hold out against the guerrilla tactics of the natives. Shu Han tried to
+buy the assistance of the Tibetans and with their aid to carry out a
+decisive attack on Wei, whose dynastic legitimacy was not recognized by
+Shu Han. The ruler of Shu Han claimed to be a member of the imperial
+family of the deposed Han dynasty, and therefore to be the rightful,
+legitimate ruler over China. His descent, however, was a little
+doubtful, and in any case it depended on a link far back in the past.
+Against this the Wei of the north declared that the last ruler of the
+Han dynasty had handed over to them with all due form the seals of the
+state and therewith the imperial prerogative. The controversy was of no
+great practical importance, but it played a big part in the Chinese
+Confucianist school until the twelfth century, and contributed largely
+to a revision of the old conceptions of legitimacy.
+
+The political plans of Shu Han were well considered and far-seeing. They
+were evolved by the premier, a man from Shantung named Chu-ko Liang; for
+the ruler died in 226 and his successor was still a child. But Chu-ko
+Liang lived only for a further eight years, and after his death in 234
+the decline of Shu Han began. Its political leaders no longer had a
+sense of what was possible. Thus Wei inflicted several defeats on Shu
+Han, and finally subjugated it in 263.
+
+The situation of the state of Wu was much less favourable than that of
+Shu Han, though this second southern kingdom lasted from 221 to 280. Its
+country consisted of marshy, water-logged plains, or mountains with
+narrow valleys. Here Tai peoples had long cultivated their rice, while
+in the mountains Yao tribes lived by hunting and by simple agriculture.
+Peasants immigrating from the north found that their wheat and pulse did
+not thrive here, and slowly they had to gain familiarity with rice
+cultivation. They were also compelled to give up their sheep and cattle
+and in their place to breed pigs and water buffaloes, as was done by the
+former inhabitants of the country. The lower class of the population was
+mainly non-Chinese; above it was an upper class of Chinese, at first
+relatively small, consisting of officials, soldiers, and merchants in a
+few towns and administrative centres. The country was poor, and its only
+important economic asset was the trade in metals, timber, and other
+southern products; soon there came also a growing overseas trade with
+India and the Middle East, bringing revenues to the state in so far as
+the goods were re-exported from Wu to the north.
+
+Wu never attempted to conquer the whole of China, but endeavoured to
+consolidate its own difficult territory with a view to building up a
+state on a firm foundation. In general, Wu played mainly a passive part
+in the incessant struggles between the three kingdoms, though it was
+active in diplomacy. The Wu kingdom entered into relations with a man
+who in 232 had gained control of the present South Manchuria and shortly
+afterwards assumed the title of king. This new ruler of "Yen", as he
+called his kingdom, had determined to attack the Wei dynasty, and hoped,
+by putting pressure on it in association with Wu, to overrun Wei from
+north and south. Wei answered this plan very effectively by recourse to
+diplomacy and it began by making Wu believe that Wu had reason to fear
+an attack from its western neighbour Shu Han. A mission was also
+dispatched from Wei to negotiate with Japan. Japan was then emerging
+from its stone age and introducing metals; there were countless small
+principalities and states, of which the state of Yamato, then ruled by a
+queen, was the most powerful. Yamato had certain interests in Korea,
+where it already ruled a small coastal strip in the east. Wei offered
+Yamato the prospect of gaining the whole of Korea if it would turn
+against the state of Yen in South Manchuria. Wu, too, had turned to
+Japan, but the negotiations came to nothing, since Wu, as an ally of
+Yen, had nothing to offer. The queen of Yamato accordingly sent a
+mission to Wei; she had already decided in favour of that state. Thus
+Wei was able to embark on war against Yen, which it annihilated in 237.
+This wrecked Wu's diplomatic projects, and no more was heard of any
+ambitious plans of the kingdom of Wu.
+
+The two southern states had a common characteristic: both were
+condottiere states, not built up from their own population but conquered
+by generals from the north and ruled for a time by those generals and
+their northern troops. Natives gradually entered these northern armies
+and reduced their percentage of northerners, but a gulf remained between
+the native population, including its gentry, and the alien military
+rulers. This reduced the striking power of the southern states.
+
+On the other hand, this period had its positive element. For the first
+time there was an emperor in south China, with all the organization that
+implied. A capital full of officials, eunuchs, and all the satellites of
+an imperial court provided incentives to economic advance, because it
+represented a huge market. The peasants around it were able to increase
+their sales and grew prosperous. The increased demand resulted in an
+increase of tillage and a thriving trade. Soon the transport problem had
+to be faced, as had happened long ago in the north, and new means of
+transport, especially ships, were provided, and new trade routes opened
+which were to last far longer than the three kingdoms; on the other
+hand, the costs of transport involved fresh taxation burdens for the
+population. The skilled staff needed for the business of administration
+came into the new capital from the surrounding districts, for the
+conquerors and new rulers of the territory of the two southern dynasties
+had brought with them from the north only uneducated soldiers and
+almost equally uneducated officers. The influx of scholars and
+administrators into the chief cities produced cultural and economic
+centres in the south, a circumstance of great importance to China's
+later development.
+
+
+3 _The northern State of Wei_
+
+The situation in the north, in the state of Wei (220-265) was anything
+but rosy. Wei ruled what at that time were the most important and
+richest regions of China, the plain of Shensi in the west and the great
+plain east of Loyang, the two most thickly populated areas of China. But
+the events at the end of the Han period had inflicted great economic
+injury on the country. The southern and south-western parts of the Han
+empire had been lost, and though parts of Central Asia still gave
+allegiance to Wei, these, as in the past, were economically more of a
+burden than an asset, because they called for incessant expenditure. At
+least the trade caravans were able to travel undisturbed from and to
+China through Turkestan. Moreover, the Wei kingdom, although much
+smaller than the empire of the Han, maintained a completely staffed
+court at great expense, because the rulers, claiming to rule the whole
+of China, felt bound to display more magnificence than the rulers of the
+southern dynasties. They had also to reward the nineteen tribes of the
+Hsiung-nu in the north for their military aid, not only with cessions of
+land but with payments of money. Finally, they would not disarm but
+maintained great armies for the continual fighting against the southern
+states. The Wei dynasty did not succeed, however, in closely
+subordinating the various army commanders to the central government.
+Thus the commanders, in collusion with groups of the gentry, were able
+to enrich themselves and to secure regional power. The inadequate
+strength of the central government of Wei was further undermined by the
+rivalries among the dominant gentry. The imperial family (Ts'ao Pei, who
+reigned from 220 to 226, had taken as emperor the name of Wen Ti) was
+descended from one of the groups of great landowners that had formed in
+the later Han period. The nucleus of that group was a family named
+Ts'ui, of which there is mention from the Han period onward and which
+maintained its power down to the tenth century; but it remained in the
+background and at first held entirely aloof from direct intervention in
+high policy. Another family belonging to this group was the Hsia-hou
+family which was closely united to the family of Wen Ti by adoption; and
+very soon there was also the Ssu-ma family. Quite naturally Wen Ti, as
+soon as he came into power, made provision for the members of these
+powerful families, for only thanks to their support had he been able to
+ascend the throne and to maintain his hold on the throne. Thus we find
+many members of the Hsia-hou and Ssu-ma families in government
+positions. The Ssu-ma family especially showed great activity, and at
+the end of Wen Ti's reign their power had so grown that a certain Ssu-ma
+I was in control of the government, while the new emperor Ming Ti
+(227-233) was completely powerless. This virtually sealed the fate of
+the Wei dynasty, so far as the dynastic family was concerned. The next
+emperor was installed and deposed by the Ssu-ma family; dissensions
+arose within the ruling family, leading to members of the family
+assassinating one another. In 264 a member of the Ssu-ma family declared
+himself king; when he died and was succeeded by his son Ssu-ma Yen, the
+latter, in 265, staged a formal act of renunciation of the throne of the
+Wei dynasty and made himself the first ruler of the new Chin dynasty.
+There is nothing to gain by detailing all the intrigues that led up to
+this event: they all took place in the immediate environment of the
+court and in no way affected the people, except that every item of
+expenditure, including all the bribery, had to come out of the taxes
+paid by the people.
+
+With such a situation at court, with the bad economic situation in the
+country, and with the continual fighting against the two southern
+states, there could be no question of any far-reaching foreign policy.
+Parts of eastern Turkestan still showed some measure of allegiance to
+Wei, but only because at the time it had no stronger opponent. The
+Hsiung-nu beyond the frontier were suffering from a period of depression
+which was at the same time a period of reconstruction. They were
+beginning slowly to form together with Mongol elements a new unit, the
+Juan-juan, but at this time were still politically inactive. The
+nineteen tribes within north China held more and more closely together
+as militarily organized nomads, but did not yet represent a military
+power and remained loyal to the Wei. The only important element of
+trouble seems to have been furnished by the Hsien-pi tribes, who had
+joined with Wu-huan tribes and apparently also with vestiges of the
+Hsiung-nu in eastern Mongolia, and who made numerous raids over the
+frontier into the Wei empire. The state of Yen, in southern Manchuria,
+had already been destroyed by Wei in 238 thanks to Wei's good relations
+with Japan. Loose diplomatic relations were maintained with Japan in the
+period that followed; in that period many elements of Chinese
+civilization found their way into Japan and there, together with
+settlers from many parts of China, helped to transform the culture of
+ancient Japan.
+
+
+
+(B) The Western Chin dynasty (A.D. 265-317)
+
+
+1 _Internal situation in the Chin empire_
+
+The change of dynasty in the state of Wei did not bring any turn in
+China's internal history. Ssu-ma Yen, who as emperor was called Wu Ti
+(265-289), had come to the throne with the aid of his clique and his
+extraordinarily large and widely ramified family. To these he had to
+give offices as reward. There began at court once more the same
+spectacle as in the past, except that princes of the new imperial family
+now played a greater part than under the Wei dynasty, whose ruling house
+had consisted of a small family. It was now customary, in spite of the
+abolition of the feudal system, for the imperial princes to receive
+large regions to administer, the fiscal revenues of which represented
+their income. The princes were not, however, to exercise full authority
+in the style of the former feudal lords: their courts were full of
+imperial control officials. In the event of war it was their duty to
+come forward, like other governors, with an army in support of the
+central government. The various Chin princes succeeded, however, in
+making other governors, beyond the frontiers of their regions, dependent
+on them. Also, they collected armies of their own independently of the
+central government and used those armies to pursue personal policies.
+The members of the families allied with the ruling house, for their
+part, did all they could to extend their own power. Thus the first ruler
+of the dynasty was tossed to and fro between the conflicting interests
+and was himself powerless. But though intrigue was piled on intrigue,
+the ruler who, of course, himself had come to the head of the state by
+means of intrigues, was more watchful than the rulers of the Wei dynasty
+had been, and by shrewd counter-measures he repeatedly succeeded in
+playing off one party against another, so that the dynasty remained in
+power. Numerous widespread and furious risings nevertheless took place,
+usually led by princes. Thus during this period the history of the
+dynasty was of an extraordinarily dismal character.
+
+In spite of this, the Chin troops succeeded in overthrowing the second
+southern state, that of Wu (A.D. 280), and in so restoring the unity of
+the empire, the Shu Han realm having been already conquered by the Wei.
+After the destruction of Wu there remained no external enemy that
+represented a potential danger, so that a general disarmament was
+decreed (280) in order to restore a healthy economic and financial
+situation. This disarmament applied, of course, to the troops directly
+under the orders of the dynasty, namely the troops of the court and the
+capital and the imperial troops in the provinces. Disarmament could
+not, however, be carried out in the princes' regions, as the princes
+declared that they needed personal guards. The dismissal of the troops
+was accompanied by a decree ordering the surrender of arms. It may be
+assumed that the government proposed to mint money with the metal of the
+weapons surrendered, for coin (the old coin of the Wei dynasty) had
+become very scarce; as we indicated previously, money had largely been
+replaced by goods so that, for instance, grain and silks were used for
+the payment of salaries. China, from _c_. 200 A.D. on until the eighth
+century, remained in a period of such partial "natural economy".
+
+Naturally the decree for the surrender of weapons remained a
+dead-letter. The discharged soldiers kept their weapons at first and
+then preferred to sell them. A large part of them was acquired by the
+Hsiung-nu and the Hsien-pi in the north of China; apparently they
+usually gave up land in return. In this way many Chinese soldiers,
+though not all by any means, went as peasants to the regions in the
+north of China and beyond the frontier. They were glad to do so, for the
+Hsiung-nu and the Hsien-pi had not the efficient administration and
+rigid tax collection of the Chinese; and above all, they had no great
+landowners who could have organized the collection of taxes. For their
+part, the Hsiung-nu and the Hsien-pi had no reason to regret this
+immigration of peasants, who could provide them with the farm produce
+they needed. And at the same time they were receiving from them large
+quantities of the most modern weapons.
+
+This ineffective disarmament was undoubtedly the most pregnant event of
+the period of the western Chin dynasty. The measure was intended to save
+the cost of maintaining the soldiers and to bring them back to the land
+as peasants (and taxpayers); but the discharged men were not given land
+by the government. The disarmament achieved nothing, not even the
+desired increase in the money in circulation; what did happen was that
+the central government lost all practical power, while the military
+strength both of the dangerous princes within the country and also of
+the frontier people was increased. The results of these mistaken
+measures became evident at once and compelled the government to arm
+anew.
+
+
+2 _Effect on the frontier peoples_
+
+Four groups of frontier peoples drew more or less advantage from the
+demobilization law--the people of the Toba, the Tibetans, and the
+Hsien-pi in the north, and the nineteen tribes of the Hsiung-nu within
+the frontiers of the empire. In the course of time all sorts of
+complicated relations developed among those ascending peoples as well
+as between them and the Chinese.
+
+The Toba (T'o-pa) formed a small group in the north of the present
+province of Shansi, north of the city of Tat'ungfu, and they were about
+to develop their small state. They were primarily of Turkish origin, but
+had absorbed many tribes of the older Hsiung-nu and the Hsien-pi. In
+considering the ethnical relationships of all these northern peoples we
+must rid ourselves of our present-day notions of national unity. Among
+the Toba there were many Turkish tribes, but also Mongols, and probably
+a Tungus tribe, as well as perhaps others whom we cannot yet analyse.
+These tribes may even have spoken different languages, much as later not
+only Mongol but also Turkish was spoken in the Mongol empire. The
+political units they formed were tribal unions, not national states.
+
+Such a union or federation can be conceived of, structurally, as a cone.
+At the top point of the cone there was the person of the ruler of the
+federation. He was a member of the leading family or clan of the leading
+tribe (the two top layers of the cone). If we speak of the Toba as of
+Turkish stock, we mean that according to our present knowledge, this
+leading tribe (_a_) spoke a language belonging to the Turkish language
+family and (_b_) exhibited a pattern of culture which belonged to the
+type called above in Chapter One as "North-western Culture". The next
+layer of the cone represented the "inner circle of tribes", i.e. such
+tribes as had joined with the leading tribe at an early moment. The
+leading family of the leading tribe often took their wives from the
+leading families of the "inner tribes", and these leaders served as
+advisors and councillors to the leader of the federation. The next lower
+layer consisted of the "outer tribes", i.e. tribes which had joined the
+federation only later, often under strong pressure; their number was
+always much larger than the number of the "inner tribes", but their
+political influence was much weaker. Every layer below that of the
+"outer tribes" was regarded as inferior and more or less "unfree". There
+was many a tribe which, as a tribe, had to serve a free tribe; and there
+were others who, as tribes, had to serve the whole federation. In
+addition, there were individuals who had quit or had been forced to quit
+their tribe or their home and had joined the federation leader as his
+personal "bondsmen"; further, there were individual slaves and, finally,
+there were the large masses of agriculturists who had been conquered by
+the federation. When such a federation was dissolved, by defeat or inner
+dissent, individual tribes or groups of tribes could join a new
+federation or could resume independent life.
+
+Typically, such federations exhibited two tendencies. In the case of the
+Hsiung-nu we indicated already previously that the leader of the
+federation repeatedly attempted to build up a kind of bureaucratic
+system, using his bondsmen as a nucleus. A second tendency was to
+replace the original tribal leaders by members of the family of the
+federation leader. If this initial step, usually first taken when "outer
+tribes" were incorporated, was successful, a reorganization was
+attempted: instead of using tribal units in war, military units on the
+basis of "Groups of Hundred", "Groups of Thousand", etc., were created
+and the original tribes were dissolved into military regiments. In the
+course of time, and especially at the time of the dissolution of a
+federation, these military units had gained social coherence and
+appeared to be tribes again; we are probably correct in assuming that
+all "tribes" which we find from this time on were already "secondary"
+tribes of this type. A secondary tribe often took its name from its
+leader, but it could also revive an earlier "primary tribe" name.
+
+The Toba represented a good example for this "cone" structure of
+pastoral society. Also the Hsiung-nu of this time seem to have had a
+similar structure. Incidentally, we will from now on call the Hsiung-nu
+"Huns" because Chinese sources begin to call them "Hu", a term which
+also had a more general meaning (all non-Chinese in the north and west
+of China) as well as a more special meaning (non-Chinese in Central Asia
+and India).
+
+The Tibetans fell apart into two sub-groups, the Ch'iang and the Ti.
+Both names appeared repeatedly as political conceptions, but the
+Tibetans, like all other state-forming groups of peoples, sheltered in
+their realms countless alien elements. In the course of the third and
+second centuries B.C. the group of the Ti, mainly living in the
+territory of the present Szechwan, had mixed extensively with remains of
+the Yueeh-chih; the others, the Ch'iang, were northern Tibetans or
+so-called Tanguts; that is to say, they contained Turkish and Mongol
+elements. In A.D. 296 there began a great rising of the Ti, whose leader
+Ch'i Wan-nien took on the title emperor. The Ch'iang rose with them, but
+it was not until later, from 312, that they pursued an independent
+policy. The Ti State, however, though it had a second emperor, very soon
+lost importance, so that we shall be occupied solely with the Ch'iang.
+
+As the tribal structure of Tibetan groups was always weak and as
+leadership developed among them only in times of war, their states
+always show a military rather than a tribal structure, and the
+continuation of these states depended strongly upon the personal
+qualities of their leaders. Incidentally, Tibetans fundamentally were
+sheep-breeders and not horse-breeders and, therefore, they always
+showed inclination to incorporate infantry into their armies. Thus,
+Tibetan states differed strongly from the aristocratically organized
+"Turkish" states as well as from the tribal, non-aristocratic "Mongol"
+states of that period.
+
+The Hsien-pi, according to our present knowledge, were under "Mongol"
+leadership, i.e. we believe that the language of the leading group
+belonged to the family of Mongolian languages and that their culture
+belonged to the type described above as "Northern culture". They had, in
+addition, a strong admixture of Hunnic tribes. Throughout the period
+during which they played a part in history, they never succeeded in
+forming any great political unit, in strong contrast to the Huns, who
+excelled in state formation. The separate groups of the Hsien-pi pursued
+a policy of their own; very frequently Hsien-pi fought each other, and
+they never submitted to a common leadership. Thus their history is
+entirely that of small groups. As early as the Wei period there had been
+small-scale conflicts with the Hsien-pi tribes, and at times the tribes
+had had some success. The campaigns of the Hsien-pi against North China
+now increased, and in the course of them the various tribes formed
+firmer groupings, among which the Mu-jung tribes played a leading part.
+In 281, the year after the demobilization law, this group marched south
+into China, and occupied the region round Peking. After fierce fighting,
+in which the Mu-jung section suffered heavy losses, a treaty was signed
+in 289, under which the Mu-jung tribe of the Hsien-pi recognized Chinese
+overlordship. The Mu-jung were driven to this step mainly because they
+had been continually attacked from southern Manchuria by another
+Hsien-pi tribe, the Yue-wen, the tribe most closely related to them. The
+Mu-jung made use of the period of their so-called subjection to organize
+their community in North China.
+
+South of the Toba were the nineteen tribes of the Hsiung-nu or Huns, as
+we are now calling them. Their leader in A.D. 287, Liu Yuean, was one of
+the principal personages of this period. His name is purely Chinese, but
+he was descended from the Hun _shan-yue_, from the family and line of Mao
+Tun. His membership of that long-famous noble line and old ruling family
+of Huns gave him a prestige which he increased by his great organizing
+ability.
+
+
+3 _Struggles for the throne_
+
+We shall return to Liu Yuean later; we must now cast another glance at
+the official court of the Chin. In that court a family named Yang had
+become very powerful, a daughter of this family having become empress.
+When, however, the emperor died, the wife of the new emperor Hui Ti
+(290-306) secured the assassination of the old empress Yang and of her
+whole family. Thus began the rule at court of the Chia family. In 299
+the Chia family got rid of the heir to the throne, to whom they
+objected, assassinating this prince and another one. This event became
+the signal for large-scale activity on the part of the princes, each of
+whom was supported by particular groups of families. The princes had not
+complied with the disarmament law of 280 and so had become militarily
+supreme. The generals newly appointed in the course of the imperial
+rearmament at once entered into alliance with the princes, and thus were
+quite unreliable as officers of the government. Both the generals and
+the princes entered into agreements with the frontier peoples to assure
+their aid in the struggle for power. The most popular of these
+auxiliaries were the Hsien-pi, who were fighting for one of the princes
+whose territory lay in the east. Since the Toba were the natural enemies
+of the Hsien-pi, who were continually contesting their hold on their
+territory, the Toba were always on the opposite side to that supported
+by the Hsien-pi, so that they now supported generals who were ostensibly
+loyal to the government. The Huns, too, negotiated with several generals
+and princes and received tempting offers. Above all, all the frontier
+peoples were now militarily well equipped, continually receiving new war
+material from the Chinese who from time to time were co-operating with
+them.
+
+In A.D. 300 Prince Lun assassinated the empress Chia and removed her
+group. In 301 he made himself emperor, but in the same year he was
+killed by the prince of Ch'i. This prince was killed in 302 by the
+prince of Ch'ang-sha, who in turned was killed in 303 by the prince of
+Tung-hai. The prince of Ho-chien rose in 302 and was killed in 306; the
+prince of Ch'engtu rose in 303, conquered the capital in 305, and then,
+in 306, was himself removed. I mention all these names and dates only to
+show the disunion within the ruling groups.
+
+
+4 _Migration of Chinese_
+
+All these struggles raged round the capital, for each of the princes
+wanted to secure full power and to become emperor. Thus the border
+regions remained relatively undisturbed. Their population suffered much
+less from the warfare than the unfortunate people in the neighbourhood
+of the central government. For this reason there took place a mass
+migration of Chinese from the centre of the empire to its periphery.
+This process, together with the shifting of the frontier peoples, is one
+of the most important events of that epoch. A great number of Chinese
+migrated especially into the present province of Kansu, where a governor
+who had originally been sent there to fight the Hsien-pi had created a
+sort of paradise by his good administration and maintenance of peace.
+The territory ruled by this Chinese, first as governor and then in
+increasing independence, was surrounded by Hsien-pi, Tibetans, and other
+peoples, but thanks to the great immigration of Chinese and to its
+situation on the main caravan route to Turkestan, it was able to hold
+its own, to expand, and to become prosperous.
+
+Other groups of Chinese peasants migrated southwards into the
+territories of the former state of Wu. A Chinese prince of the house of
+the Chin was ruling there, in the present Nanking. His purpose was to
+organize that territory, and then to intervene in the struggles of the
+other princes. We shall meet him again at the beginning of the Hun rule
+over North China in 317, as founder and emperor of the first south
+Chinese dynasty, which was at once involved in the usual internal and
+external struggles. For the moment, however, the southern region was
+relatively at peace, and was accordingly attracting settlers.
+
+Finally, many Chinese migrated northward, into the territories of the
+frontier peoples, not only of the Hsien-pi but especially of the Huns.
+These alien peoples, although in the official Chinese view they were
+still barbarians, at least maintained peace in the territories they
+ruled, and they left in peace the peasants and craftsmen who came to
+them, even while their own armies were involved in fighting inside
+China. Not only peasants and craftsmen came to the north but more and
+more educated persons. Members of families of the gentry that had
+suffered from the fighting, people who had lost their influence in
+China, were welcomed by the Huns and appointed teachers and political
+advisers of the Hun nobility.
+
+
+5 _Victory of the Huns. The Hun Han dynasty (later renamed the Earlier
+Chao dynasty)_
+
+With its self-confidence thus increased, the Hun council of nobles
+declared that in future the Huns should no longer fight now for one and
+now for another Chinese general or prince. They had promised loyalty to
+the Chinese emperor, but not to any prince. No one doubted that the
+Chinese emperor was a complete nonentity and no longer played any part
+in the struggle for power. It was evident that the murders would
+continue until one of the generals or princes overcame the rest and made
+himself emperor. Why should not the Huns have the same right? Why should
+not they join in this struggle for the Chinese imperial throne?
+
+There were two arguments against this course, one of which was already
+out of date. The Chinese had for many centuries set down the Huns as
+uncultured barbarians; but the inferiority complex thus engendered in
+the Huns had virtually been overcome, because in the course of time
+their upper class had deliberately acquired a Chinese education and so
+ranked culturally with the Chinese. Thus the ruler Liu Yuean, for
+example, had enjoyed a good Chinese education and was able to read all
+the classical texts. The second argument was provided by the rigid
+conceptions of legitimacy to which the Turkish-Hunnic aristocratic
+society adhered. The Huns asked themselves: "Have we, as aliens, any
+right to become emperors and rulers in China, when we are not descended
+from an old Chinese family?" On this point Liu Yuean and his advisers
+found a good answer. They called Liu Yuean's dynasty the "Han dynasty",
+and so linked it with the most famous of all the Chinese dynasties,
+pointing to the pact which their ancestor Mao Tun had concluded five
+hundred years earlier with the first emperor of the Han dynasty and
+which had described the two states as "brethren". They further recalled
+the fact that the rulers of the Huns were closely related to the Chinese
+ruling family, because Mao Tun and his successors had married Chinese
+princesses. Finally, Liu Yuean's Chinese family name, Liu, had also been
+the family name of the rulers of the Han dynasty. Accordingly the Hun
+Lius came forward not as aliens but as the rightful successors in
+continuation of the Han dynasty, as legitimate heirs to the Chinese
+imperial throne on the strength of relationship and of treaties.
+
+Thus the Hun Liu Yuean had no intention of restoring the old empire of
+Mao Tun, the empire of the nomads; he intended to become emperor of
+China, emperor of a country of farmers. In this lay the fundamental
+difference between the earlier Hun empire and this new one. The question
+whether the Huns should join in the struggle for the Chinese imperial
+throne was therefore decided among the Huns themselves in 304 in the
+affirmative, by the founding of the "Hun Han dynasty". All that remained
+was the practical question of how to hold out with their small army of
+50,000 men if serious opposition should be offered to the "barbarians".
+
+Meanwhile Liu Yuean provided himself with court ceremonial on the Chinese
+model, in a capital which, after several changes, was established at
+P'ing-ch'eng in southern Shansi. He attracted more and more of the
+Chinese gentry, who were glad to come to this still rather barbaric but
+well-organized court. In 309 the first attack was made on the Chinese
+capital, Loyang. Liu Yuean died in the following year, and in 311, under
+his successor Liu Ts'ung (310-318), the attack was renewed and Loyang
+fell. The Chin emperor, Huai Ti, was captured and kept a prisoner in
+P'ing-ch'eng until in 313 a conspiracy in his favour was brought to
+light in the Hun empire, and he and all his supporters were killed.
+Meanwhile the Chinese clique of the Chin dynasty had hastened to make a
+prince emperor in the second capital, Ch'ang-an (Min Ti, 313-316) while
+the princes' struggles for the throne continued. Nobody troubled about
+the fate of the unfortunate emperor in his capital. He received no
+reinforcements, so that he was helpless in face of the next attack of
+the Huns, and in 316 he was compelled to surrender like his predecessor.
+Now the Hun Han dynasty held both capitals, which meant virtually the
+whole of the western part of North China, and the so-called "Western
+Chin dynasty" thus came to its end. Its princes and generals and many of
+its gentry became landless and homeless and had to flee into the south.
+
+
+
+(C) The alien empires in North China, down to the Toba (A.D. 317-385)
+
+
+1 _The Later Chao dynasty in eastern North China (Hun_; 329-352)
+
+At this time the eastern part of North China was entirely in the hands
+of Shih Lo, a former follower of Liu Yuean. Shih Lo had escaped from
+slavery in China and had risen to be a military leader among
+detribalized Huns. In 310 he had not only undertaken a great campaign
+right across China to the south, but had slaughtered more than 100,000
+Chinese, including forty-eight princes of the Chin dynasty, who had
+formed a vast burial procession for a prince. This achievement added
+considerably to Shih Lo's power, and his relations with Liu Ts'ung,
+already tense, became still more so. Liu Yuean had tried to organize the
+Hun state on the Chinese model, intending in this way to gain efficient
+control of China; Shih Lo rejected Chinese methods, and held to the old
+warrior-nomad tradition, making raids with the aid of nomad fighters. He
+did not contemplate holding the territories of central and southern
+China which he had conquered; he withdrew, and in the two years 314-315
+he contented himself with bringing considerable expanses in
+north-eastern China, especially territories of the Hsien-pi, under his
+direct rule, as a base for further raids. Many Huns in Liu Ts'ung's
+dominion found Shih Lo's method of rule more to their taste than living
+in a state ruled by officials, and they went over to Shih Lo and joined
+him in breaking entirely with Liu Ts'ung. There was a further motive for
+this: in states founded by nomads, with a federation of tribes as their
+basis, the personal qualities of the ruler played an important part. The
+chiefs of the various tribes would not give unqualified allegiance to
+the son of a dead ruler unless the son was a strong personality or gave
+promise of becoming one. Failing that, there would be independence
+movements. Liu Ts'ung did not possess the indisputable charisma of his
+predecessor Liu Yuean; and the Huns looked with contempt on his court
+splendour, which could only have been justified if he had conquered all
+China. Liu Ts'ung had no such ambition; nor had his successor Liu Yao
+(319-329), who gave the Hun Han dynasty retroactively, from its start
+with Liu Yuean, the new name of "Earlier Chao dynasty" (304-329). Many
+tribes then went over to Shih Lo, and the remainder of Liu Yao's empire
+was reduced to a precarious existence. In 329 the whole of it was
+annexed by Shih Lo.
+
+Although Shih Lo had long been much more powerful than the emperors of
+the "Earlier Chao dynasty", until their removal he had not ventured to
+assume the title of emperor. The reason for this seems to have lain in
+the conceptions of nobility held by the Turkish peoples in general and
+the Huns in particular, according to which only those could become
+_shan-yue_ (or, later, emperor) who could show descent from the Tu-ku
+tribe the rightful _shan-yue_ stock. In accordance with this conception,
+all later Hun dynasties deliberately disowned Shih Lo. For Shih Lo,
+after his destruction of Liu Yao, no longer hesitated: ex-slave as he
+was, and descended from one of the non-noble stocks of the Huns, he made
+himself emperor of the "Later Chao dynasty" (329-352).
+
+Shih Lo was a forceful army commander, but he was a man without
+statesmanship, and without the culture of his day. He had no Chinese
+education; he hated the Chinese and would have been glad to make north
+China a grazing ground for his nomad tribes of Huns. Accordingly he had
+no desire to rule all China. The part already subjugated, embracing the
+whole of north China with the exception of the present province of
+Kansu, sufficed for his purpose.
+
+The governor of that province was a loyal subject of the Chinese Chin
+dynasty, a man famous for his good administration, and himself a
+Chinese. After the execution of the Chin emperor Huai Ti by the Huns in
+313, he regarded himself as no longer bound to the central government;
+he made himself independent and founded the "Earlier Liang dynasty",
+which was to last until 376. This mainly Chinese realm was not very
+large, although it had admitted a broad stream of Chinese emigrants from
+the dissolving Chin empire; but economically the Liang realm was very
+prosperous, so that it was able to extend its influence as far as
+Turkestan. During the earlier struggles Turkestan had been virtually in
+isolation, but now new contacts began to be established. Many traders
+from Turkestan set up branches in Liang. In the capital there were whole
+quarters inhabited only by aliens from western and eastern Turkestan and
+from India. With the traders came Buddhist monks; trade and Buddhism
+seemed to be closely associated everywhere. In the trading centres
+monasteries were installed in the form of blocks of houses within strong
+walls that successfully resisted many an attack. Consequently the
+Buddhists were able to serve as bankers for the merchants, who deposited
+their money in the monasteries, which made a charge for its custody; the
+merchants also warehoused their goods in the monasteries. Sometimes the
+process was reversed, a trade centre being formed around an existing
+monastery. In this case the monastery also served as a hostel for the
+merchants. Economically this Chinese state in Kansu was much more like a
+Turkestan city state that lived by commerce than the agrarian states of
+the Far East, although agriculture was also pursued under the Earlier
+Liang.
+
+From this trip to the remote west we will return first to the Hun
+capital. From 329 onward Shih Lo possessed a wide empire, but an
+unstable one. He himself felt at all times insecure, because the Huns
+regarded him, on account of his humble origin, as a "revolutionary". He
+exterminated every member of the Liu family, that is to say the
+old _shan-yue_ family, of whom he could get hold, in order to remove any
+possible pretender to the throne; but he could not count on the loyalty
+of the Hun and other Turkish tribes under his rule. During this period
+not a few Huns went over to the small realm of the Toba; other Hun
+tribes withdrew entirely from the political scene and lived with their
+herds as nomad tribes in Shansi and in the Ordos region. The general
+insecurity undermined the strength of Shih Lo's empire. He died in 333,
+and there came to the throne, after a short interregnum, another
+personality of a certain greatness, Shih Hu (334-349). He transferred
+the capital to the city of Yeh, in northern Honan, where the rulers of
+the Wei dynasty had reigned. There are many accounts of the magnificence
+of the court of Yeh. Foreigners, especially Buddhist monks, played a
+greater part there than Chinese. On the one hand, it was not easy for
+Shih Hu to gain the active support of the educated Chinese gentry after
+the murders of Shih Lo and, on the other hand, Shih Hu seems to have
+understood that foreigners without family and without other relations to
+the native population, but with special skills, are the most reliable
+and loyal servants of a ruler. Indeed, his administration seems to have
+been good, but the regime remained completely parasitic, with no
+support of the masses or the gentry. After Shih Hu's death there were
+fearful combats between his sons; ultimately a member of an entirely
+different family of Hun origin seized power, but was destroyed in 352 by
+the Hsien-pi, bringing to an end the Later Chao dynasty.
+
+
+2 _Earlier Yen dynasty in the north-east (proto-Mongol; 352-370), and
+the Earlier Ch'in dynasty in all north China (Tibetan; 351-394)_
+
+In the north, proto-Mongol Hsien-pi tribes had again made themselves
+independent; in the past they had been subjects of Liu Yuean and then of
+Shih Lo. A man belonging to one of these tribes, the tribe of the
+Mu-jung, became the leader of a league of tribes, and in 337 founded the
+state of Yen. This proto-Mongol state of the Mu-jung, which the
+historians call the "Earlier Yen" state, conquered parts of southern
+Manchuria and also the state of Kao-li in Korea, and there began then an
+immigration of Hsien-pi into Korea, which became noticeable at a later
+date. The conquest of Korea, which was still, as in the past, a Japanese
+market and was very wealthy, enormously strengthened the state of Yen.
+Not until a little later, when Japan's trade relations were diverted to
+central China, did Korea's importance begin to diminish. Although this
+"Earlier Yen dynasty" of the Mu-jung officially entered on the heritage
+of the Huns, and its regime was therefore dated only from 352 (until
+370), it failed either to subjugate the whole realm of the "Later Chao"
+or effectively to strengthen the state it had acquired. This old Hun
+territory had suffered economically from the anti-agrarian nomad
+tendency of the last of the Hun emperors; and unremunerative wars
+against the Chinese in the south had done nothing to improve its
+position. In addition to this, the realm of the Toba was dangerously
+gaining strength on the flank of the new empire. But the most dangerous
+enemy was in the west, on former Hun soil, in the province of
+Shensi--Tibetans, who finally came forward once more with claims to
+dominance. These were Tibetans of the P'u family, which later changed
+its name to Fu. The head of the family had worked his way up as a leader
+of Tibetan auxiliaries under the "Later Chao", gaining more and more
+power and following. When under that dynasty the death of Shih Hu marked
+the beginning of general dissolution, he gathered his Tibetans around
+him in the west, declared himself independent of the Huns, and made
+himself emperor of the "Earlier Ch'in dynasty" (351-394). He died in
+355, and was followed after a short interregnum by Fu Chien (357-385),
+who was unquestionably one of the most important figures of the fourth
+century. This Tibetan empire ultimately defeated the "Earlier Yen
+dynasty" and annexed the realm of the Mu-jung. Thus the Mu-jung Hsien-pi
+came under the dominion of the Tibetans; they were distributed among a
+number of places as garrisons of mounted troops.
+
+The empire of the Tibetans was organized quite differently from the
+empires of the Huns and the Hsien-pi tribes. The Tibetan organization
+was purely military and had nothing to do with tribal structure. This
+had its advantages, for the leader of such a formation had no need to
+take account of tribal chieftains; he was answerable to no one and
+possessed considerable personal power. Nor was there any need for him to
+be of noble rank or descended from an old family. The Tibetan ruler Fu
+Chien organized all his troops, including the non-Tibetans, on this
+system, without regard to tribal membership.
+
+Fu Chien's state showed another innovation: the armies of the Huns and
+the Hsien-pi had consisted entirely of cavalry, for the nomads of the
+north were, of course, horsemen; to fight on foot was in their eyes not
+only contrary to custom but contemptible. So long as a state consisted
+only of a league of tribes, it was simply out of the question to
+transform part of the army into infantry. Fu Chien, however, with his
+military organization that paid no attention to the tribal element,
+created an infantry in addition to the great cavalry units, recruiting
+for it large numbers of Chinese. The infantry proved extremely valuable,
+especially in the fighting in the plains of north China and in laying
+siege to fortified towns. Fu Chien thus very quickly achieved military
+predominance over the neighbouring states. As we have seen already, he
+annexed the "Earlier Yen" realm of the proto-Mongols (370), but he also
+annihilated the Chinese "Earlier Liang" realm (376) and in the same year
+the small Turkish Toba realm. This made him supreme over all north China
+and stronger than any alien ruler before him. He had in his possession
+both the ancient capitals, Ch'ang-an and Loyang; the whole of the rich
+agricultural regions of north China belonged to him; he also controlled
+the routes to Turkestan. He himself had had a Chinese education, and he
+attracted Chinese to his court; he protected the Buddhists; and he tried
+in every way to make the whole country culturally Chinese. As soon as Fu
+Chien had all north China in his power, as Liu Yuean and his Huns had
+done before him, he resolved, like Liu Yuean, to make every effort to
+gain the mastery over all China, to become emperor of China. Liu Yuean's
+successors had not had the capacity for which such a venture called; Fu
+Chien was to fail in it for other reasons. Yet, from a military point
+of view, his chances were not bad. He had far more soldiers under his
+command than the Chinese "Eastern Chin dynasty" which ruled the south,
+and his troops were undoubtedly better. In the time of the founder of
+the Tibetan dynasty the southern empire had been utterly defeated by his
+troops (354), and the south Chinese were no stronger now.
+
+Against them the north had these assets: the possession of the best
+northern tillage, the control of the trade routes, and "Chinese" culture
+and administration. At the time, however, these represented only
+potentialities and not tangible realities. It would have taken ten to
+twenty years to restore the capacities of the north after its
+devastation in many wars, to reorganize commerce, and to set up a really
+reliable administration, and thus to interlock the various elements and
+consolidate the various tribes. But as early as 383 Fu Chien started his
+great campaign against the south, with an army of something like a
+million men. At first the advance went well. The horsemen from the
+north, however, were men of the mountain country, and in the soggy
+plains of the Yangtze region, cut up by hundreds of water-courses and
+canals, they suffered from climatic and natural conditions to which they
+were unaccustomed. Their main strength was still in cavalry; and they
+came to grief. The supplies and reinforcements for the vast army failed
+to arrive in time; units did not reach the appointed places at the
+appointed dates. The southern troops under the supreme command of Hsieh
+Hsuean, far inferior in numbers and militarily of no great efficiency,
+made surprise attacks on isolated units before these were in regular
+formation. Some they defeated, others they bribed; they spread false
+reports. Fu Chien's army was seized with widespread panic, so that he
+was compelled to retreat in haste. As he did so it became evident that
+his empire had no inner stability: in a very short time it fell into
+fragments. The south Chinese had played no direct part in this, for in
+spite of their victory they were not strong enough to advance far to the
+north.
+
+
+3 _The fragmentation of north China_
+
+The first to fall away from the Tibetan ruler was a noble of the
+Mu-jung, a member of the ruling family of the "Earlier Yen dynasty", who
+withdrew during the actual fighting to pursue a policy of his own. With
+the vestiges of the Hsien-pi who followed him, mostly cavalry, he fought
+his way northwards into the old homeland of the Hsien-pi and there, in
+central Hopei, founded the "Later Yen dynasty" (384-409), himself
+reigning for twelve years. In the remaining thirteen years of the
+existence of that dynasty there were no fewer than five rulers, the
+last of them a member of another family. The history of this Hsien-pi
+dynasty, as of its predecessor, is an unedifying succession of
+intrigues; no serious effort was made to build up a true state.
+
+In the same year 384 there was founded, under several other Mu-jung
+princes of the ruling family of the "Earlier Yen dynasty", the "Western
+Yen dynasty" (384-394). Its nucleus was nothing more than a detachment
+of troops of the Hsien-pi which had been thrown by Fu Chien into the
+west of his empire, in Shensi, in the neighbourhood of the old capital
+Ch'ang-an. There its commanders, on learning the news of Fu Chien's
+collapse, declared their independence. In western China, however, far
+removed from all liaison with the main body of the Hsien-pi, they were
+unable to establish themselves, and when they tried to fight their way
+to the north-east they were dispersed, so that they failed entirely to
+form an actual state.
+
+There was a third attempt in 384 to form a state in north China. A
+Tibetan who had joined Fu Chien with his followers declared himself
+independent when Fu Chien came back, a beaten man, to Shensi. He caused
+Fu Chien and almost the whole of his family to be assassinated, occupied
+the capital, Ch'ang-an, and actually entered into the heritage of Fu
+Chien. This Tibetan dynasty is known as the "Later Ch'in dynasty"
+(384-417). It was certainly the strongest of those founded in 384, but
+it still failed to dominate any considerable part of China and remained
+of local importance, mainly confined to the present province of Shensi.
+Fu Chien's empire nominally had three further rulers, but they did not
+exert the slightest influence on events.
+
+With the collapse of the state founded by Fu Chien, the tribes of
+Hsien-pi who had left their homeland in the third century and migrated
+to the Ordos region proceeded to form their own state: a man of the
+Hsien-pi tribe of the Ch'i-fu founded the so-called "Western Ch'in
+dynasty" (385-431). Like the other Hsien-pi states, this one was of weak
+construction, resting on the military strength of a few tribes and
+failing to attain a really secure basis. Its territory lay in the east
+of the present province of Kansu, and so controlled the eastern end of
+the western Asian caravan route, which might have been a source of
+wealth if the Ch'i-fu had succeeded in attracting commerce by discreet
+treatment and in imposing taxation on it. Instead of this, the bulk of
+the long-distance traffic passed through the Ordos region, a little
+farther north, avoiding the Ch'i-fu state, which seemed to the merchants
+to be too insecure. The Ch'i-fu depended mainly on cattle-breeding in
+the remote mountain country in the south of their territory, a region
+that gave them relative security from attack; on the other hand, this
+made them unable to exercise any influence on the course of political
+events in western China.
+
+Mention must be made of one more state that rose from the ruins of Fu
+Chien's empire. It lay in the far west of China, in the western part of
+the present province of Kansu, and was really a continuation of the
+Chinese "Earlier Liang" realm, which had been annexed ten years earlier
+(376) by Fu Chien. A year before his great march to the south, Fu Chien
+had sent the Tibetan Lue Kuang into the "Earlier Liang" region in order
+to gain influence over Turkestan. As mentioned previously, after the
+great Hun rulers Fu Chien was the first to make a deliberate attempt to
+secure cultural and political overlordship over the whole of China.
+Although himself a Tibetan, he never succumbed to the temptation of
+pursuing a "Tibetan" policy; like an entirely legitimate ruler of China,
+he was concerned to prevent the northern peoples along the frontier from
+uniting with the Tibetan peoples of the west for political ends. The
+possession of Turkestan would avert that danger, which had shown signs
+of becoming imminent of late: some tribes of the Hsien-pi had migrated
+as far as the high mountains of Tibet and had imposed themselves as a
+ruling class on the still very primitive Tibetans living there. From
+this symbiosis there began to be formed a new people, the so-called
+T'u-yue-hun, a hybridization of Mongol and Tibetan stock with a slight
+Turkish admixture. Lue Kuang had had considerable success in Turkestan;
+he had brought considerable portions of eastern Turkestan under Fu
+Chien's sovereignty and administered those regions almost independently.
+When the news came of Fu Chien's end, he declared himself an independent
+ruler, of the "Later Liang" dynasty (386-403). Strictly speaking, this
+was simply a trading State, like the city-states of Turkestan: its basis
+was the transit traffic that brought it prosperity. For commerce brought
+good profit to the small states that lay right across the caravan route,
+whereas it was of doubtful benefit, as we know, to agrarian China as a
+whole, because the luxury goods which it supplied to the court were paid
+for out of the production of the general population.
+
+This "Later Liang" realm was inhabited not only by a few Tibetans and
+many Chinese, but also by Hsien-pi and Huns. These heterogeneous
+elements with their divergent cultures failed in the long run to hold
+together in this long but extremely narrow strip of territory, which was
+almost incapable of military defence. As early as 397 a group of Huns in
+the central section of the country made themselves independent, assuming
+the name of the "Northern Liang" (397-439). These Huns quickly conquered
+other parts of the "Later Liang" realm, which then fell entirely to
+pieces. Chinese again founded a state, "West Liang" (400-421) in western
+Kansu, and the Hsien-pi founded "South Liang" (379-414) in eastern
+Kansu. Thus the "Later Liang" fell into three parts, more or less
+differing ethnically, though they could not be described as ethnically
+unadulterated states.
+
+
+4 _Sociological analysis of the two great alien empires_
+
+The two great empires of north China at the time of its division had
+been founded by non-Chinese--the first by the Hun Liu Yuean, the second
+by the Tibetan Fu Chien. Both rulers went to work on the same principle
+of trying to build up truly "Chinese" empires, but the traditions of
+Huns and Tibetans differed, and the two experiments turned out
+differently. Both failed, but not for the same reasons and not with the
+same results. The Hun Liu Yuean was the ruler of a league of feudal
+tribes, which was expected to take its place as an upper class above the
+unchanged Chinese agricultural population with its system of officials
+and gentry. But Liu Yuean's successors were national reactionaries who
+stood for the maintenance of the nomad life against that new plan of
+transition to a feudal class of urban nobles ruling an agrarian
+population. Liu Yuean's more far-seeing policy was abandoned, with the
+result that the Huns were no longer in a position to rule an immense
+agrarian territory, and the empire soon disintegrated. For the various
+Hun tribes this failure meant falling back into political
+insignificance, but they were able to maintain their national character
+and existence.
+
+Fu Chien, as a Tibetan, was a militarist and soldier, in accordance with
+the past of the Tibetans. Under him were grouped Tibetans without tribal
+chieftains; the great mass of Chinese; and dispersed remnants of tribes
+of Huns, Hsien-pi, and others. His organization was militaristic and,
+outside the military sphere, a militaristic bureaucracy. The Chinese
+gentry, so far as they still existed, preferred to work with him rather
+than with the feudalist Huns. These gentry probably supported Fu Chien's
+southern campaign, for, in consequence of the wide ramifications of
+their families, it was to their interest that China should form a single
+economic unit. They were, of course, equally ready to work with another
+group, one of southern Chinese, to attain the same end by other means,
+if those means should prove more advantageous: thus the gentry were not
+a reliable asset, but were always ready to break faith. Among other
+things, Fu Chien's southern campaign was wrecked by that faithlessness.
+When an essentially military state suffers military defeat, it can only
+go to pieces. This explains the disintegration of that great empire
+within a single year into so many diminutive states, as already
+described.
+
+
+5 _Sociological analysis of the petty States_
+
+The states that took the place of Fu Chien's empire, those many
+diminutive states (the Chinese speak of the period of the Sixteen
+Kingdoms), may be divided from the economic point of view into two
+groups--trading states and warrior states; sociologically they also fall
+into two groups, tribal states and military states.
+
+The small states in the west, in Kansu (the Later Liang and the Western,
+Northern, and Southern Liang), were trading states: they lived on the
+earnings of transit trade with Turkestan. The eastern states were
+warrior states, in which an army commander ruled by means of an armed
+group of non-Chinese and exploited an agricultural population. It is
+only logical that such states should be short-lived, as in fact they all
+were.
+
+Sociologically regarded, during this period only the Southern and
+Northern Liang were still tribal states. In addition to these came the
+young Toba realm, which began in 385 but of which mention has not yet
+been made. The basis of that state was the tribe, not the family or the
+individual; after its political disintegration the separate tribes
+remained in existence. The other states of the east, however, were
+military states, made up of individuals with no tribal allegiance but
+subject to a military commandant. But where there is no tribal
+association, after the political downfall of a state founded by ethnical
+groups, those groups sooner or later disappear as such. We see this in
+the years immediately following Fu Chien's collapse: the Tibetan
+ethnical group to which he himself belonged disappeared entirely from
+the historical scene. The two Tibetan groups that outlasted him, also
+forming military states and not tribal states, similarly came to an end
+shortly afterwards for all time. The Hsien-pi groups in the various
+fragments of the empire, with the exception of the petty states in
+Kansu, also continued, only as tribal fragments led by a few old ruling
+families. They, too, after brief and undistinguished military rule, came
+to an end; they disappeared so completely that thereafter we no longer
+find the term Hsien-pi in history. Not that they had been exterminated.
+When the social structure and its corresponding economic form fall to
+pieces, there remain only two alternatives for its individuals. Either
+they must go over to a new form, which in China could only mean that
+they became Chinese; many Hsien-pi in this way became Chinese in the
+decades following 384. Or, they could retain their old way of living in
+association with another stock of similar formation; this, too, happened
+in many cases. Both these courses, however, meant the end of the
+Hsien-pi as an independent ethnical unit. We must keep this process and
+its reasons in view if we are to understand how a great people can
+disappear once and for all.
+
+The Huns, too, so powerful in the past, were suddenly scarcely to be
+found any longer. Among the many petty states there were many Hsien-pi
+kingdoms, but only a single, quite small Hun state, that of the Northern
+Liang. The disappearance of the Huns was, however, only apparent; at
+this time they remained in the Ordos region and in Shansi as separate
+nomad tribes with no integrating political organization; their time had
+still to come.
+
+
+6 _Spread of Buddhism_
+
+According to the prevalent Chinese view, nothing of importance was
+achieved during this period in north China in the intellectual sphere;
+there was no culture in the north, only in the south. This is natural:
+for a Confucian this period, the fourth century, was one of degeneracy
+in north China, for no one came into prominence as a celebrated
+Confucian. Nothing else could be expected, for in the north the gentry,
+which had been the class that maintained Confucianism since the Han
+period, had largely been destroyed; from political leadership especially
+it had been shut out during the periods of alien rule. Nor could we
+expect to find Taoists in the true sense, that is to say followers of
+the teaching of Lao Tzu, for these, too, had been dependent since the
+Han period on the gentry. Until the fourth century, these two had
+remained the dominant philosophies.
+
+What could take their place? The alien rulers had left little behind
+them. Most of them had been unable to write Chinese, and in so far as
+they were warriors they had no interest in literature or in political
+philosophy, for they were men of action. Few songs and poems of theirs
+remain extant in translations from their language into Chinese, but
+these preserve a strong alien flavour in their mental attitude and in
+their diction. They are the songs of fighting men, songs that were sung
+on horseback, songs of war and its sufferings. These songs have nothing
+of the excessive formalism and aestheticism of the Chinese, but give
+expression to simple emotions in unpolished language with a direct
+appeal. The epic of the Turkish peoples had clearly been developed
+already, and in north China it produced a rudimentary ballad literature,
+to which four hundred years later no less attention was paid than to the
+emotional world of contemporary songs.
+
+The actual literature, however, and the philosophy of this period are
+Buddhist. How can we explain that Buddhism had gained such influence?
+
+It will be remembered that Buddhism came to China overland and by sea in
+the Han epoch. The missionary monks who came from abroad with the
+foreign merchants found little approval among the Chinese gentry. They
+were regarded as second-rate persons belonging, according to Chinese
+notions, to an inferior social class. Thus the monks had to turn to the
+middle and lower classes in China. Among these they found widespread
+acceptance, not of their profound philosophic ideas, but of their
+doctrine of the after life. This doctrine was in a certain sense
+revolutionary: it declared that all the high officials and superiors who
+treated the people so unjustly and who so exploited them, would in their
+next reincarnation be born in poor circumstances or into inferior rank
+and would have to suffer punishment for all their ill deeds. The poor
+who had to suffer undeserved evils would be born in their next life into
+high rank and would have a good time. This doctrine brought a ray of
+light, a promise, to the country people who had suffered so much since
+the later Han period of the second century A.D. Their situation remained
+unaltered down to the fourth century; and under their alien rulers the
+Chinese country population became Buddhist.
+
+The merchants made use of the Buddhist monasteries as banks and
+warehouses. Thus they, too, were well inclined towards Buddhism and gave
+money and land for its temples. The temples were able to settle peasants
+on this land as their tenants. In those times a temple was a more
+reliable landlord than an individual alien, and the poorer peasants
+readily became temple tenants; this increased their inclination towards
+Buddhism.
+
+The Indian, Sogdian, and Turkestani monks were readily allowed to settle
+by the alien rulers of China, who had no national prejudice against
+other aliens. The monks were educated men and brought some useful
+knowledge from abroad. Educated Chinese were scarcely to be found, for
+the gentry retired to their estates, which they protected as well as
+they could from their alien ruler. So long as the gentry had no prospect
+of regaining control of the threads of political life that extended
+throughout China, they were not prepared to provide a class of officials
+and scholars for the anti-Confucian foreigners, who showed interest only
+in fighting and trading. Thus educated persons were needed at the courts
+of the alien rulers, and Buddhists were therefore engaged. These foreign
+Buddhists had all the important Buddhist writings translated into
+Chinese, and so made use of their influence at court for religious
+propaganda.
+
+This does not mean that every text was translated from Indian languages;
+especially in the later period many works appeared which came not from
+India but from Sogdia or Turkestan, or had even been written in China by
+Sogdians or other natives of Turkestan, and were then translated into
+Chinese. In Turkestan, Khotan in particular became a centre of Buddhist
+culture. Buddhism was influenced by vestiges of indigenous cults, so
+that Khotan developed a special religious atmosphere of its own; deities
+were honoured there (for instance, the king of Heaven of the
+northerners) to whom little regard was paid elsewhere. This "Khotan
+Buddhism" had special influence on the Buddhist Turkish peoples.
+
+Big translation bureaux were set up for the preparation of these
+translations into Chinese, in which many copyists simultaneously took
+down from dictation a translation made by a "master" with the aid of a
+few native helpers. The translations were not literal but were
+paraphrases, most of them greatly reduced in length, glosses were
+introduced when the translator thought fit for political or doctrinal
+reasons, or when he thought that in this way he could better adapt the
+texts to Chinese feeling.
+
+Buddhism, quite apart from the special case of "Khotan Buddhism",
+underwent extensive modification on its way across Central Asia. Its
+main Indian form (Hinayana) was a purely individualistic religion of
+salvation without a God--related in this respect to genuine Taoism--and
+based on a concept of two classes of people: the monks who could achieve
+salvation and, secondly, the masses who fed the monks but could not
+achieve salvation. This religion did not gain a footing in China; only
+traces of it can be found in some Buddhistic sects in China. Mahayana
+Buddhism, on the other hand, developed into a true popular religion of
+salvation. It did not interfere with the indigenous deities and did not
+discountenance life in human society; it did not recommend Nirvana at
+once, but placed before it a here-after with all the joys worth striving
+for. In this form Buddhism was certain of success in Asia. On its way
+from India to China it divided into countless separate streams, each
+characterized by a particular book. Every nuance, from profound
+philosophical treatises to the most superficial little tracts written
+for the simplest of souls, and even a good deal of Turkestan shamanism
+and Tibetan belief in magic, found their way into Buddhist writings, so
+that some Buddhist monks practised Central Asian Shamanism.
+
+In spite of Buddhism, the old religion of the peasants retained its
+vitality. Local diviners, Chinese shamans (_wu_), sorcerers, continued
+their practices, although from now on they sometimes used Buddhist
+phraseology. Often, this popular religion is called "Taoism", because a
+systematization of the popular pantheon was attempted, and Lao Tzu and
+other Taoists played a role in this pantheon. Philosophic Taoism
+continued in this time, aside from the church-Taoism of Chang Ling and,
+naturally, all kinds of contacts between these three currents occurred.
+The Chinese state cult, the cult of Heaven saturated with Confucianism,
+was another living form of religion. The alien rulers, in turn, had
+brought their own mixture of worship of Heaven and shamanism. Their
+worship of Heaven was their official "representative" religion; their
+shamanism the private religion of the individual in his daily life. The
+alien rulers, accordingly, showed interest in the Chinese shamans as
+well as in the shamanistic aspects of Mahayana Buddhism. Not
+infrequently competitions were arranged by the rulers between priests of
+the different religious systems, and the rulers often competed for the
+possession of monks who were particularly skilled in magic or
+soothsaying.
+
+But what was the position of the "official" religion? Were the aliens to
+hold to their own worship of heaven, or were they to take over the
+official Chinese cult, or what else? This problem posed itself already
+in the fourth century, but it was left unsolved.
+
+
+
+(D) The Toba empire in North China (A.D. 385-550)
+
+
+1 _The rise of the Toba State_
+
+On the collapse of Fu Chien's empire one more state made its appearance;
+it has not yet been dealt with, although it was the most important one.
+This was the empire of the Toba, in the north of the present province of
+Shansi. Fu Chien had brought down the small old Toba state in 376, but
+had not entirely destroyed it. Its territory was partitioned, and part
+was placed under the administration of a Hun: in view of the old rivalry
+between Toba and Huns, this seemed to Fu Chien to be the best way of
+preventing any revival of the Toba. However, a descendant of the old
+ruling family of the Toba succeeded, with the aid of related families,
+in regaining power and forming a small new kingdom. Very soon many
+tribes which still lived in north China and which had not been broken up
+into military units, joined him. Of these there were ultimately 119,
+including many Hun tribes from Shansi and also many Hsien-pi tribes.
+Thus the question who the Toba were is not easy to answer. The leading
+tribe itself had migrated southward in the third century from the
+frontier territory between northern Mongolia and northern Manchuria.
+After this migration the first Toba state, the so-called Tai state, was
+formed (338-376); not much is known about it. The tribes that, from 385
+after the break-up of the Tibetan empire, grouped themselves round this
+ruling tribe, were both Turkish and Mongol; but from the culture and
+language of the Toba we think it must be inferred that the ruling tribe
+itself as well as the majority of the other tribes were Turkish; in any
+case, the Turkish element seems to have been stronger than the
+Mongolian.
+
+Thus the new Toba kingdom was a tribal state, not a military state. But
+the tribes were no longer the same as in the time of Liu Yuean a hundred
+years earlier. Their total population must have been quite small; we
+must assume that they were but the remains of 119 tribes rather than 119
+full-sized tribes. Only part of them were still living the old nomad
+life; others had become used to living alongside Chinese peasants and
+had assumed leadership among the peasants. These Toba now faced a
+difficult situation. The country was arid and mountainous and did not
+yield much agricultural produce. For the many people who had come into
+the Toba state from all parts of the former empire of Fu Chien, to say
+nothing of the needs of a capital and a court which since the time of
+Liu Yuean had been regarded as the indispensable entourage of a ruler who
+claimed imperial rank, the local production of the Chinese peasants was
+not enough. All the government officials, who were Chinese, and all the
+slaves and eunuchs needed grain to eat. Attempts were made to settle
+more Chinese peasants round the new capital, but without success;
+something had to be done. It appeared necessary to embark on a campaign
+to conquer the fertile plain of eastern China. In the course of a number
+of battles the Hsien-pi of the "Later Yen" were annihilated and eastern
+China conquered (409).
+
+Now a new question arose: what should be done with all those people?
+Nomads used to enslave their prisoners and use them for watching their
+flocks. Some tribal chieftains had adopted the practice of establishing
+captives on their tribal territory as peasants. There was an opportunity
+now to subject the millions of Chinese captives to servitude to the
+various tribal chieftains in the usual way. But those captives who were
+peasants could not be taken away from their fields without robbing the
+country of its food; therefore it would have been necessary to spread
+the tribes over the whole of eastern China, and this would have added
+immensely to the strength of the various tribes and would have greatly
+weakened the central power. Furthermore almost all Chinese officials at
+the court had come originally from the territories just conquered. They
+had come from there about a hundred years earlier and still had all
+their relatives in the east. If the eastern territories had been placed
+under the rule of separate tribes, and the tribes had been distributed
+in this way, the gentry in those territories would have been destroyed
+and reduced to the position of enslaved peasants. The Chinese officials
+accordingly persuaded the Toba emperor not to place the new territories
+under the tribes, but to leave them to be administered by officials of
+the central administration. These officials must have a firm footing in
+their territory, for only they could extract from the peasants the grain
+required for the support of the capital. Consequently the Toba
+government did not enslave the Chinese in the eastern territory, but
+made the local gentry into government officials, instructing them to
+collect as much grain as possible for the capital. This Chinese local
+gentry worked in close collaboration with the Chinese officials at
+court, a fact which determined the whole fate of the Toba empire.
+
+The Hsien-pi of the newly conquered east no longer belonged to any
+tribe, but only to military units. They were transferred as soldiers to
+the Toba court and placed directly under the government, which was thus
+notably strengthened, especially as the millions of peasants under their
+Chinese officials were also directly responsible to the central
+administration. The government now proceeded to convert also its own
+Toba tribes into military formations. The tribal men of noble rank were
+brought to the court as military officers, and so were separated from
+the common tribesmen and the slaves who had to remain with the herds.
+This change, which robbed the tribes of all means of independent action,
+was not carried out without bloodshed. There were revolts of tribal
+chieftains which were ruthlessly suppressed. The central government had
+triumphed, but it realized that more reliance could be placed on Chinese
+than on its own people, who were used to independence. Thus the Toba
+were glad to employ more and more Chinese, and the Chinese pressed more
+and more into the administration. In this process the differing social
+organizations of Toba and Chinese played an important part. The Chinese
+have patriarchal families with often hundreds of members. When a member
+of a family obtains a good position, he is obliged to make provision for
+the other members of his family and to secure good positions for them
+too; and not only the members of his own family but those of allied
+families and of families related to it by marriage. In contrast the Toba
+had a patriarchal nuclear family system; as nomad warriors with no fixed
+abode, they were unable to form extended family groups. Among them the
+individual was much more independent; each one tried to do his best for
+himself. No Toba thought of collecting a large clique around himself;
+everybody should be the artificer of his own fortune. Thus, when a
+Chinese obtained an official post, he was followed by countless others;
+but when a Toba had a position he remained alone, and so the
+sinification of the Toba empire went on incessantly.
+
+
+2 _The Hun kingdom of the Hsia (407-431)_
+
+At the rebuilding of the Toba empire, however, a good many Hun tribes
+withdrew westward into the Ordos region beyond the reach of the Toba,
+and there they formed the Hun "Hsia" kingdom. Its ruler, Ho-lien
+P'o-p'o, belonged to the family of Mao Tun and originally, like Liu
+Yuean, bore the sinified family name Liu; but he altered this to a Hun
+name, taking the family name of Ho-lien. This one fact alone
+demonstrates that the Hsia rejected Chinese culture and were
+nationalistic Hun. Thus there were now two realms in North China, one
+undergoing progressive sinification, the other falling back to the old
+traditions of the Huns.
+
+
+3 _Rise of the Toba to a great Power_
+
+The present province of Szechwan, in the west, had belonged to Fu
+Chien's empire. At the break-up of the Tibetan state that province
+passed to the southern Chinese empire and gave the southern Chinese
+access, though it was very difficult access, to the caravan route
+leading to Turkestan. The small states in Kansu, which dominated the
+route, now passed on the traffic along two routes, one northward to the
+Toba and the other alien states in north China, the other through
+north-west Szechwan to south China. In this way the Kansu states were
+strengthened both economically and politically, for they were able to
+direct the commerce either to the northern states or to south China as
+suited them. When the South Chinese saw the break-up of Fu Chien's
+empire into numberless fragments, Liu Yue, who was then all-powerful at
+the South Chinese court, made an attempt to conquer the whole of western
+China. A great army was sent from South China into the province of
+Shensi, where the Tibetan empire of the "Later Ch'in" was situated. The
+Ch'in appealed to the Toba for help, but the Toba were themselves too
+hotly engaged to be able to spare troops. They also considered that
+South China would be unable to maintain these conquests, and that they
+themselves would find them later an easy prey. Thus in 417 the state of
+"Later Ch'in" received a mortal blow from the South Chinese army. Large
+numbers of the upper class fled to the Toba. As had been foreseen, the
+South Chinese were unable to maintain their hold over the conquered
+territory, and it was annexed with ease by the Hun Ho-lien P'o-p'o. But
+why not by the Toba?
+
+Towards the end of the fourth century, vestiges of Hun, Hsien-pi, and
+other tribes had united in Mongolia to form the new people of the
+Juan-juan (also called Ju-juan or Jou-jan). Scholars disagree as to
+whether the Juan-juan were Turks or Mongols; European investigators
+believe them to have been identical with the Avars who appeared in the
+Near East in 558 and later in Europe, and are inclined, on the strength
+of a few vestiges of their language, to regard them as Mongols.
+Investigations concerning the various tribes, however, show that among
+the Juan-juan there were both Mongol and Turkish tribes, and that the
+question cannot be decided in favour of either group. Some of the tribes
+belonging to the Juan-juan had formerly lived in China. Others had lived
+farther north or west and came into the history of the Far East now for
+the first time.
+
+This Juan-juan people threatened the Toba in the rear, from the north.
+It made raids into the Toba empire for the same reasons for which the
+Huns in the past had raided agrarian China; for agriculture had made
+considerable progress in the Toba empire. Consequently, before the Toba
+could attempt to expand southward, the Juan-juan peril must be removed.
+This was done in the end, after a long series of hard and not always
+successful struggles. That was why the Toba had played no part in the
+fighting against South China, and had been unable to take immediate
+advantage of that fighting.
+
+After 429 the Juan-juan peril no longer existed, and in the years that
+followed the whole of the small states of the west were destroyed, one
+after another, by the Toba--the "Hsia kingdom" in 431, bringing down
+with it the "Western Ch'in", and the "Northern Liang" in 439. The
+non-Chinese elements of the population of those countries were moved
+northwards and served the Toba as soldiers; the Chinese also, especially
+the remains of the Kansu "Western Liang" state (conquered in 420), were
+enslaved, and some of them transferred to the north. Here again,
+however, the influence of the Chinese gentry made itself felt after a
+short time. As we know, the Chinese of "Western Liang" in Kansu had
+originally migrated there from eastern China. Their eastern relatives
+who had come under Toba rule through the conquest of eastern China and
+who through their family connections with Chinese officials of the Toba
+empire had found safety, brought their influence to bear on behalf of
+the Chinese of Kansu, so that several families regained office and
+social standing.
+
+[Illustration: Map 4: The Toba empire _(about A.D. 500)_]
+
+Their expansion into Kansu gave the Toba control of the commerce with
+Turkestan, and there are many mentions of tribute missions to the Toba
+court in the years that followed, some even from India. The Toba also
+spread in the east. And finally there was fighting with South China
+(430-431), which brought to the Toba empire a large part of the province
+of Honan with the old capital, Loyang. Thus about 440 the Toba must be
+described as the most powerful state in the Far East, ruling the whole
+of North China.
+
+
+4 _Economic and social conditions_
+
+The internal changes of which there had only been indications in the
+first period of the Toba empire now proceeded at an accelerated pace.
+There were many different factors at work. The whole of the civil
+administration had gradually passed into Chinese hands, the Toba
+retaining only the military administration. But the wars in the south
+called for the services of specialists in fortification and in infantry
+warfare, who were only to be found among the Chinese. The growing
+influence of the Chinese was further promoted by the fact that many Toba
+families were exterminated in the revolts of the tribal chieftains, and
+others were wiped out in the many battles. Thus the Toba lost ground
+also in the military administration.
+
+The wars down to A.D. 440 had been large-scale wars of conquest,
+lightning campaigns that had brought in a great deal of booty. With
+their loot the Toba developed great magnificence and luxury. The
+campaigns that followed were hard and long-drawn-out struggles,
+especially against South China, where there was no booty, because the
+enemy retired so slowly that they could take everything with them. The
+Toba therefore began to be impoverished, because plunder was the main
+source of their wealth. In addition to this, their herds gradually
+deteriorated, for less and less use was made of them; for instance,
+horses were little required for the campaign against South China, and
+there was next to no fighting in the north. In contrast with the
+impoverishment of the Toba, the Chinese gentry grew not only more
+powerful but more wealthy.
+
+The Toba seem to have tried to prevent this development by introducing
+the famous "land equalization system" _(chuen-t'ien)_, one of their most
+important innovations. The direct purposes of this measure were to
+resettle uprooted farm population; to prevent further migrations of
+farmers; and to raise production and taxes. The founder of this system
+was Li An-shih, member of a Toba family and later husband of an imperial
+princess. The plan was basically accepted in 477, put into action in
+485, and remained the land law until _c_. 750. Every man and every
+woman had a right to receive a certain amount of land for life-time.
+After their death, the land was redistributed. In addition to this
+"personal land" there was so-called "mulberry land" on which farmers
+could plant mulberries for silk production; but they also could plant
+other crops under the trees. This land could be inherited from father to
+son and was not redistributed. Incidentally we know many similar
+regulations for trees in the Near East and Central Asia. As the tax was
+levied upon the personal land in form of grain, and on the tree land in
+form of silk, this regulation stimulated the cultivation of diversified
+crops on the tree land which then was not taxable. The basic idea behind
+this law was, that all land belonged to the state, a concept for which
+the Toba could point to the ancient Chou but which also fitted well for
+a dynasty of conquest. The new "_chuen-t'ien_" system required a complete
+land and population survey which was done in the next years. We know
+from much later census fragments that the government tried to enforce
+this equalization law, but did not always succeed; we read statements
+such as "X has so and so much land; he has a claim on so and so much
+land and, therefore, has to get so and so much"; but there are no
+records that X ever received the land due to him.
+
+One consequence of the new land law was a legal fixation of the social
+classes. Already during Han time (and perhaps even earlier) a
+distinction had been made between "free burghers" _(liang-min)_ and
+"commoners" _(ch'ien-min)_. This distinction had continued as informal
+tradition until, now, it became a legal concept. Only "burghers", i.e.
+gentry and free farmers, were real citizens with all rights of a free
+man. The "commoners" were completely or partly unfree and fell under
+several heads. Ranking as the lowest class were the real slaves (_nu_),
+divided into state and private slaves. By law, slaves were regarded as
+pieces of property, not as members of human society. They were, however,
+forced to marry and thus, as a class, were probably reproducing at a
+rate similar to that of the normal population, while slaves in Europe
+reproduced at a lower rate than the population. The next higher class
+were serfs (_fan-hu_), hereditary state servants, usually descendants of
+state slaves. They were obliged to work three months during the year for
+the state and were paid for this service. They were not registered in
+their place of residence but under the control of the Ministry of
+Agriculture which distributed them to other offices, but did not use
+them for farm work. Similar in status to them were the private bondsmen
+(_pu-ch'ue_), hereditarily attached to gentry families. These serfs
+received only 50 per cent of the land which a free burgher received
+under the land law. Higher than these were the service families
+(_tsa-hu_) who were registered in their place of residence, but had to
+perform certain services; here we find "tomb families" who cared for the
+imperial tombs, "shepherd families", postal families, kiln families,
+soothsayer families, medical families, and musician families. Each of
+these categories of commoners had its own laws; each had to marry within
+the category. No intermarriage or adoption was allowed. It is
+interesting to observe that a similar fixation of the social status of
+citizens occurred in the Roman Empire from _c._ A.D. 300 on.
+
+Thus in the years between 440 and 490 there were great changes not only
+in the economic but in the social sphere. The Toba declined in number
+and influence. Many of them married into rich families of the Chinese
+gentry and regarded themselves as no longer belonging to the Toba. In
+the course of time the court was completely sinified.
+
+The Chinese at the court now formed the leading element, and they tried
+to persuade the emperor to claim dominion over all China, at least in
+theory, by installing his capital in Loyang, the old centre of China.
+This transfer had the advantage for them personally that the territories
+in which their properties were situated were close to that capital, so
+that the grain they produced found a ready market. And it was indeed no
+longer possible to rule the great Toba empire, now covering the whole of
+North China from North Shansi. The administrative staff was so great
+that the transport system was no longer able to bring in sufficient
+food. For the present capital did not lie on a navigable river, and all
+the grain had to be carted, an expensive and unsafe mode of transport.
+Ultimately, in 493-4, the Chinese gentry officials secured the transfer
+of the capital to Loyang. In the years 490 to 499 the Toba emperor Wen
+Ti (471-499) took further decisive steps required by the stage reached
+in internal development. All aliens were prohibited from using their own
+language in public life. Chinese became the official language. Chinese
+clothing and customs also became general. The system of administration
+which had largely followed a pattern developed by the Wei dynasty in the
+early third century, was changed and took a form which became the model
+for the T'ang dynasty in the seventh century. It is important to note
+that in this period, for the first time, an office for religious affairs
+was created which dealt mainly with Buddhistic monasteries. While after
+the Toba period such an office for religious affairs disappeared again,
+this idea was taken up later by Japan when Japan accepted a Chinese-type
+of administration.
+
+[Illustration: 6 Sun Ch'uean, ruler of Wu. _From a painting by Yen
+Li-pen_ (_c._ 640-680).]
+
+[Illustration: 7 General view of the Buddhist cave-temples of Yuen-kang.
+In the foreground, the present village; in the background, the rampart.
+_Photo H. Hammer-Morrisson._]
+
+Owing to his bringing up, the emperor no longer regarded himself as Toba
+but as Chinese; he adopted the Chinese culture, acting as he was
+bound to do if he meant to be no longer an alien ruler in North China.
+Already he regarded himself as emperor of all China, so that the South
+Chinese empire was looked upon as a rebel state that had to be
+conquered. While, however, he succeeded in everything else, the campaign
+against the south failed except for some local successes.
+
+The transfer of the capital to Loyang was a blow to the Toba nobles.
+Their herds became valueless, for animal products could not be carried
+over the long distance to the new capital. In Loyang the Toba nobles
+found themselves parted from their tribes, living in an unaccustomed
+climate and with nothing to do, for all important posts were occupied by
+Chinese. The government refused to allow them to return to the north.
+Those who did not become Chinese by finding their way into Chinese
+families grew visibly poorer and poorer.
+
+
+5 _Victory and retreat of Buddhism_
+
+What we said in regard to the religious position of the other alien
+peoples applied also to the Toba. As soon, however, as their empire
+grew, they, too, needed an "official" religion of their own. For a few
+years they had continued their old sacrifices to Heaven; then another
+course opened to them. The Toba, together with many Chinese living in
+the Toba empire, were all captured by Buddhism, and especially by its
+shamanist element. One element in their preference of Buddhism was
+certainly the fact that Buddhism accepted all foreigners alike--both the
+Toba and the Chinese were "foreign" converts to an essentially Indian
+religion; whereas the Confucianist Chinese always made the non-Chinese
+feel that in spite of all their attempts they were still "barbarians"
+and that only real Chinese could be real Confucianists.
+
+Secondly, it can be assumed that the Toba rulers by fostering Buddhism
+intended to break the power of the Chinese gentry. A few centuries
+later, Buddhism was accepted by the Tibetan kings to break the power of
+the native nobility, by the Japanese to break the power of a federation
+of noble clans, and still later by the Burmese kings for the same
+reason. The acceptance of Buddhism by rulers in the Far East always
+meant also an attempt to create a more autocratic, absolutistic regime.
+Mahayana Buddhism, as an ideal, desired a society without clear-cut
+classes under one enlightened ruler; in such a society all believers
+could strive to attain the ultimate goal of salvation.
+
+Throughout the early period of Buddhism in the Far East, the question
+had been discussed what should be the relations between the Buddhist
+monks and the emperor, whether they were subject to him or not. This was
+connected, of course, with the fact that to the early fourth century the
+Buddhist monks were foreigners who, in the view prevalent in the Far
+East, owed only a limited allegiance to the ruler of the land. The
+Buddhist monks at the Toba court now submitted to the emperor, regarding
+him as a reincarnation of Buddha. Thus the emperor became protector of
+Buddhism and a sort of god. This combination was a good substitute for
+the old Chinese theory that the emperor was the Son of Heaven; it
+increased the prestige and the splendour of the dynasty. At the same
+time the old shamanism was legitimized under a Buddhist
+reinterpretation. Thus Buddhism became a sort of official religion. The
+emperor appointed a Buddhist monk as head of the Buddhist state church,
+and through this "Pope" he conveyed endowments on a large scale to the
+church. T'an-yao, head of the state church since 460, induced the state
+to attach state slaves, i.e. enslaved family members of criminals, and
+their families to state temples. They were supposed to work on temple
+land and to produce for the upkeep of the temples and monasteries. Thus,
+the institution of "temple slaves" was created, an institution which
+existed in South Asia and Burma for a long time, and which greatly
+strengthened the economic position of Buddhism.
+
+Like all Turkish peoples, the Toba possessed a myth according to which
+their ancestors came into the world from a sacred grotto. The Buddhists
+took advantage of this conception to construct, with money from the
+emperor, the vast and famous cave-temple of Yuen-kang, in northern
+Shansi. If we come from the bare plains into the green river valley, we
+may see to this day hundreds of caves cut out of the steep cliffs of the
+river bank. Here monks lived in their cells, worshipping the deities of
+whom they had thousands of busts and reliefs sculptured in stone, some
+of more than life-size, some diminutive. The majestic impression made
+today by the figures does not correspond to their original effect, for
+they were covered with a layer of coloured stucco.
+
+We know only few names of the artists and craftsmen who made these
+objects. Probably some at least were foreigners from Turkestan, for in
+spite of the predominantly Chinese character of these sculptures, some
+of them are reminiscent of works in Turkestan and even in the Near East.
+In the past the influences of the Near East on the Far East--influences
+traced back in the last resort to Greece--were greatly exaggerated; it
+was believed that Greek art, carried through Alexander's campaign as far
+as the present Afghanistan, degenerated there in the hands of Indian
+imitators (the so-called Gandhara art) and ultimately passed on in more
+and more distorted forms through Turkestan to China. Actually, however,
+some eight hundred years lay between Alexander's campaign and the Toba
+period sculptures at Yuen-kang and, owing to the different cultural
+development, the contents of the Greek and the Toba-period art were
+entirely different. We may say, therefore, that suggestions came from
+the centre of the Greco-Bactrian culture (in the present Afghanistan)
+and were worked out by the Toba artists; old forms were filled with a
+new content, and the elements in the reliefs of Yuen-kang that seem to us
+to be non-Chinese were the result of this synthesis of Western
+inspiration and Turkish initiative. It is interesting to observe that
+all steppe rulers showed special interest in sculpture and, as a rule,
+in architecture; after the Toba period, sculpture flourished in China in
+the T'ang period, the period of strong cultural influence from Turkish
+peoples, and there was a further advance of sculpture and of the
+cave-dwellers' worship in the period of the "Five Dynasties" (906-960;
+three of these dynasties were Turkish) and in the Mongol period.
+
+But not all Buddhists joined the "Church", just as not all Taoists had
+joined the Church of Chang Ling's Taoism. Some Buddhists remained in the
+small towns and villages and suffered oppression from the central
+Church. These village Buddhist monks soon became instigators of a
+considerable series of attempts at revolution. Their Buddhism was of the
+so-called "Maitreya school", which promised the appearance on earth of a
+new Buddha who would do away with all suffering and introduce a Golden
+Age. The Chinese peasantry, exploited by the gentry, came to the support
+of these monks whose Messianism gave the poor a hope in this world. The
+nomad tribes also, abandoned by their nobles in the capital and
+wandering in poverty with their now worthless herds, joined these monks.
+We know of many revolts of Hun and Toba tribes in this period, revolts
+that had a religious appearance but in reality were simply the result of
+the extreme impoverishment of these remaining tribes.
+
+In addition to these conflicts between state and popular Buddhism,
+clashes between Buddhists and representatives of organized Taoism
+occurred. Such fights, however, reflected more the power struggle
+between cliques than between religious groups. The most famous incident
+was the action against the Buddhists in 446 which brought destruction to
+many temples and monasteries and death to many monks. Here, a mighty
+Chinese gentry faction under the leadership of the Ts'ui family had
+united with the Taoist leader K'ou Ch'ien-chih against another faction
+under the leadership of the crown prince.
+
+With the growing influence of the Chinese gentry, however, Confucianism
+gained ground again, until with the transfer of the capital to Loyang it
+gained a complete victory, taking the place of Buddhism and becoming
+once more as in the past the official religion of the state. This
+process shows us once more how closely the social order of the gentry
+was associated with Confucianism.
+
+
+
+(E) Succession States of the Toba (A.D. 550-580): Northern Ch'i dynasty,
+Northern Chou dynasty
+
+
+1 _Reasons for the splitting of the Toba empire_
+
+Events now pursued their logical course. The contrast between the
+central power, now become entirely Chinese, and the remains of the
+tribes who were with their herds mainly in Shansi and the Ordos region
+and were hopelessly impoverished, grew more and more acute. From 530
+onward the risings became more and more formidable. A few Toba who still
+remained with their old tribes placed themselves at the head of the
+rebels and conquered not only the whole of Shansi but also the capital,
+where there was a great massacre of Chinese and pro-Chinese Toba. The
+rebels were driven back; in this a man of the Kao family distinguished
+himself, and all the Chinese and pro-Chinese gathered round him. The Kao
+family, which may have been originally a Hsien-pi family, had its
+estates in eastern China and so was closely associated with the eastern
+Chinese gentry, who were the actual rulers of the Toba State. In 534
+this group took the impotent emperor of their own creation to the city
+of Yeh in the east, where he reigned _de jure_ for a further sixteen
+years. Then he was deposed, and Kao Yang made himself the first emperor
+of the Northern Ch'i dynasty (550-577).
+
+The national Toba group, on the other hand, found another man of the
+imperial family and established him in the west. After a short time this
+puppet was removed from the throne and a man of the Yue-wen family made
+himself emperor, founding the "Northern Chou dynasty" (557-580). The
+Hsien-pi family of Yue-wen was a branch of the Hsien-pi, but was closely
+connected with the Huns and probably of Turkish origin. All the still
+existing remains of Toba tribes who had eluded sinification moved into
+this western empire.
+
+The splitting of the Toba empire into these two separate realms was the
+result of the policy embarked on at the foundation of the empire. Once
+the tribal chieftains and nobles had been separated from their tribes
+and organized militarily, it was inevitable that the two elements should
+have different social destinies. The nobles could not hold their own
+against the Chinese; if they were not actually eliminated in one way or
+another, they disappeared into Chinese families. The rest, the people of
+the tribe, became destitute and were driven to revolt. The northern
+peoples had been unable to perpetuate either their tribal or their
+military organization, and the Toba had been equally unsuccessful in
+their attempt to perpetuate the two forms of organization alongside each
+other.
+
+These social processes are of particular importance because the ethnical
+disappearance of the northern peoples in China had nothing to do with
+any racial inferiority or with any particular power of assimilation; it
+was a natural process resulting from the different economic, social, and
+cultural organizations of the northern peoples and the Chinese.
+
+
+2 _Appearance of the (Goek) Turks_
+
+The Toba had liberated themselves early in the fifth century from the
+Juan-juan peril. None of the fighting that followed was of any great
+importance. The Toba resorted to the old means of defence against
+nomads--they built great walls. Apart from that, after their move
+southward to Loyang, their new capital, they were no longer greatly
+interested in their northern territories. When the Toba empire split
+into the Ch'i and the Northern Chou, the remaining Juan-juan entered
+into treaties first with one realm and then with the other: each realm
+wanted to secure the help of the Juan-juan against the other.
+
+Meanwhile there came unexpectedly to the fore in the north a people
+grouped round a nucleus tribe of Huns, the tribal union of the
+"T'u-chueeh", that is to say the Goek Turks, who began to pursue a policy
+of their own under their khan. In 546 they sent a mission to the western
+empire, then in the making, of the Northern Chou, and created the first
+bonds with it, following which the Northern Chou became allies of the
+Turks. The eastern empire, Ch'i, accordingly made terms with the
+Juan-juan, but in 552 the latter suffered a crushing defeat at the hands
+of the Turks, their former vassals. The remains of the Juan-juan either
+fled to the Ch'i state or went reluctantly into the land of the Chou.
+Soon there was friction between the Juan-juan and the Ch'i, and in 555
+the Juan-juan in that state were annihilated. In response to pressure
+from the Turks, the Juan-juan in the western empire of the Northern Chou
+were delivered up to them and killed in the same year. The Juan-juan
+then disappeared from the history of the Far East. They broke up into
+their several tribes, some of which were admitted into the Turks' tribal
+league. A few years later the Turks also annihilated the Ephthalites,
+who had been allied with the Juan-juan; this made the Turks the dominant
+power in Central Asia. The Ephthalites (Yeh-ta, Haytal) were a mixed
+group which contained elements of the old Yueeh-chih and spoke an
+Indo-European language. Some scholars regard them as a branch of the
+Tocharians of Central Asia. One menace to the northern states of China
+had disappeared--that of the Juan-juan. Their place was taken by a much
+more dangerous power, the Turks.
+
+
+3 _The Northern Ch'i dynasty; the Northern Chou dynasty_
+
+In consequence of this development the main task of the Northern Chou
+state consisted in the attempt to come to some settlement with its
+powerful Turkish neighbours, and meanwhile to gain what it could from
+shrewd negotiations with its other neighbours. By means of intrigues and
+diplomacy it intervened with some success in the struggles in South
+China. One of the pretenders to the throne was given protection; he was
+installed in the present Hankow as a quasi-feudal lord depending on
+Chou, and there he founded the "Later Liang dynasty" (555-587). In this
+way Chou had brought the bulk of South China under its control without
+itself making any real contribution to that result.
+
+Unlike the Chinese state of Ch'i, Chou followed the old Toba tradition.
+Old customs were revived, such as the old sacrifice to Heaven and the
+lifting of the emperor on to a carpet at his accession to the throne;
+family names that had been sinified were turned into Toba names again,
+and even Chinese were given Toba names; but in spite of this the inner
+cohesion had been destroyed. After two centuries it was no longer
+possible to go back to the old nomad, tribal life. There were also too
+many Chinese in the country, with whom close bonds had been forged
+which, in spite of all attempts, could not be broken. Consequently there
+was no choice but to organize a state essentially similar to that of the
+great Toba empire.
+
+There is just as little of importance that can be said of the internal
+politics of the Ch'i dynasty. The rulers of that dynasty were thoroughly
+repulsive figures, with no positive achievements of any sort to their
+credit. Confucianism had been restored in accordance with the Chinese
+character of the state. It was a bad time for Buddhists, and especially
+for the followers of the popularized Taoism. In spite of this, about
+A.D. 555 great new Buddhist cave-temples were created in Lung-men, near
+Loyang, in imitation of the famous temples of Yuen-kang.
+
+The fighting with the western empire, the Northern Chou state, still
+continued, and Ch'i was seldom successful. In 563 Chou made preparations
+for a decisive blow against Ch'i, but suffered defeat because the Turks,
+who had promised aid, gave none and shortly afterwards began campaigns
+of their own against Ch'i. In 571 Ch'i had some success in the west
+against Chou, but then it lost parts of its territory to the South
+Chinese empire, and finally in 576-7 it was defeated by Chou in a great
+counter-offensive. Thus for some three years all North China was once
+more under a single rule, though of nothing approaching the strength of
+the Toba at the height of their power. For in all these campaigns the
+Turks had played an important part, and at the end they annexed further
+territory in the north of Ch'i, so that their power extended far into
+the east.
+
+Meanwhile intrigue followed intrigue at the court of Chou; the mutual
+assassinations within the ruling group were as incessant as in the last
+years of the great Toba empire, until the real power passed from the
+emperor and his Toba entourage to a Chinese family, the Yang. Yang
+Chien's daughter was the wife of a Chou emperor; his son was married to
+a girl of the Hun family Tu-ku; her sister was the wife of the father of
+the Chou emperor. Amid this tangled relationship in the imperial house
+it is not surprising that Yang Chien should attain great power. The
+Tu-ku were a very old family of the Hun nobility; originally the name
+belonged to the Hun house from which the _shan-yue_ had to be descended.
+This family still observed the traditions of the Hun rulers, and
+relationship with it was regarded as an honour even by the Chinese.
+Through their centuries of association with aristocratically organized
+foreign peoples, some of the notions of nobility had taken root among
+the Chinese gentry; to be related with old ruling houses was a welcome
+means of evidencing or securing a position of special distinction among
+the gentry. Yang Chien gained useful prestige from his family
+connections. After the leading Chinese cliques had regained predominance
+in the Chou empire, much as had happened before in the Toba empire, Yang
+Chien's position was strong enough to enable him to massacre the members
+of the imperial family and then, in 581, to declare himself emperor.
+Thus began the Sui dynasty, the first dynasty that was once more to rule
+all China.
+
+But what had happened to the Toba? With the ending of the Chou empire
+they disappeared for all time, just as the Juan-juan had done a little
+earlier. So far as the tribes did not entirely disintegrate, the people
+of the tribes seem during the last years of Toba and Chou to have joined
+Turkish and other tribes. In any case, nothing more is heard of them as
+a people, and they themselves lived on under the name of the tribe that
+led the new tribal league.
+
+Most of the Toba nobility, on the other hand, became Chinese. This
+process can be closely followed in the Chinese annals. The tribes that
+had disintegrated in the time of the Toba empire broke up into families
+of which some adopted the name of the tribe as their family name, while
+others chose Chinese family names. During the centuries that followed,
+in some cases indeed down to modern times, these families continue to
+appear, often playing an important part in Chinese history.
+
+
+
+(F) The Southern Empires
+
+
+1 _Economic and social situation in the south_
+
+During the 260 years of alien rule in North China, the picture of South
+China also was full of change. When in 317 the Huns had destroyed the
+Chinese Chin dynasty in the north, a Chin prince who normally would not
+have become heir to the throne declared himself, under the name Yuean Ti,
+the first emperor of the "Eastern Chin dynasty" (317-419). The capital
+of this new southern empire adjoined the present Nanking. Countless
+members of the Chinese gentry had fled from the Huns at that time and
+had come into the southern empire. They had not done so out of loyalty
+to the Chinese dynasty or out of national feeling, but because they saw
+little prospect of attaining rank and influence at the courts of the
+alien rulers, and because it was to be feared that the aliens would turn
+the fields into pasturage, and also that they would make an end of the
+economic and monetary system which the gentry had evolved for their own
+benefit.
+
+But the south was, of course, not uninhabited. There were already two
+groups living there--the old autochthonous population, consisting of
+Yao, Tai and Yueeh, and the earlier Chinese immigrants from the north,
+who had mainly arrived in the time of the Three Kingdoms, at the
+beginning of the third century A.D. The countless new immigrants now
+came into sharp conflict with the old-established earlier immigrants.
+Each group looked down on the other and abused it. The two immigrant
+groups in particular not only spoke different dialects but had developed
+differently in respect to manners and customs. A look for example at
+Formosa in the years after 1948 will certainly help in an understanding
+of this situation: analogous tensions developed between the new
+refugees, the old Chinese immigrants, and the native Formosan
+population. But let us return to the southern empires.
+
+The two immigrant groups also differed economically and socially: the
+old immigrants were firmly established on the large properties they had
+acquired, and dominated their tenants, who were largely autochthones; or
+they had engaged in large-scale commerce. In any case, they possessed
+capital, and more capital than was usually possessed by the gentry of
+the north. Some of the new immigrants, on the other hand, were military
+people. They came with empty hands, and they had no land. They hoped
+that the government would give them positions in the military
+administration and so provide them with means; they tried to gain
+possession of the government and to exclude the old settlers as far as
+possible. The tension was increased by the effect of the influx of
+Chinese in bringing more land into cultivation, thus producing a boom
+period such as is produced by the opening up of colonial land. Everyone
+was in a hurry to grab as much land as possible. There was yet a further
+difference between the two groups of Chinese: the old settlers had long
+lost touch with the remainder of their families in the north. They had
+become South Chinese, and all their interests lay in the south. The new
+immigrants had left part of their families in the north under alien
+rule. Their interests still lay to some extent in the north. They were
+working for the reconquest of the north by military means; at times
+individuals or groups returned to the north, while others persuaded the
+rest of their relatives to come south. It would be wrong to suppose that
+there was no inter-communication between the two parts into which China
+had fallen. As soon as the Chinese gentry were able to regain any
+footing in the territories under alien rule, the official relations,
+often those of belligerency, proceeded alongside unofficial intercourse
+between individual families and family groupings, and these latter were,
+as a rule, in no way belligerent.
+
+The lower stratum in the south consisted mainly of the remains of the
+original non-Chinese population, particularly in border and southern
+territories which had been newly annexed from time to time. In the
+centre of the southern state the way of life of the non-Chinese was very
+quickly assimilated to that of the Chinese, so that the aborigines were
+soon indistinguishable from Chinese. The remaining part of the lower
+class consisted of impoverished Chinese peasants. This whole lower
+section of the population rarely took any active and visible part in
+politics, except at times in the form of great popular risings.
+
+Until the third century, the south had been of no great economic
+importance, in spite of the good climate and the extraordinary fertility
+of the Yangtze valley. The country had been too thinly settled, and the
+indigenous population had not become adapted to organized trade. After
+the move southward of the Chin dynasty the many immigrants had made the
+country of the lower Yangtze more thickly populated, but not
+over-populated. The top-heavy court with more than the necessary number
+of officials (because there was still hope for a re-conquest of the
+north which would mean many new jobs for administrators) was a great
+consumer; prices went up and stimulated local rice production. The
+estates of the southern gentry yielded more than before, and naturally
+much more than the small properties of the gentry in the north where,
+moreover, the climate is far less favourable. Thus the southern
+landowners were able to acquire great wealth, which ultimately made
+itself felt in the capital.
+
+One very important development was characteristic in this period in the
+south, although it also occurred in the north. Already in pre-Han times,
+some rulers had gardens with fruit trees. The Han emperors had large
+hunting parks which were systematically stocked with rare animals; they
+also had gardens and hot-houses for the production of vegetables for the
+court. These "gardens" (_yuean_) were often called "manors" (_pieh-yeh_)
+and consisted of fruit plantations with luxurious buildings. We hear
+soon of water-cooled houses for the gentry, of artificial ponds for
+pleasure and fish breeding, artificial water-courses, artificial
+mountains, bamboo groves, and parks with parrots, ducks, and large
+animals. Here, the wealthy gentry of both north and south, relaxed from
+government work, surrounded by their friends and by women. These manors
+grew up in the hills, on the "village commons" where formerly the
+villagers had collected their firewood and had grazed their animals.
+Thus, the village commons begin to disappear. The original farm land was
+taxed, because it produced one of the two products subject to taxation,
+namely grain or mulberry leaves for silk production. But the village
+common had been and remained tax-free because it did not produce taxable
+things. While land-holdings on the farmland were legally restricted in
+their size, the "gardens" were unrestricted. Around A.D. 500 the ruler
+allowed high officials to have manors of three hundred mou size, while
+in the north a family consisting of husband and wife and children below
+fifteen years of age were allowed a farm of sixty mou only; but we hear
+of manors which were many times larger than the allowed size of three
+hundred. These manors began to play an important economic role, too:
+they were cultivated by tenants and produced fishes, vegetables, fruit
+and bamboo for the market, thus they gave more income than ordinary rice
+or wheat land.
+
+With the creation of manors the total amount of land under cultivation
+increased, though not the amount of grain-producing land. We gain the
+impression that from _c._ the third century A.D. on to the eleventh
+century the intensity of cultivation was generally lower than in the
+period before.
+
+The period from _c_. A.D. 300 on also seems to be the time of the second
+change in Chinese dietary habits. The first change occurred probably
+between 400 and 100 B.C. when the meat-eating Chinese reduced their meat
+intake greatly, gave up eating beef and mutton and changed over to some
+pork and dog meat. This first change was the result of increase of
+population and decrease of available land for pasturage. Cattle breeding
+in China was then reduced to the minimum of one cow or water-buffalo per
+farm for ploughing. Wheat was the main staple for the masses of the
+people. Between A.D. 300 and 600 rice became the main staple in the
+southern states although, theoretically, wheat could have been grown and
+some wheat probably was grown in the south. The vitamin and protein
+deficiencies which this change from wheat to rice brought forth, were
+made up by higher consumption of vegetables, especially beans, and
+partially also by eating of fish and sea food. In the north, rice became
+the staple food of the upper class, while wheat remained the main food
+of the lower classes. However, new forms of preparation of wheat, such
+as dumplings of different types, were introduced. The foreign rulers
+consumed more meat and milk products. Chinese had given up the use of
+milk products at the time of the first change, and took to them to some
+extent only in periods of foreign rule.
+
+
+2 _Struggles between cliques under the Eastern Chin dynasty_ (A.D.
+317-419)
+
+The officials immigrating from the north regarded the south as colonial
+country, and so as more or less uncivilized. They went into its
+provinces in order to get rich as quickly as possible, and they had no
+desire to live there for long: they had the same dislike of a provincial
+existence as had the families of the big landowners. Thus as a rule the
+bulk of the families remained in the capital, close to the court.
+Thither the products accumulated in the provinces were sent, and they
+found a ready sale, as the capital was also a great and long-established
+trading centre with a rich merchant class. Thus in the capital there was
+every conceivable luxury and every refinement of civilization. The
+people of the gentry class, who were maintained in the capital by
+relatives serving in the provinces as governors or senior officers,
+themselves held offices at court, though these gave them little to do.
+They had time at their disposal, and made use of it--in much worse
+intrigues than ever before, but also in music and poetry and in the
+social life of the harems. There is no question at all that the highest
+refinement of the civilization of the Far East between the fourth and
+the sixth century was to be found in South China, but the accompaniments
+of this over-refinement were terrible.
+
+We cannot enter into all the intrigues recorded at this time. The
+details are, indeed, historically unimportant. They were concerned only
+with the affairs of the court and its entourage. Not a single ruler of
+the Eastern Chin dynasty possessed personal or political qualities of
+any importance. The rulers' power was extremely limited because, with
+the exception of the founder of the state, Yuean Ti, who had come rather
+earlier, they belonged to the group of the new immigrants, and so had no
+firm footing and were therefore caught at once in the net of the newly
+re-grouping gentry class.
+
+The emperor Yuean Ti lived to see the first great rising. This rising
+(under Wang Tun) started in the region of the present Hankow, a region
+that today is one of the most important in China; it was already a
+centre of special activity. To it lead all the trade routes from the
+western provinces of Szechwan and Kweichow and from the central
+provinces of Hupei, Hunan, and Kiangsi. Normally the traffic from those
+provinces comes down the Yangtze, and thus in practice this region is
+united with that of the lower Yangtze, the environment of Nanking, so
+that Hankow might just as well have been the capital as Nanking. For
+this reason, in the period with which we are now concerned the region of
+the present Hankow was several times the place of origin of great
+risings whose aim was to gain control of the whole of the southern
+empire.
+
+Wang Tun had grown rich and powerful in this region; he also had near
+relatives at the imperial court; so he was able to march against the
+capital. The emperor in his weakness was ready to abdicate but died
+before that stage was reached. His son, however, defeated Wang Tun with
+the aid of General Yue Liang (A.D. 323). Yue Liang was the empress's
+brother; he, too, came from a northern family. Yuean Ti's successor also
+died early, and the young son of Yue Liang's sister came to the throne as
+Emperor Ch'eng (326-342); his mother ruled as regent, but Yue Liang
+carried on the actual business of government. Against this clique rose
+Su Chuen, another member of the northern gentry, who had made himself
+leader of a bandit gang in A.D. 300 but had then been given a military
+command by the dynasty. In 328 he captured the capital and kidnapped the
+emperor, but then fell before the counterthrust of the Yue Liang party.
+The domination of Yue Liang's clique continued after the death of the
+twenty-one-years-old emperor. His twenty-year-old brother was set in
+his place; he, too, died two years later, and his two-year-old son
+became emperor (Mu Ti, 345-361).
+
+Meanwhile this clique was reinforced by the very important Huan family.
+This family came from the same city as the imperial house and was a very
+old gentry family of that city. One of the family attained a high post
+through personal friendship with Yue Liang: on his death his son Huan Wen
+came into special prominence as military commander.
+
+Huan Wen, like Wang Tun and others before him, tried to secure a firm
+foundation for his power, once more in the west. In 347 he reconquered
+Szechwan and deposed the local dynasty. Following this, Huan Wen and the
+Yue family undertook several joint campaigns against northern states--the
+first reaction of the south against the north, which in the past had
+always been the aggressor. The first fighting took place directly to the
+north, where the collapse of the "Later Chao" seemed to make
+intervention easy. The main objective was the regaining of the regions
+of eastern Honan, northern Anhwei and Kiangsu, in which were the family
+seats of Huan's and the emperor's families, as well as that of the Hsieh
+family which also formed an important group in the court clique. The
+purpose of the northern campaigns was not, of course, merely to defend
+private interests of court cliques: the northern frontier was the weak
+spot of the southern empire, for its plains could easily be overrun. It
+was then observed that the new "Earlier Ch'in" state was trying to
+spread from the north-west eastwards into this plain, and Ch'in was
+attacked in an attempt to gain a more favourable frontier territory.
+These expeditions brought no important practical benefit to the south;
+and they were not embarked on with full force, because there was only
+the one court clique at the back of them, and that not whole-heartedly,
+since it was too much taken up with the politics of the court.
+
+Huan Wen's power steadily grew in the period that followed. He sent his
+brothers and relatives to administer the regions along the upper
+Yangtze; those fertile regions were the basis of his power. In 371 he
+deposed the reigning emperor and appointed in his place a frail old
+prince who died a year later, as required, and was replaced by a child.
+The time had now come when Huan Wen might have ascended the throne
+himself, but he died. None of his family could assemble as much power as
+Huan Wen had done. The equality of strength of the Huan and the Hsieh
+saved the dynasty for a time.
+
+In 383 came the great assault of the Tibetan Fu Chien against the
+south. As we know, the defence was carried out more by the methods of
+diplomacy and intrigue than by military means, and it led to the
+disaster in the north already described. The successes of the southern
+state especially strengthened the Hsieh family, whose generals had come
+to the fore. The emperor (Hsiao Wu Ti, 373-396), who had come to the
+throne as a child, played no part in events at any time during his
+reign. He occupied himself occasionally with Buddhism, and otherwise
+only with women and wine. He was followed by his five-year-old son. At
+this time there were some changes in the court clique. In the Huan
+family Huan Hsuean, a son of Huan Wen, came especially into prominence.
+He parted from the Hsieh family, which had been closest to the emperor,
+and united with the Wang (the empress's) and Yin families. The Wang, an
+old Shansi family, had already provided two empresses, and was therefore
+strongly represented at court. The Yin had worked at first with the
+Hsieh, especially as the two families came from the same region, but
+afterwards the Yin went over to Huan Hsuean. At first this new clique had
+success, but later one of its generals, Liu Lao-chih, went over to the
+Hsieh clique, and its power declined. Wang Kung was killed, and Yin
+Chung-k'an fell away from Huan Hsuean and was killed by him in 399. Huan
+Hsuean himself, however, held his own in the regions loyal to him. Liu
+Lao-chih had originally belonged to the Hsieh clique, and his family
+came from a region not far from that of the Hsieh. He was very
+ambitious, however, and always took the side which seemed most to his
+own interest. For a time he joined Huan Hsuean; then he went over to the
+Hsieh, and finally returned to Huan Hsuean in 402 when the latter reached
+the height of his power. At that moment Liu Lao-chih was responsible for
+the defence of the capital from Huan Hsuean, but instead he passed over
+to him. Thus Huan Hsuean conquered the capital, deposed the emperor, and
+began a dynasty of his own. Then came the reaction, led by an earlier
+subordinate of Liu Lao-chih, Liu Yue. It may be assumed that these two
+army commanders were in some way related, though the two branches of
+their family must have been long separated. Liu Yue had distinguished
+himself especially in the suppression of a great popular rising which,
+around the year 400, had brought wide stretches of Chinese territory
+under the rebels' power, beginning with the southern coast. This rising
+was the first in the south. It was led by members of a secret society
+which was a direct continuation of the "Yellow Turbans" of the latter
+part of the second century A.D. and of organized church-Taoism. The
+whole course of this rising of the exploited and ill-treated lower
+classes was very similar to that of the popular rising of the "Yellow
+Turbans". The movement spread as far as the neighbourhood of Canton,
+but in the end it was suppressed, mainly by Liu Yue.
+
+Through these achievements Liu Yue's military power and political
+influence steadily increased; he became the exponent of all the cliques
+working against the Huan clique. He arranged for his supporters to
+dispose of Huan Hsuean's chief collaborators; and then, in 404, he
+himself marched on the capital. Huan Hsuean had to flee, and in his
+flight he was killed in the upper Yangtze region. The emperor was
+restored to his throne, but he had as little to say as ever, for the
+real power was Liu Yue's.
+
+Before making himself emperor, Liu Yue began his great northern campaign,
+aimed at the conquest of the whole of western China. The Toba had
+promised to remain neutral, and in 415 he was able to conquer the "Later
+Ch'in" in Shensi. The first aim of this campaign was to make more
+accessible the trade routes to Central Asia, which up to now had led
+through the difficult mountain passes of Szechwan; to this end treaties
+of alliance had been concluded with the states in Kansu against the
+"Later Ch'in". In the second place, this war was intended to increase
+Liu Yue's military strength to such an extent that the imperial crown
+would be assured to him; and finally he hoped to cut the claws of
+pro-Huan Hsuean elements in the "Later Ch'in" kingdom who, for the sake
+of the link with Turkestan, had designs on Szechwan.
+
+
+3 _The Liu-Sung dynasty (A.D. 420-478) and the Southern Ch'i dynasty
+(479-501)_
+
+After his successes in 416-17 in Shensi, Liu Yue returned to the capital,
+and shortly after he lost the chief fruits of his victory to Ho-lien
+P'o-p'o, the Hun ruler in the north, while Liu Yue himself was occupied
+with the killing of the emperor (419) and the installation of a puppet.
+In 420 the puppet had to abdicate and Liu Yue became emperor. He called
+his dynasty the Sung dynasty, but to distinguish it from another and
+more famous Sung dynasty of later time his dynasty is also called the
+Liu-Sung dynasty.
+
+The struggles and intrigues of cliques against each other continued as
+before. We shall pass quickly over this period after a glance at the
+nature of these internal struggles.
+
+Part of the old imperial family and its following fled northwards from
+Liu Yue and surrendered to the Toba. There they agitated for a campaign
+of vengeance against South China, and they were supported at the court
+of the Toba by many families of the gentry with landed interests in the
+south. Thus long-continued fighting started between Sung and Toba,
+concerned mainly with the domains of the deposed imperial family and
+its following. This fighting brought little success to south China, and
+about 450 it produced among the Toba an economic and social crisis that
+brought the wars to a temporary close. In this pause the Sung turned to
+the extreme south, and tried to gain influence there and in Annam. The
+merchant class and the gentry families of the capital who were allied
+with it were those chiefly interested in this expansion.
+
+About 450 began the Toba policy of shifting the central government to
+the region of the Yellow River, to Loyang; for this purpose the frontier
+had to be pushed farther south. Their great campaign brought the Toba in
+450 down to the Yangtze. The Sung suffered a heavy defeat; they had to
+pay tribute, and the Toba annexed parts of their northern territory.
+
+The Sung emperors who followed were as impotent as their predecessors
+and personally much more repulsive. Nothing happened at court but
+drinking, licentiousness, and continual murders.
+
+From 460 onward there were a number of important risings of princes; in
+some of them the Toba had a hand. They hoped by supporting one or
+another of the pretenders to gain overlordship over the whole of the
+southern empire. In these struggles in the south the Hsiao family,
+thanks mainly to General Hsiao Tao-ch'eng, steadily gained in power,
+especially as the family was united by marriage with the imperial house.
+In 477 Hsiao Tao-ch'eng finally had the emperor killed by an accomplice,
+the son of a shamaness; he set a boy on the throne and made himself
+regent. Very soon after this the boy emperor and all the members of the
+imperial family were murdered, and Hsiao Tao-ch'eng created the
+"Southern Ch'i" dynasty (479-501). Once more the remaining followers of
+the deposed dynasty fled northward to the Toba, and at once fighting
+between Toba and the south began again.
+
+This fighting ended with a victory for the Toba and with the final
+establishment of the Toba in the new capital of Loyang. South China was
+heavily defeated again and again, but never finally conquered. There
+were intervals of peace. In the years between 480 and 490 there was less
+disorder in the south, at all events in internal affairs. Princes were
+more often appointed to governorships, and the influence of the cliques
+was thus weakened. In spite of this, a stable regime was not built up,
+and in 494 a prince rose against the youthful emperor. This prince, with
+the help of his clique including the Ch'en family, which later attained
+importance, won the day, murdered the emperor, and became emperor
+himself. All that is recorded about him is that he fought unsuccessfully
+against the Toba, and that he had the whole of his own family killed
+out of fear that one of its members might act exactly as he had done.
+After his death there were conflicts between the emperor's few remaining
+relatives; in these the Toba again had a hand. The victor was a person
+named Hsiao Yen; he removed the reigning emperor in the usual way and
+made himself emperor. Although he belonged to the imperial family, he
+altered the name of the dynasty, and reigned from 502 as the first
+emperor of the "Liang dynasty".
+
+[Illustration: 8 Detail from the Buddhist cave-reliefs of Lungmen. _From
+a print in the author's possession_.]
+
+[Illustration: 9 Statue of Mi-lo (Maitreya, the next future Buddha), in
+the 'Great Buddha Temple' at Chengting (Hopei). _Photo H.
+Hammer-Morrisson_.]
+
+
+4 _The Liang dynasty_ (A.D. 502-556)
+
+The fighting with the Toba continued until 515. As a rule the Toba were
+the more successful, not at least through the aid of princes of the
+deposed "Southern Ch'i dynasty" and their followers. Wars began also in
+the west, where the Toba tried to cut off the access of the Liang to the
+caravan routes to Turkestan. In 507, however, the Toba suffered an
+important defeat. The southern states had tried at all times to work
+with the Kansu states against the northern states; the Toba now followed
+suit and allied themselves with a large group of native chieftains of
+the south, whom they incited to move against the Liang. This produced
+great native unrest, especially in the provinces by the upper Yangtze.
+The natives, who were steadily pushed back by the Chinese peasants, were
+reduced to migrating into the mountain country or to working for the
+Chinese in semi-servile conditions; and they were ready for revolt and
+very glad to work with the Toba. The result of this unrest was not
+decisive, but it greatly reduced the strength of the regions along the
+upper Yangtze. Thus the main strength of the southern state was more
+than ever confined to the Nanking region.
+
+The first emperor of the Liang dynasty, who assumed the name Wu Ti
+(502-549), became well known in the Western world owing to his love of
+literature and of Buddhism. After he had come to the throne with the aid
+of his followers, he took no further interest in politics; he left that
+to his court clique. From now on, however, the political initiative
+really belonged to the north. At this time there began in the Toba
+empire the risings of tribal leaders against the government which we
+have fully described above. One of these leaders, Hou Ching, who had
+become powerful as a military leader in the north, tried in 547 to
+conclude a private alliance with the Liang to strengthen his own
+position. At the same time the ruler of the northern state of the
+"Northern Ch'i", then in process of formation, himself wanted to
+negotiate an alliance with the Liang, in order to be able to get rid of
+Hou Ching. There was indecision in Liang. Hou Ching, who had been
+getting into difficulties, now negotiated with a dissatisfied prince in
+Liang, invaded the country in 548 with the prince's aid, captured the
+capital in 549, and killed Emperor Wu. Hou Ching now staged the usual
+spectacle: he put a puppet on the imperial throne, deposed him eighteen
+months later and made himself emperor.
+
+This man of the Toba on the throne of South China was unable, however,
+to maintain his position; he had not sufficient backing. He was at war
+with the new rulers in the northern empire, and his own army, which was
+not very large, melted away; above all, he proceeded with excessive
+harshness against the helpers who had gained access for him to the
+Liang, and thereafter he failed to secure a following from among the
+leading cliques at court. In 552 he was driven out by a Chinese army led
+by one of the princes and was killed.
+
+The new emperor had been a prince in the upper Yangtze region, and his
+closest associates were engaged there. They did not want to move to the
+distant capital, Nanking, because their private financial interests
+would have suffered. The emperor therefore remained in the city now
+called Hankow. He left the eastern territory in the hands of two
+powerful generals, one of whom belonged to the Ch'en family, which he no
+longer had the strength to remove. In this situation the generals in the
+east made themselves independent, and this naturally produced tension at
+once between the east and the west of the Liang empire; this tension was
+now exploited by the leaders of the Chou state then in the making in the
+north. On the invitation of a clique in the south and with its support,
+the Chou invaded the present province of Hupei and in 555 captured the
+Liang emperor's capital. They were now able to achieve their old
+ambition: a prince of the Chou dynasty was installed as a feudatory of
+the north, reigning until 587 in the present Hankow. He was permitted to
+call his quasi-feudal territory a kingdom and his dynasty, as we know
+already, the "Later Liang dynasty".
+
+
+5 _The Ch'en dynasty_ (A.D. 557-588) _and its ending by the Sui_
+
+The more important of the independent generals in the east, Ch'en
+Pa-hsien, installed a shadow emperor, forced him to abdicate, and made
+himself emperor. The Ch'en dynasty which thus began was even feebler
+than the preceding dynasties. Its territory was confined to the lower
+Yangtze valley. Once more cliques and rival pretenders were at work and
+prevented any sort of constructive home policy. Abroad, certain
+advantages were gained in north China over the Northern Ch'i dynasty,
+but none of any great importance.
+
+Meanwhile in the north Yang Chien had brought into power the Chinese Sui
+dynasty. It began by liquidating the quasi-feudal state of the "Later
+Liang". Then followed, in 588-9, the conquest of the Ch'en empire,
+almost without any serious resistance. This brought all China once more
+under united rule, and a period of 360 years of division was ended.
+
+
+6 _Cultural achievements of the south_
+
+For nearly three hundred years the southern empire had witnessed
+unceasing struggles between important cliques, making impossible any
+peaceful development within the country. Culturally, however, the period
+was rich in achievement. The court and the palaces of wealthy members of
+the gentry attracted scholars and poets, and the gentry themselves had
+time for artistic occupations. A large number of the best-known Chinese
+poets appeared in this period, and their works plainly reflect the
+conditions of that time: they are poems for the small circle of scholars
+among the gentry and for cultured patrons, spiced with quotations and
+allusions, elaborate in metre and construction, masterpieces of
+aesthetic sensitivity--but unintelligible except to highly educated
+members of the aristocracy. The works were of the most artificial type,
+far removed from all natural feeling.
+
+Music, too, was never so assiduously cultivated as at this time. But the
+old Chinese music disappeared in the south as in the north, where
+dancing troupes and women musicians in the Sogdian commercial colonies
+of the province of Kansu established the music of western Turkestan.
+Here in the south, native courtesans brought the aboriginal, non-Chinese
+music to the court; Chinese poets wrote songs in Chinese for this music,
+and so the old Chinese music became unfashionable and was forgotten. The
+upper class, the gentry, bought these girls, often in large numbers, and
+organized them in troupes of singers and dancers, who had to appear on
+festal occasions and even at the court. For merchants and other people
+who lacked full social recognition there were brothels, a quite natural
+feature wherever there were considerable commercial colonies or
+collections of merchants, including the capital of the southern empire.
+
+In their ideology, as will be remembered, the Chinese gentry were always
+in favour of Confucianism. Here in the south, however, the association
+with Confucianism was less serious, the southern gentry, with their
+relations with the merchant class, having acquired the character of
+"colonial" gentry. They were brought up as Confucians, but were
+interested in all sorts of different religious movements, and
+especially in Buddhism. A different type of Buddhism from that in the
+north had spread over most of the south, a meditative Buddhism that was
+very close ideologically to the original Taoism, and so fulfilled the
+same social functions as Taoism. Those who found the official life with
+its intrigues repulsive, occupied themselves with meditative Buddhism.
+The monks told of the sad fate of the wicked in the life to come, and
+industriously filled the gentry with apprehension, so that they tried to
+make up for their evil deeds by rich gifts to the monasteries. Many
+emperors in this period, especially Wu Ti of the Liang dynasty, inclined
+to Buddhism. Wu Ti turned to it especially in his old age, when he was
+shut out entirely from the tasks of a ruler and was no longer satisfied
+with the usual pleasures of the court. Several times he instituted
+Buddhist ceremonies of purification on a large scale in the hope of so
+securing forgiveness for the many murders he had committed.
+
+Genuine Taoism also came to the fore again, and with it the popular
+religion with its magic, now amplified with the many local deities that
+had been taken over from the indigenous population of the south. For a
+time it became the fashion at court to pass the time in learned
+discussions between Confucians, Buddhists, and Taoists, which were quite
+similar to the debates between learned men centuries earlier at the
+wealthy little Indian courts. For the court clique this was more a
+matter of pastime than of religious controversy. It seems thoroughly in
+harmony with the political events that here, for the first time in the
+history of Chinese philosophy, materialist currents made their
+appearance, running parallel with Machiavellian theories of power for
+the benefit of the wealthiest of the gentry.
+
+  Principal dynasties of North and South China
+
+  _North and South_
+
+  Western Chin dynasty (A.D. 265-317)
+
+  _North                                          South_
+
+   1. Earlier Chao (Hsiung-nu)   304-329  1. Eastern Chin (Chinese) 317-419
+   2. Later Chao (Hsiung-nu)     328-352
+   3. Earlier Ch'in (Tibetans)   351-394
+   4. Later Ch'in (Tibetans)     384-417
+   5. Western Ch'in (Hsiung-nu)  385-431
+   6. Earlier Yen (Hsien-pi)     352-370
+   7. Later Yen (Hsien-pi)       384-409
+   8. Western Yen (Hsien-pi)     384-395
+   9. Southern Yen (Hsien-pi)    398-410
+  10. Northern Yen (Hsien-pi)    409-436
+  11. Tai (Toba)                 338-376
+  12. Earlier Liang (Chinese)    313-376
+  13. Northern Liang (Hsiung-nu) 397-439
+  14. Western Liang (Chinese?)   400-421
+  15. Later Liang (Tibetans)     386-403
+  16. Southern Liang (Hsien-pi)  379-414
+  17. Hsia (Hsiung-nu)           407-431
+  18. Toba (Turks)               385-550
+                                          2. Liu-Sung               420-478
+                                          3. Southern Ch'i          479-501
+  19. Northern Ch'i (Chinese?)   550-576  4. Liang                  502-556
+  20. Northern Chou (Toba)       557-579  5. Ch'en                  557-588
+  21. Sui (Chinese)              580-618  6. Sui                    580-618
+
+
+
+
+Chapter Eight
+
+THE EMPIRES OF THE SUI AND THE T'ANG
+
+
+
+(A) The Sui dynasty (A.D. 580-618)
+
+
+1 _Internal situation in the newly unified empire_
+
+The last of the northern dynasties, the Northern Chou, had been brought
+to an end by Yang Chien: rapid campaigns had made an end of the
+remaining petty states, and thus the Sui dynasty had come into power.
+China, reunited after 360 years, was again under Chinese rule. This
+event brought about a new epoch in the history of the Far East. But the
+happenings of 360 years could not be wiped out by a change of dynasty.
+The short Sui period can only be described as a period of transition to
+unified forms.
+
+In the last resort the union of the various parts of China proceeded
+from the north. The north had always, beyond question, been militarily
+superior, because its ruling class had consisted of warlike peoples. Yet
+it was not a northerner who had united China but a Chinese though, owing
+to mixed marriages, he was certainly not entirely unrelated to the
+northern peoples. The rule, however, of the actual northern peoples was
+at an end. The start of the Sui dynasty, while the Chou still held the
+north, was evidence, just like the emergence in the north-east some
+thirty years earlier of the Northern Ch'i dynasty, that the Chinese
+gentry with their landowning basis had gained the upper hand over the
+warrior nomads.
+
+The Chinese gentry had not come unchanged out of that struggle.
+Culturally they had taken over many things from the foreigners,
+beginning with music and the style of their clothing, in which they had
+entirely adopted the northern pattern, and including other elements of
+daily life. Among the gentry were now many formerly alien families who
+had gradually become entirely Chinese. On the other hand, the
+foreigners' feudal outlook had influenced the gentry, so that a sense
+of distinctions of rank had developed among them. There were Chinese
+families who regarded themselves as superior to the rest, just as had
+been the case among the northern peoples, and who married only among
+themselves or with the ruling house and not with ordinary families of
+the gentry. They paid great attention to their genealogies, had the
+state keep records of them and insisted that the dynastic histories
+mentioned their families and their main family members. Lists of
+prominent gentry families were set up which mentioned the home of each
+clan, so that pretenders could easily be detected. The rules of giving
+personal names were changed so that it became possible to identify a
+person's genealogical position within the family. At the same time the
+contempt of the military underwent modification; the gentry were even
+ready to take over high military posts, and also to profit by them.
+
+The new Sui empire found itself faced with many difficulties. During the
+three and a half centuries of division, north and south had developed in
+different ways. They no longer spoke the same language in everyday life
+(we distinguish to this day between a Nanking and Peking "High Chinese",
+to say nothing of dialects). The social and economic structures were
+very different in the two parts of the country. How could unity be
+restored in these things?
+
+Then there was the problem of population. The north-eastern plain had
+always been thickly populated; it had early come under Toba rule and had
+been able to develop further. The region round the old northern capital
+Ch'ang-an, on the other hand, had suffered greatly from the struggles
+before the Toba period and had never entirely recovered. Meanwhile, in
+the south the population had greatly increased in the region north of
+Nanking, while the regions south of the Yangtze and the upper Yangtze
+valley were more thinly peopled. The real South, i.e. the modern
+provinces of Fukien, Kwangtung and Kwangsi, was still underdeveloped,
+mainly because of the malaria there. In the matter of population the
+north unquestionably remained prominent.
+
+The founder of the Sui dynasty, known by his reign name of Wen Ti
+(589-604), came from the west, close to Ch'ang-an. There he and his
+following had their extensive domains. Owing to the scanty population
+there and the resulting shortage of agricultural labourers, these
+properties were very much less productive than the small properties in
+the north-east. This state of things was well known in the south, and it
+was expected, with good reason, that the government would try to
+transfer parts of the population to the north-west, in order to settle a
+peasantry round the capital for the support of its greatly increasing
+staff of officials, and to satisfy the gentry of the region. This
+produced several revolts in the south.
+
+As an old soldier who had long been a subject of the Toba, Wen Ti had no
+great understanding of theory: he was a practical man. He was
+anti-intellectual and emotionally attached to Buddhism; he opposed
+Confucianism for emotional reasons and believed that it could give him
+no serviceable officials of the sort he wanted. He demanded from his
+officials the same obedience and sense of duty as from his soldiers; and
+he was above all thrifty, almost miserly, because he realized that the
+finances of his state could only be brought into order by the greatest
+exertions. The budget had to be drawn up for the vast territory of the
+empire without any possibility of saying in advance whether the revenues
+would come in and whether the transport of dues to the capital would
+function.
+
+This cautious calculation was entirely justified, but it aroused great
+opposition. Both east and south were used to a much better style of
+living; yet the gentry of both regions were now required to cut down
+their consumption. On top of this they were excluded from the conduct of
+political affairs. In the past, under the Northern Ch'i empire in the
+north-east and under the Ch'en empire in the south, there had been
+thousands of positions at court in which the whole of the gentry could
+find accommodation of some kind. Now the central government was far in
+the west, and other people were its administrators. In the past the
+gentry had had a profitable and easily accessible market for their
+produce in the neighbouring capital; now the capital was far away,
+entailing long-distance transport at heavy risk with little profit.
+
+The dissatisfied circles of the gentry in the north-east and in the
+south incited Prince Kuang to rebellion. The prince and his followers
+murdered the emperor and set aside the heir-apparent; and Kuang came to
+the throne, assuming the name of Yang Ti. His first act was to transfer
+the capital back to the east, to Loyang, close to the grain-producing
+regions. His second achievement was to order the construction of great
+canals, to facilitate the transport of grain to the capital and to
+provide a valuable new market for the producers in the north-east and
+the south. It was at this time that the first forerunner of the famous
+"Imperial Canal" was constructed, the canal that connects the Yangtze
+with the Yellow River. Small canals, connecting various streams, had
+long been in existence, so that it was possible to travel from north to
+south by water, but these canals were not deep enough or broad enough to
+take large freight barges. There are records of lighters of 500 and even
+800 tons capacity! These are dimensions unheard of in the West in those
+times. In addition to a serviceable canal to the south, Yang Ti made
+another that went north almost to the present Peking.
+
+Hand in hand with these successes of the north-eastern and southern
+gentry went strong support for Confucianism, and a reorganization of the
+Confucian examination system. As a rule, however, the examinations were
+circumvented as an unimportant formality; the various governors were
+ordered each to send annually to the capital three men with the required
+education, for whose quality they were held personally responsible;
+merchants and artisans were expressly excluded.
+
+
+2 _Relations with Turks and with Korea_
+
+In foreign affairs an extraordinarily fortunate situation for the Sui
+dynasty had come into existence. The T'u-chueeh, the Turks, much the
+strongest people of the north, had given support now to one and now to
+another of the northern kingdoms, and this, together with their many
+armed incursions, had made them the dominant political factor in the
+north. But in the first year of the Sui period (581) they split into two
+sections, so that the Sui had hopes of gaining influence over them. At
+first both sections of the Turks had entered into alliance with China,
+but this was not a sufficient safeguard for the Sui, for one of the
+Turkish khans was surrounded by Toba who had fled from the vanished
+state of the Northern Chou, and who now tried to induce the Turks to
+undertake a campaign for the reconquest of North China. The leader of
+this agitation was a princess of the Yue-wen family, the ruling family of
+the Northern Chou. The Chinese fought the Turks several times; but much
+more effective results were gained by their diplomatic missions, which
+incited the eastern against the western Turks and vice versa, and also
+incited the Turks against the Toba clique. In the end one of the
+sections of Turks accepted Chinese overlordship, and some tribes of the
+other section were brought over to the Chinese side; also, fresh
+disunion was sown among the Turks.
+
+Under the emperor Yang Ti, P'ei Chue carried this policy further. He
+induced the Toeloes tribes to attack the T'u-yue-hun, and then himself
+attacked the latter, so destroying their power. The T'u-yue-hun were a
+people living in the extreme north of Tibet, under a ruling class
+apparently of Hsien-pi origin; the people were largely Tibetan. The
+purpose of the conquest of the T'u-yue-hun was to safeguard access to
+Central Asia. An effective Turkestan policy was, however, impossible so
+long as the Turks were still a formidable power. Accordingly, the
+intrigues that aimed at keeping the two sections of Turks apart were
+continued. In 615 came a decisive counter-attack from the Turks. Their
+khan, Shih-pi, made a surprise assault on the emperor himself, with all
+his following, in the Ordos region, and succeeded in surrounding them.
+They were in just the same desperate situation as when, eight centuries
+earlier, the Chinese emperor had been beleaguered by Mao Tun. But the
+Chinese again saved themselves by a trick. The young Chinese commander,
+Li Shih-min, succeeded in giving the Turks the impression that large
+reinforcements were on the way; a Chinese princess who was with the
+Turks spread the rumour that the Turks were to be attacked by another
+tribe--and Shih-pi raised the siege, although the Chinese had been
+entirely defeated.
+
+In the Sui period the Chinese were faced with a further problem. Korea
+or, rather, the most important of the three states in Korea, had
+generally been on friendly terms with the southern state during the
+period of China's division, and for this reason had been more or less
+protected from its North Chinese neighbours. After the unification of
+China, Korea had reason for seeking an alliance with the Turks, in order
+to secure a new counterweight against China.
+
+A Turco-Korean alliance would have meant for China a sort of
+encirclement that might have grave consequences. The alliance might be
+extended to Japan, who had certain interests in Korea. Accordingly the
+Chinese determined to attack Korea, though at the same time negotiations
+were set on foot. The fighting, which lasted throughout the Sui period,
+involved technical difficulties, as it called for combined land and sea
+attacks; in general it brought little success.
+
+
+3 _Reasons for collapse_
+
+The continual warfare entailed great expense, and so did the intrigues,
+because they depended for their success on bribery. Still more expensive
+were the great canal works. In addition to this, the emperor Yang Ti,
+unlike his father, was very extravagant. He built enormous palaces and
+undertook long journeys throughout the empire with an immense following.
+All this wrecked the prosperity which his father had built up and had
+tried to safeguard. The only productive expenditure was that on the
+canals, and they could not begin to pay in so short a period. The
+emperor's continual journeys were due, no doubt, in part simply to the
+pursuit of pleasure, though they were probably intended at the same time
+to hinder risings and to give the emperor direct control over every part
+of the country. But the empire was too large and too complex for its
+administration to be possible in the midst of journeying. The whole of
+the chancellery had to accompany the emperor, and all the transport
+necessary for the feeding of the emperor and his government had
+continually to be diverted to wherever he happened to be staying. All
+this produced disorder and unrest. The gentry, who at first had so
+strongly supported the emperor and had been able to obtain anything they
+wanted from him, now began to desert him and set up pretenders. From 615
+onward, after the defeat at the hands of the Turks, risings broke out
+everywhere. The emperor had to establish his government in the south,
+where he felt safer. There, however, in 618, he was assassinated by
+conspirators led by Toba of the Yue-wen family. Everywhere now
+independent governments sprang up, and for five years China was split up
+into countless petty states.
+
+[Illustration: Map 5: The T'ang realm _(about A.D. 750)_]
+
+
+
+(B) The T'ang dynasty (A.D. 618-906)
+
+
+1 _Reforms and decentralization_
+
+The hero of the Turkish siege, Li Shih-min, had allied himself with the
+Turks in 615-16. There were special reasons for his ability to do this.
+In his family it had been a regular custom to marry women belonging to
+Toba families, so that he naturally enjoyed the confidence of the Toba
+party among the Turks. There are various theories as to the origin of
+his family, the Li. The family itself claimed to be descended from the
+ruling family of the Western Liang. It is doubtful whether that family
+was purely Chinese, and in any case Li Shih-min's descent from it is a
+matter of doubt. It is possible that his family was a sinified Toba
+family, or at least came from a Toba region. However this may be, Li
+Shih-min continued the policy which had been pursued since the beginning
+of the Sui dynasty by the members of the deposed Toba ruling family of
+the Northern Chou--the policy of collaboration with the Turks in the
+effort to remove the Sui.
+
+The nominal leadership in the rising that now began lay in the hands of
+Li Shih-min's father, Li Yuean; in practice Li Shih-min saw to
+everything. At the end of 617 he was outside the first capital of the
+Sui, Ch'ang-an, with a Turkish army that had come to his aid on the
+strength of the treaty of alliance. After capturing Ch'ang-an he
+installed a puppet emperor there, a grandson of Yang Ti. In 618 the
+puppet was dethroned and Li Yuean, the father, was made emperor, in the
+T'ang dynasty. Internal fighting went on until 623, and only then was
+the whole empire brought under the rule of the T'ang.
+
+Great reforms then began. A new land law aimed at equalizing ownership,
+so that as far as possible all peasants should own the same amount of
+land and the formation of large estates be prevented. The law aimed also
+at protecting the peasants from the loss of their land. The law was,
+however, nothing but a modification of the Toba land law (_chuen-t'ien_),
+and it was hoped that now it would provide a sound and solid economic
+foundation for the empire. From the first, however, members of the
+gentry who were connected with the imperial house were given a
+privileged position; then officials were excluded from the prohibition
+of leasing, so that there continued to be tenant farmers in addition to
+the independent peasants. Moreover, the temples enjoyed special
+treatment, and were also exempted from taxation. All these exceptions
+brought grist to the mills of the gentry, and so did the failure to
+carry into effect many of the provisions of the law. Before long a new
+gentry had been formed, consisting of the old gentry together with those
+who had directly aided the emperor's ascent to the throne. From the
+beginning of the eighth century there were repeated complaints that
+peasants were "disappearing". They were entering the service of the
+gentry as tenant farmers or farm workers, and owing to the privileged
+position of the gentry in regard to taxation, the revenue sank in
+proportion as the number of independent peasants decreased. One of the
+reasons for the flight of farmers may have been the corvee laws
+connected with the "equal land" system: small families were much less
+affected by the corvee obligation than larger families with many sons.
+It may be, therefore, that large families or at least sons of the sons
+in large families moved away in order to escape these obligations. In
+order to prevent irregularities, the T'ang renewed the old "_pao-chia_"
+system, as a part of a general reform of the administration in 624. In
+this system groups of five families were collectively responsible for
+the payment of taxes, the corvee, for crimes committed by individuals
+within one group, and for loans from state agencies. Such a system is
+attested for pre-Christian times already; it was re-activated in the
+eleventh century and again from time to time, down to the present.
+
+Yet the system of land equalization soon broke down and was abolished
+officially around A.D. 780. But the classification of citizens into
+different classes, first legalized under the Toba, was retained and even
+more refined.
+
+As early as in the Han period there had been a dual administration--the
+civil and, independent of it, the military administration. One and the
+same area would belong to a particular administrative prefecture
+(_chuen_) and at the same time to a particular military prefecture
+(_chou_). This dual organization had persisted during the Toba period
+and, at first, remained unchanged in the beginning of the T'ang.
+
+The backbone of the military power in the seventh century was the
+militia, some six hundred units of an average of a thousand men,
+recruited from the general farming population for short-term service:
+one month in five in the areas close to the capital. These men formed a
+part of the emperor's guards and were under the command of members of
+the Shensi gentry. This system which had its direct parallels in the Han
+time and evolved out of a Toba system, broke down when short offensive
+wars were no longer fought. Other imperial guards were staffed with
+young sons of the gentry who were stationed in the most delicate parts
+of the palaces. The emperor T'ai-tsung had his personal bodyguard, a
+part of his own army of conquest, consisting of his former bondsmen
+(_pu-ch'ue_). The ranks of the Army of conquest were later filled by
+descendants of the original soldiers and by orphans.
+
+In the provinces, the armies of the military prefectures gradually lost
+their importance when wars became longer and militiamen proved
+insufficient. Many of the soldiers here were convicts and exiles. It is
+interesting to note that the title of the commander of these armies,
+_tu-tu_, in the fourth century meant a commander in the church-Taoist
+organization; it was used by the Toba and from the seventh century on
+became widely accepted as title among the Uigurs, Tibetans, Sogdians,
+Turks and Khotanese.
+
+When the prefectural armies and the militia forces weakened, special
+regional armies were created (from 678 on); this institution had existed
+among the Toba, but they had greatly reduced these armies after 500. The
+commanders of these new T'ang armies soon became more important than the
+civil administrators, because they commanded a number of districts
+making up a whole province. This assured a better functioning of the
+military machine, but put the governors-general in a position to pursue
+a policy of their own, even against the central government. In addition
+to this, the financial administration of their commands was put under
+them, whereas in the past it had been in the hands of the civil
+administration of the various provinces. The civil administration was
+also reorganized (see the table on pages 83-84).
+
+Towards the end of the T'ang period the state secretariat was set up in
+two parts: it was in possession of all information about the economic
+and political affairs of the empire, and it made the actual decisions.
+Moreover, a number of technical departments had been created--in all, a
+system that might compare favourably with European systems of the
+eighteenth century. At the end of the T'ang period there was added to
+this system a section for economic affairs, working quite independently
+of it and directly under the emperor; it was staffed entirely with
+economic or financial experts, while for the staffing of the other
+departments no special qualification was demanded besides the passing of
+the state examinations. In addition to these, at the end of the T'ang
+period a new department was in preparation, a sort of Privy Council, a
+mainly military organization, probably intended to control the generals
+(section 3 of the table on page 83), just as the state secretariat
+controlled the civil officials. The Privy Council became more and more
+important in the tenth century and especially in the Mongol epoch. Its
+absence in the early T'ang period gave the military governors much too
+great freedom, ultimately with baneful results.
+
+At first, however, the reforms of A.D. 624 worked well. The
+administration showed energy, and taxes flowed in. In the middle of the
+eighth century the annual budget of the state included the following
+items: over a million tons of grain for the consumption of the capital
+and the palace and for salaries of civil and military officials;
+twenty-seven million pieces of textiles, also for the consumption of
+capital and palace and army, and for supplementary purchases of grain;
+two million strings of money (a string nominally held a thousand copper
+coins) for salaries and for the army. This was much more than the state
+budget of the Han period. The population of the empire had also
+increased; it seems to have amounted to some fifty millions. In the
+capital a large staff of officials had been created to meet all
+administrative needs. The capital grew enormously, at times containing
+two million people. Great numbers of young members of the gentry
+streamed into the capital for the examinations held under the Confucian
+system.
+
+The crowding of people into the capital and the accumulation of
+resources there promoted a rich cultural life. We know of many poets of
+that period whose poems were real masterpieces; and artists whose works
+were admired centuries later. These poets and artists were the pioneers
+of the flourishing culture of the later T'ang period. Hand in hand with
+this went luxury and refinement of manners. For those who retired from
+the bustle of the capital to work on their estates and to enjoy the
+society of their friends, there was time to occupy themselves with
+Taoism and Buddhism, especially meditative Buddhism. Everyone, of
+course, was Confucian, as was fitting for a member of the gentry, but
+Confucianism was so taken for granted that it was not discussed. It was
+the basis of morality for the gentry, but held no problems. It no longer
+contained anything of interest.
+
+Conditions had been much the same once before, at the court of the Han
+emperors, but with one great difference: at that time everything of
+importance took place in the capital; now, in addition to the actual
+capital, Ch'ang-an, there was the second capital, Loyang, in no way
+inferior to the other in importance; and the great towns in the south
+also played their part as commercial and cultural centres that had
+developed in the 360 years of division between north and south. There
+the local gentry gathered to lead a cultivated life, though not quite in
+the grand style of the capital. If an official was transferred to the
+Yangtze, it no longer amounted to a punishment as in the past; he would
+not meet only uneducated people, but a society resembling that of the
+capital. The institution of governors-general further promoted this
+decentralization: the governor-general surrounded himself with a little
+court of his own, drawn from the local gentry and the local
+intelligentsia. This placed the whole edifice of the empire on a much
+broader foundation, with lasting results.
+
+
+2 _Turkish policy_
+
+The foreign policy of this first period of the T'ang, lasting until
+about 690, was mainly concerned with the Turks and Turkestan. There were
+still two Turkish realms in the Far East, both of considerable strength
+but in keen rivalry with each other. The T'ang had come into power with
+the aid of the eastern Turks, but they admitted the leader of the
+western Turks to their court; he had been at Ch'ang-an in the time of
+the Sui. He was murdered, however, by Chinese at the instigation of the
+eastern Turks. The next khan of the eastern Turks nevertheless turned
+against the T'ang, and gave his support to a still surviving pretender
+to the throne representing the Sui dynasty; the khan contended that the
+old alliance of the eastern Turks had been with the Sui and not with the
+T'ang. The T'ang therefore tried to come to terms once more with the
+western Turks, who had been affronted by the assassination; but the
+negotiations came to nothing in face of an approach made by the eastern
+Turks to the western, and of the distrust of the Chinese with which all
+the Turks were filled. About 624 there were strong Turkish invasions,
+carried right up to the capital. Suddenly, however, for reasons not
+disclosed by the Chinese sources, the Turks withdrew, and the T'ang were
+able to conclude a fairly honourable peace. This was the time of the
+maximum power of the eastern Turks. Shortly afterwards disturbances
+broke out (627), under the leadership of Turkish Uighurs and their
+allies. The Chinese took advantage of these disturbances, and in a great
+campaign in 629-30 succeeded in overthrowing the eastern Turks; the khan
+was taken to the imperial court in Ch'ang-an, and the Chinese emperor
+made himself "Heavenly Khan" of the Turks. In spite of the protest of
+many of the ministers, who pointed to the result of the settlement
+policy of the Later Han dynasty, the eastern Turks were settled in the
+bend of the upper Hwang-ho and placed more or less under the
+protectorate of two governors-general. Their leaders were admitted into
+the Chinese army, and the sons of their nobles lived at the imperial
+court. No doubt it was hoped in this way to turn the Turks into Chinese,
+as had been done with the Toba, though for entirely different reasons.
+More than a million Turks were settled in this way, and some of them
+actually became Chinese later and gained important posts.
+
+In general, however, this in no way broke the power of the Turks. The
+great Turkish empire, which extended as far as Byzantium, continued to
+exist. The Chinese success had done no more than safeguard the frontier
+from a direct menace and frustrate the efforts of the supporters of the
+Sui dynasty and the Toba dynasty, who had been living among the eastern
+Turks and had built on them. The power of the western Turks remained a
+lasting menace to China, especially if they should succeed in
+co-operating with the Tibetans. After the annihilation of the T'u-yue-hun
+by the Sui at the very beginning of the seventh century, a new political
+unit had formed in northern Tibet, the T'u-fan, who also seem to have
+had an upper class of Turks and Mongols and a Tibetan lower class. Just
+as in the Han period, Chinese policy was bound to be directed to
+preventing a union between Turks and Tibetans. This, together with
+commercial interests, seems to have been the political motive of the
+Chinese Turkestan policy under the T'ang.
+
+
+3 _Conquest of Turkestan and Korea. Summit of power_
+
+The Turkestan wars began in 639 with an attack on the city-state of
+Kao-ch'ang (Khocho). This state had been on more or less friendly terms
+with North China since the Toba period, and it had succeeded again and
+again in preserving a certain independence from the Turks. Now, however,
+Kao-ch'ang had to submit to the western Turks, whose power was
+constantly increasing. China made that submission a pretext for war. By
+640 the whole basin of Turkestan was brought under Chinese dominance.
+The whole campaign was really directed against the western Turks, to
+whom Turkestan had become subject. The western Turks had been crippled
+by two internal events, to the advantage of the Chinese: there had been
+a tribal rising, and then came the rebellion and the rise of the Uighurs
+(640-650). These events belong to Turkish history, and we shall confine
+ourselves here to their effects on Chinese history. The Chinese were
+able to rely on the Uighurs; above all, they were furnished by the Toeloes
+Turks with a large army, with which they turned once more against
+Turkestan in 647-48, and now definitely established their rule there.
+
+The active spirit at the beginning of the T'ang rule had not been the
+emperor but his son Li Shih-min, who was not, however, named as heir to
+the throne because he was not the eldest son. The result of this was
+tension between Li Shih-min and his father and brothers, especially the
+heir to the throne. When the brothers learned that Li Shih-min was
+claiming the succession, they conspired against him, and in 626, at the
+very moment when the western Turks had made a rapid incursion and were
+once more threatening the Chinese capital, there came an armed collision
+between the brothers, in which Li Shih-min was the victor. The brothers
+and their families were exterminated, the father compelled to abdicate,
+and Li Shih-min became emperor, assuming the name T'ai Tsung (627-649).
+His reign marked the zenith of the power of China and of the T'ang
+dynasty. Their inner struggles and the Chinese penetration of Turkestan
+had weakened the position of the Turks; the reorganization of the
+administration and of the system of taxation, the improved transport
+resulting from the canals constructed under the Sui, and the useful
+results of the creation of great administrative areas under strong
+military control, had brought China inner stability and in consequence
+external power and prestige. The reputation which she then obtained as
+the most powerful state of the Far East endured when her inner stability
+had begun to deteriorate. Thus in 638 the Sassanid ruler Jedzgerd sent a
+mission to China asking for her help against the Arabs. Three further
+missions came at intervals of a good many years. The Chinese declined,
+however, to send a military expedition to such a distance; they merely
+conferred on the ruler the title of a Chinese governor; this was of
+little help against the Arabs, and in 675 the last ruler, Peruz, fled to
+the Chinese court.
+
+The last years of T'ai Tsung's reign were filled with a great war
+against Korea, which represented a continuation of the plans of the Sui
+emperor Yang Ti. This time Korea came firmly into Chinese possession. In
+661, under T'ai Tsung's son, the Korean fighting was resumed, this time
+against Japanese who were defending their interests in Korea. This was
+the period of great Japanese enthusiasm for China. The Chinese system of
+administration was copied, and Buddhism was adopted, together with every
+possible element of Chinese culture. This meant increased trade with
+Japan, bringing in large profits to China, and so the Korean middleman
+was to be eliminated.
+
+T'ai Tsung's son, Kao Tsung (650-683), merely carried to a conclusion
+what had been begun. Externally China's prestige continued at its
+zenith. The caravans streamed into China from western and central Asia,
+bringing great quantities of luxury goods. At this time, however, the
+foreign colonies were not confined to the capital but were installed in
+all the important trading ports and inland trade centres. The whole
+country was covered by a commercial network; foreign merchants who had
+come overland to China met others who had come by sea. The foreigners
+set up their own counting-houses and warehouses; whole quarters of the
+capital were inhabited entirely by foreigners who lived as if they were
+in their own country. They brought with them their own religions:
+Manichaeism, Mazdaism, and Nestorian Christianity. The first Jews came
+into China, apparently as dealers in fabrics, and the first Arabian
+Mohammedans made their appearance. In China the the foreigners bought
+silkstuffs and collected everything of value that they could find,
+especially precious metals. Culturally this influx of foreigners
+enriched China; economically, as in earlier periods, it did not; its
+disadvantages were only compensated for a time by the very beneficial
+results of the trade with Japan, and this benefit did not last long.
+
+
+4 _The reign of the empress Wu: Buddhism and capitalism_
+
+The pressure of the western Turks had been greatly weakened in this
+period, especially as their attention had been diverted to the west,
+where the advance of Islam and of the Arabs was a new menace for them.
+On the other hand, from 650 onward the Tibetans gained immensely in
+power, and pushed from the south into the Tarim basin. In 678 they
+inflicted a heavy defeat on the Chinese, and it cost the T'ang decades
+of diplomatic effort before they attained, in 699, their aim of breaking
+up the Tibetans' realm and destroying their power. In the last year of
+Kao Tsung's reign, 683, came the first of the wars of liberation of the
+northern Turks, known until then as the western Turks, against the
+Chinese. And with the end of Kao Tsung's reign began the decline of the
+T'ang regime. Most of the historians attribute it to a woman, the later
+empress Wu. She had been a concubine of T'ai Tsung, and after his death
+had become a Buddhist nun--a frequent custom of the time--until Kao
+Tsung fell in love with her and made her a concubine of his own. In the
+end he actually divorced the empress and made the concubine empress
+(655). She gained more and more influence, being placed on a par with
+the emperor and soon entirely eliminating him in practice; in 680 she
+removed the rightful heir to the throne and put her own son in his
+place; after Kao Tsung's death in 683 she became regent for her son.
+Soon afterward she dethroned him in favour of his twenty-two-year-old
+brother; in 690 she deposed him too and made herself empress in the
+"Chou dynasty" (690-701). This officially ended the T'ang dynasty.
+
+Matters, however, were not so simple as this might suggest. For
+otherwise on the empress's deposition there would not have been a mass
+of supporters moving heaven and earth to treat the new empress Wei
+(705-712) in the same fashion. There is every reason to suppose that
+behind the empress Wu there was a group opposing the ruling clique. In
+spite of everything, the T'ang government clique was very pro-Turkish,
+and many Turks and members of Toba families had government posts and,
+above all, important military commands. No campaign of that period was
+undertaken without Turkish auxiliaries. The fear seems to have been felt
+in some quarters that this T'ang group might pursue a military policy
+hostile to the gentry. The T'ang group had its roots mainly in western
+China; thus the eastern Chinese gentry were inclined to be hostile to
+it. The first act of the empress Wu had been to transfer the capital to
+Loyang in the east. Thus, she tried to rely upon the co-operation of the
+eastern gentry which since the Northern Chou and Sui dynasties had been
+out of power. While the western gentry brought their children into
+government positions by claiming family privileges (a son of a high
+official had the right to a certain position without having passed the
+regular examinations), the sons of the eastern gentry had to pass
+through the examinations. Thus, there were differences in education and
+outlook between both groups which continued long after the death of the
+empress. In addition, the eastern gentry, who supported the empress Wu
+and later the empress Wei, were closely associated with the foreign
+merchants of western Asia and the Buddhist Church to which they adhered.
+In gratitude for help from the Buddhists, the empress Wu endowed them
+with enormous sums of money, and tried to make Buddhism a sort of state
+religion. A similar development had taken place in the Toba and also in
+the Sui period. Like these earlier rulers, the empress Wu seems to have
+aimed at combining spiritual leadership with her position as ruler of
+the empire.
+
+In this epoch Buddhism helped to create the first beginnings of
+large-scale capitalism. In connection with the growing foreign trade,
+the monasteries grew in importance as repositories of capital; the
+temples bought more and more land, became more and more wealthy, and so
+gained increasing influence over economic affairs. They accumulated
+large quantities of metal, which they stored in the form of bronze
+figures of Buddha, and with these stocks they exercised controlling
+influence over the money market. There is a constant succession of
+records of the total weight of the bronze figures, as an indication of
+the money value they represented. It is interesting to observe that
+temples and monasteries acquired also shops and had rental income from
+them. They further operated many mills, as did the owners of private
+estates (now called "_chuang_") and thus controlled the price of flour,
+and polished rice.
+
+The cultural influence of Buddhism found expression in new and improved
+translations of countless texts, and in the passage of pilgrims along
+the caravan routes, helped by the merchants, as far as western Asia and
+India, like the famous Hsuean-tsang. Translations were made not only from
+Indian or other languages into Chinese, but also, for instance, from
+Chinese into the Uighur and other Turkish tongues, and into Tibetan,
+Korean, and Japanese.
+
+The attitude of the Turks can only be understood when we realize that
+the background of events during the time of empress Wu was formed by the
+activities of groups of the eastern Chinese gentry. The northern Turks,
+who since 630 had been under Chinese overlordship, had fought many wars
+of liberation against the Chinese; and through the conquest of
+neighbouring Turks they had gradually become once more, in the
+decade-and-a-half after the death of Kao Tsung, a great Turkish realm.
+In 698 the Turkish khan, at the height of his power, demanded a Chinese
+prince for his daughter--not, as had been usual in the past, a princess
+for his son. His intention, no doubt, was to conquer China with the
+prince's aid, to remove the empress Wu, and to restore the T'ang
+dynasty--but under Turkish overlordship! Thus, when the empress Wu sent
+a member of her own family, the khan rejected him and demanded the
+restoration of the deposed T'ang emperor. To enforce this demand, he
+embarked on a great campaign against China. In this the Turks must have
+been able to rely on the support of a strong group inside China, for
+before the Turkish attack became dangerous the empress Wu recalled the
+deposed emperor, at first as "heir to the throne"; thus she yielded to
+the khan's principal demand.
+
+In spite of this, the Turkish attacks did not cease. After a series of
+imbroglios within the country in which a group under the leadership of
+the powerful Ts'ui gentry family had liquidated the supporters of the
+empress Wu shortly before her death, a T'ang prince finally succeeded in
+killing empress Wei and her clique. At first, his father ascended the
+throne, but was soon persuaded to abdicate in favour of his son, now
+called emperor Hsueang Tsung (713-755), just as the first ruler of the
+T'ang dynasty had done. The practice of abdicating--in contradiction
+with the Chinese concept of the ruler as son of Heaven and the duties of
+a son towards his father--seems to have impressed Japan where similar
+steps later became quite common. With Hsuean Tsung there began now a
+period of forty-five years, which the Chinese describe as the second
+blossoming of T'ang culture, a period that became famous especially for
+its painting and literature.
+
+
+5 _Second blossoming of T'ang culture_
+
+The T'ang literature shows the co-operation of many favourable factors.
+The ancient Chinese classical style of official reports and decrees
+which the Toba had already revived, now led to the clear prose style of
+the essayists, of whom Han Yue (768-825) and Liu Tsung-yuean (747-796)
+call for special mention. But entirely new forms of sentences make their
+appearance in prose writing, with new pictures and similes brought from
+India through the medium of the Buddhist translations. Poetry was also
+enriched by the simple songs that spread in the north under Turkish
+influence, and by southern influences. The great poets of the T'ang
+period adopted the rules of form laid down by the poetic art of the
+south in the fifth century; but while at that time the writing of poetry
+was a learned pastime, precious and formalistic, the T'ang poets brought
+to it genuine feeling. Widespread fame came to Li T'ai-po (701-762) and
+Tu Fu (712-770); in China two poets almost equal to these two in
+popularity were Po Chue-i (772-846) and Yuean Chen (779-831), who in their
+works kept as close as possible to the vernacular.
+
+New forms of poetry rarely made their appearance in the T'ang period,
+but the existing forms were brought to the highest perfection. Not until
+the very end of the T'ang period did there appear the form of a "free"
+versification, with lines of no fixed length. This form came from the
+indigenous folk-songs of south-western China, and was spread through the
+agency of the _filles de joie_ in the tea-houses. Before long it became
+the custom to string such songs together in a continuous series--the
+first step towards opera. For these song sequences were sung by way of
+accompaniment to the theatrical productions. The Chinese theatre had
+developed from two sources--from religious games, bullfights and
+wrestling, among Turkish and Mongol peoples, which developed into
+dancing displays; and from sacrificial games of South Chinese origin.
+Thus the Chinese theatre, with its union with music, should rather be
+called opera, although it offers a sort of pantomimic show. What
+amounted to a court conservatoire trained actors and musicians as early
+as in the T'ang period for this court opera. These actors and musicians
+were selected from the best-looking "commoners", but they soon tended to
+become a special caste with a legal status just below that of
+"burghers".
+
+In plastic art there are fine sculptures in stone and bronze, and we
+have also technically excellent fabrics, the finest of lacquer, and
+remains of artistic buildings; but the principal achievement of the
+T'ang period lies undoubtedly in the field of painting. As in poetry, in
+painting there are strong traces of alien influences; even before the
+T'ang period, the painter Hsieh Ho laid down the six fundamental laws of
+painting, in all probability drawn from Indian practice. Foreigners were
+continually brought into China as decorators of Buddhist temples, since
+the Chinese could not know at first how the new gods had to be
+presented. The Chinese regarded these painters as craftsmen, but admired
+their skill and their technique and learned from them.
+
+The most famous Chinese painter of the T'ang period is Wu Tao-tzu, who
+was also the painter most strongly influenced by Central Asian works. As
+a pious Buddhist he painted pictures for temples among others. Among the
+landscape painters, Wang Wei (721-759) ranks first; he was also a famous
+poet and aimed at uniting poem and painting into an integral whole. With
+him begins the great tradition of Chinese landscape painting, which
+attained its zenith later, in the Sung epoch.
+
+Porcelain had been invented in China long ago. There was as yet none of
+the white porcelain that is preferred today; the inside was a
+brownish-yellow; but on the whole it was already technically and
+artistically of a very high quality. Since porcelain was at first
+produced only for the requirements of the court and of high
+dignitaries--mostly in state factories--a few centuries later the T'ang
+porcelain had become a great rarity. But in the centuries that followed,
+porcelain became an important new article of Chinese export. The Chinese
+prisoners taken by the Arabs in the great battle of Samarkand (751), the
+first clash between the world of Islam and China, brought to the West
+the knowledge of Chinese culture, of several Chinese crafts, of the art
+of papermaking, and also of porcelain.
+
+The emperor Hsuean Tsung gave active encouragement to all things
+artistic. Poets and painters contributed to the elegance of his
+magnificent court ceremonial. As time went on he showed less and less
+interest in public affairs, and grew increasingly inclined to Taoism and
+mysticism in general--an outcome of the fact that the conduct of matters
+of state was gradually taken out of his hands. On the whole, however,
+Buddhism was pushed into the background in favour of Confucianism, as a
+reaction from the unusual privileges that had been accorded to the
+Buddhists in the past fifteen years under the empress Wu.
+
+
+6 _Revolt of a military governor_
+
+At the beginning of Hsuean Tsung's reign the capital had been in the east
+at Loyang; then it was transferred once more to Ch'ang-an in the west
+due to pressure of the western gentry. The emperor soon came under the
+influence of the unscrupulous but capable and energetic Li Lin-fu, a
+distant relative of the ruler. Li was a virtual dictator at the court
+from 736 to 752, who had first advanced in power by helping the
+concubine Wu, a relative of the famous empress Wu, and by continually
+playing the eastern against the western gentry. After the death of the
+concubine Wu, he procured for the emperor a new concubine named Yang, of
+a western family. This woman, usually called "Concubine Yang" (Yang
+Kui-fei), became the heroine of countless stage-plays and stories and
+even films; all the misfortunes that marked the end of Hsuean Tsung's
+reign were attributed solely to her. This is incorrect, as she was but a
+link in the chain of influences that played upon the emperor. Naturally
+she found important official posts for her brothers and all her
+relatives; but more important than these was a military governor named
+An Lu-shan (703-757). His mother was a Turkish shamaness, his father, a
+foreigner probably of Sogdian origin. An Lu-shan succeeded in gaining
+favour with the Li clique, which hoped to make use of him for its own
+ends. Chinese sources describe him as a prodigy of evil, and it will be
+very difficult today to gain a true picture of his personality. In any
+case, he was certainly a very capable officer. His rise started from a
+victory over the Kitan in 744. He spent some time establishing relations
+with the court and then went back to resume operations against the
+Kitan. He made so much of the Kitan peril that he was permitted a larger
+army than usual, and he had command of 150,000 troops in the
+neighbourhood of Peking. Meanwhile Li Lin-fu died. He had sponsored An
+as a counterbalance against the western gentry. When now, within the
+clique of Li Lin-fu, the Yang family tried to seize power, they turned
+against An Lu-shan. But he marched against the capital, Ch'ang-an, with
+200,000 men; on his way he conquered Loyang and made himself emperor
+(756: Yen dynasty). T'ang troops were sent against him under the
+leadership of the Chinese Kuo Tzu-i, a Kitan commander, and a Turk,
+Ko-shu Han.
+
+The first two generals had considerable success, but Ko-shu Han, whose
+task was to prevent access to the western capital, was quickly defeated
+and taken prisoner. The emperor fled betimes, and An Lu-shan captured
+Ch'ang-an. The emperor now abdicated; his son, emperor Su Tsung
+(756-762), also fled, though not with him into Szechwan, but into
+north-western Shensi. There he defended himself against An Lu-shan and
+his capable general Shih Ssu-ming (himself a Turk), and sought aid in
+Central Asia. A small Arab troop came from the caliph Abu-Jafar, and
+also small bands from Turkestan; of more importance was the arrival of
+Uighur cavalry in substantial strength. At the end of 757 there was a
+great battle in the neighbourhood of the capital, in which An Lu-shan
+was defeated by the Uighurs; shortly afterwards he was murdered by one
+of his eunuchs. His followers fled; Loyang was captured and looted by
+the Uighurs. The victors further received in payment from the T'ang
+government 10,000 rolls of silk with a promise of 20,000 rolls a year;
+the Uighur khan was given a daughter of the emperor as his wife. An
+Lu-shan's general, the Turk Shih Ssu-ming, entered into An Lu-shan's
+heritage, and dominated so large a part of eastern China that the
+Chinese once more made use of the Uighurs to bring him down. The
+commanders in the fighting against Shih Ssu-ming this time were once
+more Kuo Tzu-i and the Kitan general, together with P'u-ku Huai-en, a
+member of a Toeloes family that had long been living in China. At first
+Shih Ssu-ming was victorious, and he won back Loyang, but then he was
+murdered by his own son, and only by taking advantage of the
+disturbances that now arose were the government troops able to quell the
+dangerous rising.
+
+In all this, two things seem interesting and important. To begin with,
+An Lu-shan had been a military governor. His rising showed that while
+this new office, with its great command of power, was of value in
+attacking external enemies, it became dangerous, especially if the
+central power was weak, the moment there were no external enemies of any
+importance. An Lu-shan's rising was the first of many similar ones in
+the later T'ang period. The gentry of eastern China had shown themselves
+entirely ready to support An Lu-shan against the government, because
+they had hoped to gain advantage as in the past from a realm with its
+centre once more in the east. In the second place, the important part
+played by aliens in events within China calls for notice: not only were
+the rebels An Lu-shan and Shih Ssu-ming non-Chinese, but so also were
+most of the generals opposed to them. But they regarded themselves as
+Chinese, not as members of another national group. The Turkish Uighurs
+brought in to help against them were fighting actually against Turks,
+though they regarded those Turks as Chinese. We must not bring to the
+circumstances of those times the present-day notions with regard to
+national feeling.
+
+
+7 _The role of the Uighurs. Confiscation of the capital of the
+monasteries_
+
+This rising and its sequels broke the power of the dynasty, and also of
+the empire. The extremely sanguinary wars had brought fearful suffering
+upon the population. During the years of the rising, no taxes came in
+from the greater part of the empire, but great sums had to be paid to
+the peoples who had lent aid to the empire. And the looting by
+government troops and by the auxiliaries injured the population as much
+as the war itself did.
+
+When the emperor Su Tsung died, in 762, Tengri, the khan of the Uighurs,
+decided to make himself ruler over China. The events of the preceding
+years had shown him that China alone was entirely defenceless. Part of
+the court clique supported him, and only by the intervention of P'u-ku
+Huai-en, who was related to Tengri by marriage, was his plan frustrated.
+Naturally there were countless intrigues against P'u-ku Huai-en. He
+entered into alliance with the Tibetan T'u-fan, and in this way the
+union of Turks and Tibetans, always feared by the Chinese, had come into
+existence. In 763 the Tibetans captured and burned down the western
+capital, while P'u-ku Huai-en with the Uighurs advanced from the north.
+Undoubtedly this campaign would have been successful, giving an entirely
+different turn to China's destiny, if P'u-ku Huai-en had not died in 765
+and the Chinese under Kuo Tzu-i had not succeeded in breaking up the
+alliance. The Uighurs now came over into an alliance with the Chinese,
+and the two allies fell upon the Tibetans and robbed them of their
+booty. China was saved once more.
+
+Friendship with the Uighurs had to be paid for this time even more
+dearly. They crowded into the capital and compelled the Chinese to buy
+horses, in payment for which they demanded enormous quantities of
+silkstuffs. They behaved in the capital like lords, and expected to be
+maintained at the expense of the government. The system of military
+governors was adhered to in spite of the country's experience of them,
+while the difficult situation throughout the empire, and especially
+along the western and northern frontiers, facing the Tibetans and the
+more and more powerful Kitan, made it necessary to keep considerable
+numbers of soldiers permanently with the colours. This made the military
+governors stronger and stronger; ultimately they no longer remitted any
+taxes to the central government, but spent them mainly on their armies.
+Thus from 750 onward the empire consisted of an impotent central
+government and powerful military governors, who handed on their
+positions to their sons as a further proof of their independence. When
+in 781 the government proposed to interfere with the inheriting of the
+posts, there was a great new rising, which in 783 again extended as far
+as the capital; in 784 the T'ang government at last succeeded in
+overcoming it. A compromise was arrived at between the government and
+the governors, but it in no way improved the situation. Life became more
+and more difficult for the central government. In 780, the "equal land"
+system was finally officially given up and with it a tax system which
+was based upon the idea that every citizen had the same amount of land
+and, therefore, paid the same amount of taxes. The new system tried to
+equalize the tax burden and the corvee obligation, but not the land.
+This change may indicate a step towards greater freedom for private
+enterprise. Yet it did not benefit the government, as most of the tax
+income was retained by the governors and was used for their armies and
+their own court.
+
+In the capital, eunuchs ruled in the interests of various cliques.
+Several emperors fell victim to them or to the drinking of "elixirs of
+long life".
+
+Abroad, the Chinese lost their dominion over Turkestan, for which
+Uighurs and Tibetans competed. There is nothing to gain from any full
+description of events at court. The struggle between cliques soon became
+a struggle between eunuchs and literati, in much the same way as at the
+end of the second Han dynasty. Trade steadily diminished, and the state
+became impoverished because no taxes were coming in and great armies had
+to be maintained, though they did not even obey the government.
+
+Events that exerted on the internal situation an influence not to be
+belittled were the break-up of the Uighurs (from 832 onward) the
+appearance of the Turkish Sha-t'o, and almost at the same time, the
+dissolution of the Tibetan empire (from 842). Many other foreigners had
+placed themselves under the Uighurs living in China, in order to be able
+to do business under the political protection of the Uighur embassy, but
+the Uighurs no longer counted, and the T'ang government decided to seize
+the capital sums which these foreigners had accumulated. It was hoped in
+this way especially to remedy the financial troubles of the moment,
+which were partly due to a shortage of metal for minting. As the trading
+capital was still placed with the temples as banks, the government
+attacked the religion of the Uighurs, Manichaeism, and also the
+religions of the other foreigners, Mazdaism, Nestorianism, and
+apparently also Islam. In 843 alien religions were prohibited; aliens
+were also ordered to dress like Chinese. This gave them the status of
+Chinese citizens and no longer of foreigners, so that Chinese justice
+had a hold over them. That this law abolishing foreign religions was
+aimed solely at the foreigners' capital is shown by the proceedings at
+the same time against Buddhism which had long become a completely
+Chinese Church. Four thousand, six hundred Buddhist temples, 40,000
+shrines and monasteries were secularized, and all statues were required
+to be melted down and delivered to the government, even those in private
+possession. Two hundred and sixty thousand, five hundred monks were to
+become ordinary citizens once more. Until then monks had been free of
+taxation, as had millions of acres of land belonging to the temples and
+leased to tenants or some 150,000 temple slaves.
+
+Thus the edict of 843 must not be described as concerned with religion:
+it was a measure of compulsion aimed at filling the government coffers.
+All the property of foreigners and a large part of the property of the
+Buddhist Church came into the hands of the government. The law was not
+applied to Taoism, because the ruling gentry of the time were, as so
+often before, Confucianist and at the same time Taoist. As early as 846
+there came a reaction: with the new emperor, Confucians came into power
+who were at the same time Buddhists and who now evicted some of the
+Taoists. From this time one may observe closer co-operation between
+Confucianism and Buddhism; not only with meditative Buddhism (Dhyana) as
+at the beginning of the T'ang epoch and earlier, but with the main
+branch of Buddhism, monastery Buddhism (Vinaya). From now onward the
+Buddhist doctrines of transmigration and retribution, which had been
+really directed against the gentry and in favour of the common people,
+were turned into an instrument serving the gentry: everyone who was
+unfortunate in this life must show such amenability to the government
+and the gentry that he would have a chance of a better existence at
+least in the next life. Thus the revolutionary Buddhist doctrine of
+retribution became a reactionary doctrine that was of great service to
+the gentry. One of the Buddhist Confucians in whose works this revised
+version makes its appearance most clearly was Niu Seng-yu, who was at
+once summoned back to court in 846 by the new emperor. Three new large
+Buddhist sects came into existence in the T'ang period. One of them, the
+school of the Pure Land (_Ching-t'u tsung_, since 641) required of its
+mainly lower class adherents only the permanent invocation of the Buddha
+Amithabha who would secure them a place in the "Western Paradise"--a
+place without social classes and economic troubles. The cult of
+Maitreya, which was always more revolutionary, receded for a while.
+
+
+8 _First successful peasant revolt. Collapse of the empire_
+
+The chief sufferers from the continual warfare of the military
+governors, the sanguinary struggles between the cliques, and the
+universal impoverishment which all this fighting produced, were, of
+course, the common people. The Chinese annals are filled with records of
+popular risings, but not one of these had attained any wide extent, for
+want of organization. In 860 began the first great popular rising, a
+revolt caused by famine in the province of Chekiang. Government troops
+suppressed it with bloodshed. Further popular risings followed. In 874
+began a great rising in the south of the present province of Hopei, the
+chief agrarian region.
+
+The rising was led by a peasant, Wang Hsien-chih, together with Huang
+Ch'ao, a salt merchant, who had fallen into poverty and had joined the
+hungry peasants, forming a fighting group of his own. It is important to
+note that Huang was well educated. It is said that he failed in the
+state examination. Huang is not the first merchant who became rebel. An
+Lu-shan, too, had been a businessman for a while. It was pointed out
+that trade had greatly developed in the T'ang period; of the lower
+Yangtze region people it was said that "they were so much interested in
+business that they paid no attention to agriculture". Yet merchants were
+subject to many humiliating conditions. They could not enter the
+examinations, except by illegal means. In various periods, from the Han
+time on, they had to wear special dress. Thus, a law from _c_. A.D. 300
+required them to wear a white turban on which name and type of business
+was written, and to wear one white and one black shoe. They were subject
+to various taxes, but were either not allowed to own land, or were
+allotted less land than ordinary citizens. Thus they could not easily
+invest in land, the safest investment at that time. Finally, the
+government occasionally resorted to the method which was often used in
+the Near East: when in 782 the emperor ran out of money, he requested
+the merchants of the capital to "loan" him a large sum--a request which
+in fact was a special tax.
+
+Wang and Huang both proved good organizers of the peasant masses, and in
+a short time they had captured the whole of eastern China, without the
+military governors being able to do anything against them, for the
+provincial troops were more inclined to show sympathy to the peasant
+armies than to fight them. The terrified government issued an order to
+arm the people of the other parts of the country against the rebels;
+naturally this helped the rebels more than the government, since the
+peasants thus armed went over to the rebels. Finally Wang was offered a
+high office. But Huang urged him not to betray his own people, and Wang
+declined the offer. In the end the government, with the aid of the
+troops of the Turkish Sha-t'o, defeated Wang and beheaded him (878).
+Huang Ch'ao now moved into the south-east and the south, where in 879 he
+captured and burned down Canton; according to an Arab source, over
+120,000 foreign merchants lost their lives in addition to the Chinese.
+From Canton Huang Ch'ao returned to the north, laden with loot from that
+wealthy commercial city. His advance was held up again by the Sha-t'o
+troops; he turned away to the lower Yangtze, and from there marched
+north again. At the end of 880 he captured the eastern capital. The
+emperor fled from the western capital, Ch'ang-an, into Szechwan, and
+Huang Ch'ao now captured with ease the western capital as well, and
+removed every member of the ruling family on whom he could lay hands. He
+then made himself emperor, in a Ch'i dynasty. It was the first time that
+a peasant rising had succeeded against the gentry.
+
+There was still, however, the greatest disorder in the empire. There
+were other peasant armies on the move, armies that had deserted their
+governors and were fighting for themselves; finally, there were still a
+few supporters of the imperial house and, above all, the Turkish
+Sha-t'o, who had a competent commander with the sinified name of Li
+K'o-yung. The Sha-t'o, who had remained loyal to the government,
+revolted the moment the government had been overthrown. They ran the
+risk, however, of defeat at the hands of an alien army of the Chinese
+government's, commanded by an Uighur, and they therefore fled to the
+Tatars. In spite of this, the Chinese entered again into relations with
+the Sha-t'o, as without them there could be no possibility of getting
+rid of Huang Ch'ao. At the end of 881 Li K'o-yung fell upon the capital;
+there was a fearful battle. Huang Ch'ao was able to hold out, but a
+further attack was made in 883 and he was defeated and forced to flee;
+in 884 he was killed by the Sha-t'o.
+
+This popular rising, which had only been overcome with the aid of
+foreign troops, brought the end of the T'ang dynasty. In 885 the T'ang
+emperor was able to return to the capital, but the only question now was
+whether China should be ruled by the Sha-t'o under Li K'o-yung or by
+some other military commander. In a short time Chu Ch'uean-chung, a
+former follower of Huang Ch'ao, proved to be the strongest of the
+commanders. In 890 open war began between the two leaders. Li K'o-yung
+was based on Shansi; Chu Ch'uean-chung had control of the plains in the
+east. Meanwhile the governors of Szechwan in the west and Chekiang in
+the south-east made themselves independent. Both declared themselves
+kings or emperors and set up dynasties of their own (from 895).
+
+Within the capital, the emperor was threatened several times by revolts,
+so that he had to flee and place himself in the hands of Li K'o-yung as
+the only leader on whose loyalty he could count. Soon after this,
+however, the emperor fell into the hands of Chu Ch'uean-chung, who killed
+the whole entourage of the emperor, particularly the eunuchs; after a
+time he had the emperor himself killed, set a puppet--as had become
+customary--on the throne, and at the beginning of 907 took over the rule
+from him, becoming emperor in the "Later Liang dynasty".
+
+That was the end of the T'ang dynasty, at the beginning of which China
+had risen to unprecedented power. Its downfall had been brought about by
+the military governors, who had built up their power and had become
+independent hereditary satraps, exploiting the people for their own
+purposes, and by their continual mutual struggles undermining the
+economic structure of the empire. In addition to this, the empire had
+been weakened first by its foreign trade and then by the dependence on
+foreigners, especially Turks, into which it had fallen owing to internal
+conditions. A large part of the national income had gone abroad. Such is
+the explanation of the great popular risings which ultimately brought
+the dynasty to its end.
+
+
+
+
+MODERN TIMES
+
+
+
+
+Chapter Nine
+
+THE EPOCH OF THE SECOND DIVISION OF CHINA
+
+
+
+(A) The period of transition: the Five Dynasties (A.D. 906-960)
+
+1 _Beginning of a new epoch_
+
+The rebellion of Huang Ch'ao in fact meant the end of the T'ang dynasty
+and the division of China into a number of independent states. Only for
+reasons of convenience we keep the traditional division into dynasties
+and have our new period begin with the official end of the T'ang dynasty
+in 906. We decided to call the new thousand years of Chinese history
+"Modern Times" in order to indicate that from _c_. 860 on changes in
+China's social structure came about which set this epoch off from the
+earlier thousand years which we called "The Middle Ages". Any division
+into periods is arbitrary as changes do not happen from one year to the
+next. The first beginnings of the changes which lead to the "Modern
+Times" actually can be seen from the end of An Lu-shan's rebellion on,
+from _c_. A.D. 780 on, and the transformation was more or less completed
+only in the middle of the eleventh century.
+
+If we want to characterize the "Modern Times" by one concept, we would
+have to call this epoch the time of the emergence of a middle class, and
+it will be remembered that the growth of the middle class in Europe was
+also the decisive change between the Middle Ages and Modern Times in
+Europe. The parallelism should, however, not be overdone. The gentry
+continued to play a role in China during the Modern Times, much more
+than the aristocracy did in Europe. The middle class did not ever really
+get into power during the whole period.
+
+While we will discuss the individual developments later in some detail,
+a few words about the changes in general might be given already here.
+The wars which followed Huang Ch'ao's rebellion greatly affected the
+ruling gentry. A number of families were so strongly affected that they
+lost their importance and disappeared. Commoners from the followers of
+Huang Ch'ao or other armies succeeded to get into power, to acquire
+property and to enter the ranks of the gentry. At about A.D. 1000 almost
+half of the gentry families were new families of low origin. The state,
+often ruled by men who had just moved up, was no more interested in the
+aristocratic manners of the old gentry families, especially no more
+interested in their genealogies. When conditions began to improve after
+A.D. 1000, and when the new families felt themselves as real gentry
+families, they tried to set up a mechanism to protect the status of
+their families. In the eleventh century private genealogies began to be
+kept, so that any claim against the clan could be checked. Clans set up
+rules of behaviour and procedure to regulate all affairs of the clan
+without the necessity of asking the state to interfere in case of
+conflict. Many such "clan rules" exist in China and also in Japan which
+took over this innovation. Clans set apart special pieces of land as
+clan land; the income of this land was to be used to secure a minimum of
+support for every clan member and his own family, so that no member ever
+could fall into utter poverty. Clan schools which were run by income
+from special pieces of clan land were established to guarantee an
+education for the members of the clan, again in order to make sure that
+the clan would remain a part of the _elite_. Many clans set up special
+marriage rules for clan members, and after some time cross-cousin
+marriages between two or three families were legally allowed; such
+marriages tended to fasten bonds between clans and to prevent the loss
+of property by marriage. While on the one hand, a new "clan
+consciousness" grew up among the gentry families in order to secure
+their power, tax and corvee legislation especially in the eleventh
+century induced many families to split up into small families.
+
+It can be shown that over the next centuries, the power of the family
+head increased. He was now regarded as owner of the property, not only
+mere administrator of family property. He got power over life and death
+of his children. This increase of power went together with a change of
+the position of the ruler. The period transition (until _c_. A.D. 1000)
+was followed by a period of "moderate absolutism" (until 1278) in which
+emperors as persons played a greater role than before, and some
+emperors, such as Shen Tsung (in 1071), even declared that they regarded
+the welfare of the masses as more important than the profit of the
+gentry. After 1278, however, the personal influence of the emperors grew
+further towards absolutism and in times became pure despotism.
+
+Individuals, especially family heads, gained more freedom in "Modern
+Times". Not only the period of transition, but also the following period
+was a time of much greater social mobility than existed in the Middle
+Ages. By various legal and/or illegal means people could move up into
+positions of power and wealth: we know of many merchants who succeeded
+in being allowed to enter the state examina and thus got access to jobs
+in the administration. Large, influential gentry families in the capital
+protected sons from less important families and thus gave them a chance
+to move into the gentry. Thus, these families built up a clientele of
+lesser gentry families which assisted them and upon the loyalty of which
+they could count. The gentry can from now on be divided into two parts.
+First, there was a "big gentry" which consisted of much fewer families
+than in earlier times and which directed the policy in the capital; and
+secondly, there was a "small gentry" which was operating mainly in the
+provincial cities, directing local affairs and bound by ties of loyalty
+to big gentry families. Gentry cliques now extended into the provinces
+and it often became possible to identify a clique with a geographical
+area, which, however, usually did not indicate particularistic
+tendencies.
+
+Individual freedom did not show itself only in greater social mobility.
+The restrictions which, for instance, had made the craftsmen and
+artisans almost into serfs, were gradually lifted. From the early
+sixteenth century on, craftsmen were free and no more subject to forced
+labour services for the state. Most craftsmen in this epoch still had
+their shops in one lane or street and lived above their shops, as they
+had done in the earlier period. But from now on, they began to organize
+in guilds of an essentially religious character, as similar guilds in
+other parts of Asia at the same time also did. They provided welfare
+services for their members, made some attempts towards standardization
+of products and prices, imposed taxes upon their members, kept their
+streets clean and tried to regulate salaries. Apprentices were initiated
+in a kind of semi-religious ceremony, and often meetings took place in
+temples. No guild, however, connected people of the same craft living in
+different cities. Thus, they did not achieve political power.
+Furthermore, each trade had its own guild; in Peking in the nineteenth
+century there existed over 420 different guilds. Thus, guilds failed to
+achieve political influence even within individual cities.
+
+Probably at the same time, regional associations, the so-called
+"_hui-kuan_" originated. Such associations united people from one city
+or one area who lived in another city. People of different trades, but
+mainly businessmen, came together under elected chiefs and councillors.
+Sometimes, such regional associations could function as pressure groups,
+especially as they were usually financially stronger than the guilds.
+They often owned city property or farm land. Not all merchants, however,
+were so organized. Although merchants remained under humiliating
+restrictions as to the colour and material of their dress and the
+prohibition to ride a horse, they could more often circumvent such
+restrictions and in general had much more freedom in this epoch.
+
+Trade, including overseas trade, developed greatly from now on. Soon we
+find in the coastal ports a special office which handled custom and
+registration affairs, supplied interpreters for foreigners, received
+them officially and gave good-bye dinners when they left. Down to the
+thirteenth century, most of this overseas trade was still in the hands
+of foreigners, mainly Indians. Entrepreneurs hired ships, if they were
+not ship-owners, hired trained merchants who in turn hired sailors
+mainly from the South-East Asian countries, and sold their own
+merchandise as well as took goods on commission. Wealthy Chinese gentry
+families invested money in such foreign enterprises and in some cases
+even gave their daughters in marriage to foreigners in order to profit
+from this business.
+
+We also see an emergence of industry from the eleventh century on. We
+find men who were running almost monopolistic enterprises, such as
+preparing charcoal for iron production and producing iron and steel at
+the same time; some of these men had several factories, operating under
+hired and qualified managers with more than 500 labourers. We find
+beginnings of a labour legislation and the first strikes (A.D. 782 the
+first strike of merchants in the capital; 1601 first strike of textile
+workers).
+
+Some of these labourers were so-called "vagrants", farmers who had
+secretly left their land or their landlord's land for various reasons,
+and had shifted to other regions where they did not register and thus
+did not pay taxes. Entrepreneurs liked to hire them for industries
+outside the towns where supervision by the government was not so strong;
+naturally, these "vagrants" were completely at the mercy of their
+employers.
+
+Since _c._ 780 the economy can again be called a money economy; more and
+more taxes were imposed in form of money instead of in kind. This
+pressure forced farmers out of the land and into the cities in order to
+earn there the cash they needed for their tax payments. These men
+provided the labour force for industries, and this in turn led to the
+strong growth of the cities, especially in Central China where trade and
+industries developed most.
+
+Wealthy people not only invested in industrial enterprises, but also
+began to make heavy investments in agriculture in the vicinity of
+cities in order to increase production and thus income. We find men who
+drained lakes in order to create fields below the water level for easy
+irrigation; others made floating fields on lakes and avoided land tax
+payments; still others combined pig and fish breeding in one operation.
+
+The introduction of money economy and money taxes led to a need for more
+coinage. As metal was scarce and minting very expensive, iron coins were
+introduced, silver became more and more common as means of exchange, and
+paper money was issued. As the relative value of these moneys changed
+with supply and demand, speculation became a flourishing business which
+led to further enrichment of people in business. Even the government
+became more money-minded: costs of operations and even of wars were
+carefully calculated in order to achieve savings; financial specialists
+were appointed by the government, just as clans appointed such men for
+the efficient administration of their clan properties.
+
+Yet no real capitalism or industrialism developed until towards the end
+of this epoch, although at the end of the twelfth century almost all
+conditions for such a development seemed to be given.
+
+
+2 _Political situation in the tenth century_
+
+The Chinese call the period from 906 to 960 the "period of the Five
+Dynasties" (_Wu Tai_). This is not quite accurate. It is true that there
+were five dynasties in rapid succession in North China; but at the same
+time there were ten other dynasties in South China. The ten southern
+dynasties, however, are regarded as not legitimate. The south was much
+better off with its illegitimate dynasties than the north with the
+legitimate ones. The dynasties in the south (we may dispense with giving
+their names) were the realms of some of the military governors so often
+mentioned above. These governors had already become independent at the
+end of the T'ang epoch; they declared themselves kings or emperors and
+ruled particular provinces in the south, the chief of which covered the
+territory of the present provinces of Szechwan, Kwangtung and Chekiang.
+In these territories there was comparative peace and economic
+prosperity, since they were able to control their own affairs and were
+no longer dependent on a corrupt central government. They also made
+great cultural progress, and they did not lose their importance later
+when they were annexed in the period of the Sung dynasty.
+
+As an example of these states one may mention the small state of Ch'u in
+the present province of Hunan. Here, Ma Yin, a former carpenter (died
+931), had made himself a king. He controlled some of the main trade
+routes, set up a clean administration, bought up all merchandise which
+the merchants brought, but allowed them to export only local products,
+mainly tea, iron and lead. This regulation gave him a personal income of
+several millions every year, and in addition fostered the exploitation
+of the natural resources of this hitherto retarded area.
+
+
+3 _Monopolistic trade in South China. Printing and paper money in the
+north_
+
+The prosperity of the small states of South China was largely due to the
+growth of trade, especially the tea trade. The habit of drinking tea
+seems to have been an ancient Tibetan custom, which spread to
+south-eastern China in the third century A.D. Since then there had been
+two main centres of production, Szechwan and south-eastern China. Until
+the eleventh century Szechwan had remained the leading producer, and tea
+had been drunk in the Tibetan fashion, mixed with flour, salt, and
+ginger. It then began to be drunk without admixture. In the T'ang epoch
+tea drinking spread all over China, and there sprang up a class of
+wholesalers who bought the tea from the peasants, accumulated stocks,
+and distributed them. From 783 date the first attempts of the state to
+monopolize the tea trade and to make it a source of revenue; but it
+failed in an attempt to make the cultivation a state monopoly. A tea
+commissariat was accordingly set up to buy the tea from the producers
+and supply it to traders in possession of a state licence. There
+naturally developed then a pernicious collaboration between state
+officials and the wholesalers. The latter soon eliminated the small
+traders, so that they themselves secured all the profit; official
+support was secured by bribery. The state and the wholesalers alike were
+keenly interested in the prevention of tea smuggling, which was strictly
+prohibited.
+
+The position was much the same with regard to salt. We have here for the
+first time the association of officials with wholesalers or even with a
+monopoly trade. This was of the utmost importance in all later times.
+Monopoly progressed most rapidly in Szechwan, where there had always
+been a numerous commercial community. In the period of political
+fragmentation Szechwan, as the principal tea-producing region and at the
+same time an important producer of salt, was much better off than any
+other part of China. Salt in Szechwan was largely produced by,
+technically, very interesting salt wells which existed there since _c._
+the first century B.C. The importance of salt will be understood if we
+remember that a grown-up person in China uses an average of twelve
+pounds of salt per year. The salt tax was the top budget item around
+A.D. 900.
+
+South-eastern China was also the chief centre of porcelain production,
+although china clay is found also in North China. The use of porcelain
+spread more and more widely. The first translucent porcelain made its
+appearance, and porcelain became an important article of commerce both
+within the country and for export. Already the Muslim rulers of Baghdad
+around 800 used imported Chinese porcelain, and by the end of the
+fourteenth century porcelain was known in Eastern Africa. Exports to
+South-East Asia and Indonesia, and also to Japan gained more and more
+importance in later centuries. Manufacture of high quality porcelain
+calls for considerable amounts of capital investment and working
+capital; small manufacturers produce too many second-rate pieces; thus
+we have here the first beginnings of an industry that developed
+industrial towns such as Ching-te, in which the majority of the
+population were workers and merchants, with some 10,000 families alone
+producing porcelain. Yet, for many centuries to come, the state
+controlled the production and even the design of porcelain and
+appropriated most of the production for use at court or as gifts.
+
+The third important new development to be mentioned was that of
+printing, which since _c_. 770 was known in the form of wood-block
+printing. The first reference to a printed book dated from 835, and the
+most important event in this field was the first printing of the
+Classics by the orders of Feng Tao (882-954) around 940. The first
+attempts to use movable type in China occurred around 1045, although
+this invention did not get general acceptance in China. It was more
+commonly used in Korea from the thirteenth century on and revolutionized
+Europe from 1538 on. It seems to me that from the middle of the
+twentieth century on, the West, too, shows a tendency to come back to
+the printing of whole pages, but replacing the wood blocks by
+photographic plates or other means. In the Far East, just as in Europe,
+the invention of printing had far-reaching consequences. Books, which
+until then had been very dear, because they had had to be produced by
+copyists, could now be produced cheaply and in quantity. It became
+possible for a scholar to accumulate a library of his own and to work in
+a wide field, where earlier he had been confined to a few books or even
+a single text. The results were the spread of education, beginning with
+reading and writing, among wider groups, and the broadening of
+education: a large number of texts were read and compared, and no longer
+only a few. Private libraries came into existence, so that the imperial
+libraries were no longer the only ones. Publishing soon grew in extent,
+and in private enterprise works were printed that were not so serious
+and politically important as the classic books of the past. Thus a new
+type of literature, the literature of entertainment, could come into
+existence. Not all these consequences showed themselves at once; some
+made their first appearance later, in the Sung period.
+
+A fourth important innovation, this time in North China, was the
+introduction of prototypes of paper money. The Chinese copper "cash" was
+difficult or expensive to transport, simply because of its weight. It
+thus presented great obstacles to trade. Occasionally a region with an
+adverse balance of trade would lose all its copper money, with the
+result of a local deflation. From time to time, iron money was
+introduced in such deficit areas; it had for the first time been used in
+Szechwan in the first century B.C., and was there extensively used in
+the tenth century when after the conquest of the local state all copper
+was taken to the east by the conquerors. So long as there was an orderly
+administration, the government could send it money, though at
+considerable cost; but if the administration was not functioning well,
+the deflation continued. For this reason some provinces prohibited the
+export of copper money from their territory at the end of the eighth
+century. As the provinces were in the hands of military governors, the
+central government could do next to nothing to prevent this. On the
+other hand, the prohibition automatically made an end of all external
+trade. The merchants accordingly began to prepare deposit certificates,
+and in this way to set up a sort of transfer system. Soon these deposit
+certificates entered into circulation as a sort of medium of payment at
+first again in Szechwan, and gradually this led to a banking system and
+the linking of wholesale trade with it. This made possible a much
+greater volume of trade. Towards the end of the T'ang period the
+government began to issue deposit certificates of its own: the merchant
+deposited his copper money with a government agency, receiving in
+exchange a certificate which he could put into circulation like money.
+Meanwhile the government could put out the deposited money at interest,
+or throw it into general circulation. The government's deposit
+certificates were now printed. They were the predecessors of the paper
+money used from the time of the Sung.
+
+
+4 _Political history of the Five Dynasties_
+
+The southern states were a factor not to be ignored in the calculations
+of the northern dynasties. Although the southern kingdoms were involved
+in a confusion of mutual hostilities, any one of them might come to the
+fore as the ally of Turks or other northern powers. The capital of the
+first of the five northern dynasties (once more a Liang dynasty, but not
+to be confused with the Liang dynasty of the south in the sixth century)
+was, moreover, quite close to the territories of the southern dynasties,
+close to the site of the present K'aifeng, in the fertile plain of
+eastern China with its good means of transport. Militarily the town
+could not be held, for its one and only defence was the Yellow River.
+The founder of this Later Liang dynasty, Chu Ch'uean-chung (906), was
+himself an eastern Chinese and, as will be remembered, a past supporter
+of the revolutionary Huang Ch'ao, but he had then gone over to the T'ang
+and had gained high military rank.
+
+His northern frontier remained still more insecure than the southern,
+for Chu Ch'uean-chung did not succeed in destroying the Turkish general
+Li K'o-yung; on the contrary, the latter continually widened the range
+of his power. Fortunately he, too, had an enemy at his back--the Kitan
+(or Khitan), whose ruler had made himself emperor in 916, and so staked
+a claim to reign over all China. The first Kitan emperor held a middle
+course between Chu and Li, and so was able to establish and expand his
+empire in peace. The striking power of his empire, which from 937 onward
+was officially called the Liao empire, grew steadily, because the old
+tribal league of the Kitan was transformed into a centrally commanded
+military organization.
+
+To these dangers from abroad threatening the Later Liang state internal
+troubles were added. Chu Ch'uean-chung's dynasty was one of the three
+Chinese dynasties that have ever come to power through a popular rising.
+He himself was of peasant origin, and so were a large part of his
+subordinates and helpers. Many of them had originally been independent
+peasant leaders; others had been under Huang Ch'ao. All of them were
+opposed to the gentry, and the great slaughter of the gentry of the
+capital, shortly before the beginning of Chu's rule, had been welcomed
+by Chu and his followers. The gentry therefore would not co-operate with
+Chu and preferred to join the Turk Li K'o-yung. But Chu could not
+confidently rely on his old comrades. They were jealous of his success
+in gaining the place they all coveted, and were ready to join in any
+independent enterprise as opportunity offered. All of them, moreover, as
+soon as they were given any administrative post, busied themselves with
+the acquisition of money and wealth as quickly as possible. These abuses
+not only ate into the revenues of the state but actually produced a
+common front between the peasantry and the remnants of the gentry
+against the upstarts.
+
+In 917, after Li K'o-yung's death, the Sha-t'o Turks beat off an attack
+from the Kitan, and so were safe for a time from the northern menace.
+They then marched against the Liang state, where a crisis had been
+produced in 912 after the murder of Chu Ch'uean-chung by one of his sons.
+The Liang generals saw no reason why they should fight for the dynasty,
+and all of them went over to the enemy. Thus the "Later T'ang dynasty"
+(923-936) came into power in North China, under the son of Li K'o-yung.
+
+The dominant element at this time was quite clearly the Chinese gentry,
+especially in western and central China. The Sha-t'o themselves must
+have been extraordinarily few in number, probably little more than
+100,000 men. Most of them, moreover, were politically passive, being
+simple soldiers. Only the ruling family and its following played any
+active part, together with a few families related to it by marriage. The
+whole state was regarded by the Sha-t'o rulers as a sort of family
+enterprise, members of the family being placed in the most important
+positions. As there were not enough of them, they adopted into the
+family large numbers of aliens of all nationalities. Military posts were
+given to faithful members of Li K'o-yung's or his successor's bodyguard,
+and also to domestic servants and other clients of the family. Thus,
+while in the Later Liang state elements from the peasantry had risen in
+the world, some of these neo-gentry reaching the top of the social
+pyramid in the centuries that followed, in the Sha-t'o state some of its
+warriors, drawn from the most various peoples, entered the gentry class
+through their personal relations with the ruler. But in spite of all
+this the bulk of the officials came once more from the Chinese. These
+educated Chinese not only succeeded in winning over the rulers
+themselves to the Chinese cultural ideal, but persuaded them to adopt
+laws that substantially restricted the privileges of the Sha-t'o and
+brought advantages only to the Chinese gentry. Consequently all the
+Chinese historians are enthusiastic about the "Later T'ang", and
+especially about the emperor Ming Ti, who reigned from 927 onward, after
+the assassination of his predecessor. They also abused the Liang because
+they were against the gentry.
+
+In 936 the Later T'ang dynasty gave place to the Later Chin dynasty
+(936-946), but this involved no change in the structure of the empire.
+The change of dynasty meant no more than that instead of the son
+following the father the son-in-law had ascended the throne. It was of
+more importance that the son-in-law, the Sha-t'o Turk Shih Ching-t'ang,
+succeeded in doing this by allying himself with the Kitan and ceding to
+them some of the northern provinces. The youthful successor, however, of
+the first ruler of this dynasty was soon made to realize that the Kitan
+regarded the founding of his dynasty as no more than a transition stage
+on the way to their annexation of the whole of North China. The old
+Sha-t'o nobles, who had not been sinified in the slightest, suggested a
+preventive war; the actual court group, strongly sinified, hesitated,
+but ultimately were unable to avoid war. The war was very quickly
+decided by several governors in eastern China going over to the Kitan,
+who had promised them the imperial title. In the course of 946-7 the
+Kitan occupied the capital and almost the whole of the country. In 947
+the Kitan ruler proclaimed himself emperor of the Kitan and the Chinese.
+
+[Illustration: Map 6: The State of the later Tang dynasty]
+
+The Chinese gentry seem to have accepted this situation because a Kitan
+emperor was just as acceptable to them as a Sha-t'o emperor; but the
+Sha-t'o were not prepared to submit to the Kitan regime, because under
+it they would have lost their position of privilege. At the head of this
+opposition group stood the Sha-t'o general Liu Chih-yuean, who founded
+the "Later Han dynasty" (947-950). He was able to hold out against the
+Kitan only because in 947 the Kitan emperor died and his son had to
+leave China and retreat to the north; fighting had broken out between
+the empress dowager, who had some Chinese support, and the young heir to
+the throne. The new Turkish dynasty, however, was unable to withstand
+the internal Chinese resistance. Its founder died in 948, and his son,
+owing to his youth, was entirely in the hands of a court clique. In his
+effort to free himself from the tutelage of this group he made a
+miscalculation, for the men on whom he thought he could depend were
+largely supporters of the clique. So he lost his throne and his life,
+and a Chinese general, Kuo Wei, took his place, founding the "Later Chou
+dynasty" (951-959).
+
+A feature of importance was that in the years of the short-lived "Later
+Han dynasty" a tendency showed itself among the Chinese military leaders
+to work with the states in the south. The increase in the political
+influence of the south was due to its economic advance while the north
+was reduced to economic chaos by the continual heavy fighting, and by
+the complete irresponsibility of the Sha-t'o ruler in financial matters:
+several times in this period the whole of the money in the state
+treasury was handed out to soldiers to prevent them from going over to
+some enemy or other. On the other hand, there was a tendency in the
+south for the many neighbouring states to amalgamate, and as this
+process took place close to the frontier of North China the northern
+states could not passively look on. During the "Later Han" period there
+were wars and risings, which continued in the time of the "Later Chou".
+
+On the whole, the few years of the rule of the second emperor of the
+"Later Chou" (954-958) form a bright spot in those dismal fifty-five
+years. Sociologically regarded, that dynasty formed merely a transition
+stage on the way to the Sung dynasty that now followed: the Chinese
+gentry ruled under the leadership of an upstart who had risen from the
+ranks, and they ruled in accordance with the old principles of gentry
+rule. The Sha-t'o, who had formed the three preceding dynasties, had
+been so reduced that they were now a tiny minority and no longer
+counted. This minority had only been able to maintain its position
+through the special social conditions created by the "Later Liang"
+dynasty: the Liang, who had come from the lower classes of the
+population, had driven the gentry into the arms of the Sha-t'o Turks. As
+soon as the upstarts, in so far as they had not fallen again or been
+exterminated, had more or less assimilated themselves to the old gentry,
+and on the other hand the leaders of the Sha-t'o had become numerically
+too weak, there was a possibility of resuming the old form of rule.
+
+There had been certain changes in this period. The north-west of China,
+the region of the old capital Ch'ang-an, had been so ruined by the
+fighting that had gone on mainly there and farther north, that it was
+eliminated as a centre of power for a hundred years to come; it had been
+largely depopulated. The north was under the rule of the Kitan: its
+trade, which in the past had been with the Huang-ho basin, was now
+perforce diverted to Peking, which soon became the main centre of the
+power of the Kitan. The south, particularly the lower Yangtze region and
+the province of Szechwan, had made economic progress, at least in
+comparison with the north; consequently it had gained in political
+importance.
+
+One other event of this time has to be mentioned: the great persecution
+of Buddhism in 955, but not only because 30,336 temples and monasteries
+were secularized and only some 2,700 with 61,200 monks were left.
+Although the immediate reason for this action seems to have been that
+too many men entered the monasteries in order to avoid being taken as
+soldiers, the effect of the law of 955 was that from now on the
+Buddhists were put under regulations which clarified once and for ever
+their position within the framework of a society which had as its aim to
+define clearly the status of each individual within each social class.
+Private persons were no more allowed to erect temples and monasteries.
+The number of temples per district was legally fixed. A person could
+become monk only if the head of the family gave its permission. He had
+to be over fifteen years of age and had to know by heart at least one
+hundred pages of texts. The state took over the control of the
+ordinations which could be performed only after a successful
+examination. Each year a list of all monks had to be submitted to the
+government in two copies. Monks had to carry six identification cards
+with them, one of which was the ordination diploma for which a fee had
+to be paid to the government (already since 755). The diploma was, in
+the eleventh century, issued by the Bureau of Sacrifices, but the money
+was collected by the Ministry of Agriculture. It can be regarded as a
+payment _in lieu_ of land tax. The price was in the eleventh century 130
+strings, which represented the value of a small farm or the value of
+some 17,000 litres of grain. The price of the diploma went up to 220
+strings in 1101, and the then government sold 30,000 diplomas per year
+in order to get still more cash. But as diplomas could be traded, a
+black market developed, on which they were sold for as little as twenty
+strings.
+
+
+
+(B) Period of Moderate Absolutism
+
+
+(1) The Northern Sung dynasty
+
+1 _Southward expansion_
+
+The founder of the Sung dynasty, Chao K'uang-yin, came of a Chinese
+military family living to the south of Peking. He advanced from general
+to emperor, and so differed in no way from the emperors who had preceded
+him. But his dynasty did not disappear as quickly as the others; for
+this there were several reasons. To begin with, there was the simple
+fact that he remained alive longer than the other founders of dynasties,
+and so was able to place his rule on a firmer foundation. But in
+addition to this he followed a new course, which in certain ways
+smoothed matters for him and for his successors, in foreign policy.
+
+This Sung dynasty, as Chao K'uang-yin named it, no longer turned against
+the northern peoples, particularly the Kitan, but against the south.
+This was not exactly an heroic policy: the north of China remained in
+the hands of the Kitan. There were frequent clashes, but no real effort
+was made to destroy the Kitan, whose dynasty was now called "Liao". The
+second emperor of the Sung was actually heavily defeated several times
+by the Kitan. But they, for their part, made no attempt to conquer the
+whole of China, especially since the task would have become more and
+more burdensome the farther south the Sung expanded. And very soon there
+were other reasons why the Kitan should refrain from turning their whole
+strength against the Chinese.
+
+[Illustration: 10 Ladies of the Court: clay models which accompanied the
+dead person to the grave. T'ang period. _In the collection of the Museum
+fuer Voelkerkunde, Berlin_.]
+
+[Illustration: 11 Distinguished founder: a temple banner found at
+Khotcho, Turkestan. _Museum fuer Voelkerkunde, Berlin, No. 1B_ 4524,
+_illustration B_ 408.]
+
+As we said, the Sung turned at once against the states in the south.
+Some of the many small southern states had made substantial economic and
+cultural advance, but militarily they were not strong. Chao
+K'uang-yin (named as emperor T'ai Tsu) attacked them in succession. Most
+of them fell very quickly and without any heavy fighting, especially
+since the Sung dealt mildly with the defeated rulers and their
+following. The gentry and the merchants in these small states could not
+but realize the advantages of a widened and well-ordered economic field,
+and they were therefore entirely in favour of the annexation of their
+country so soon as it proved to be tolerable. And the Sung empire could
+only endure and gain strength if it had control of the regions along the
+Yangtze and around Canton, with their great economic resources. The
+process of absorbing the small states in the south continued until 980.
+Before it was ended, the Sung tried to extend their influence in the
+south beyond the Chinese border, and secured a sort of protectorate over
+parts of Annam (973). This sphere of influence was politically
+insignificant and not directly of any economic importance; but it
+fulfilled for the Sung the same functions which colonial territories
+fulfilled for Europeans, serving as a field of operation for the
+commercial class, who imported raw materials from it--mainly, it is
+true, luxury articles such as special sorts of wood, perfumes, ivory,
+and so on--and exported Chinese manufactures. As the power of the empire
+grew, this zone of influence extended as far as Indonesia: the process
+had begun in the T'ang period. The trade with the south had not the
+deleterious effects of the trade with Central Asia. There was no sale of
+refined metals, and none of fabrics, as the natives produced their own
+textiles which sufficed for their needs. And the export of porcelain
+brought no economic injury to China, but the reverse.
+
+This Sung policy was entirely in the interest of the gentry and of the
+trading community which was now closely connected with them. Undoubtedly
+it strengthened China. The policy of nonintervention in the north was
+endurable even when peace with the Kitan had to be bought by the payment
+of an annual tribute. From 1004 onwards, 100,000 ounces of silver and
+200,000 bales of silk were paid annually to the Kitan, amounting in
+value to about 270,000 strings of cash, each of 1,000 coins. The state
+budget amounted to some 20,000,000 strings of cash. In 1038 the payments
+amounted to 500,000 strings, but the budget was by then much larger. One
+is liable to get a false impression when reading of these big payments
+if one does not take into account what percentage they formed of the
+total revenues of the state. The tribute to the Kitan amounted to less
+than 2 per cent of the revenue, while the expenditure on the army
+accounted for 25 per cent of the budget. It cost much less to pay
+tribute than to maintain large armies and go to war. Financial
+considerations played a great part during the Sung epoch. The taxation
+revenue of the empire rose rapidly after the pacification of the south;
+soon after the beginning of the dynasty the state budget was double that
+of the T'ang. If the state expenditure in the eleventh century had not
+continually grown through the increase in military expenditure--in spite
+of everything!--there would have come a period of great prosperity in
+the empire.
+
+
+2 _Administration and army. Inflation_
+
+The Sung emperor, like the rulers of the transition period, had gained
+the throne by his personal abilities as military leader; in fact, he had
+been made emperor by his soldiers as had happened to so many emperors in
+later Imperial Rome. For the next 300 years we observe a change in the
+position of the emperor. On the one hand, if he was active and
+intelligent enough, he exercised much more personal influence than the
+rulers of the Middle Ages. On the other hand, at the same time, the
+emperors were much closer to their ministers as before. We hear of
+ministers who patted the ruler on the shoulders when they retired from
+an audience; another one fell asleep on the emperor's knee and was not
+punished for this familiarity. The emperor was called "_kuan-chia_"
+(Administrator) and even called himself so. And in the early twelfth
+century an emperor stated "I do not regard the empire as my personal
+property; my job is to guide the people". Financially-minded as the Sung
+dynasty was, the cost of the operation of the palace was calculated, so
+that the emperor had a budget: in 1068 the salaries of all officials in
+the capital amounted to 40,000 strings of money per month, the armies
+100,000, and the emperor's ordinary monthly budget was 70,000 strings.
+For festivals, imperial birthdays, weddings and burials extra allowances
+were made. Thus, the Sung rulers may be called "moderate absolutists"
+and not despots.
+
+One of the first acts of the new Sung emperor, in 963, was a fundamental
+reorganization of the administration of the country. The old system of a
+civil administration and a military administration independent of it was
+brought to an end and the whole administration of the country placed in
+the hands of civil officials. The gentry welcomed this measure and gave
+it full support, because it enabled the influence of the gentry to grow
+and removed the fear of competition from the military, some of whom did
+not belong by birth to the gentry. The generals by whose aid the empire
+had been created were put on pension, or transferred to civil
+employment, as quickly as possible. The army was demobilized, and this
+measure was bound up with the settlement of peasants in the regions
+which war had depopulated, or on new land. Soon after this the revenue
+noticeably increased. Above all, the army was placed directly under the
+central administration, and the system of military governors was thus
+brought to an end. The soldiers became mercenaries of the state, whereas
+in the past there had been conscription. In 975 the army had numbered
+only 378,000, and its cost had not been insupportable. Although the
+numbers increased greatly, reaching 912,000 in 1017 and 1,259,000 in
+1045, this implied no increase in military strength; for men who had
+once been soldiers remained with the army even when they were too old
+for service. Moreover, the soldiers grew more and more exacting; when
+detachments were transferred to another region, for instance, the
+soldiers would not carry their baggage; an army of porters had to be
+assembled. The soldiers also refused to go to regions remote from their
+homes until they were given extra pay. Such allowances gradually became
+customary, and so the military expenditure grew by leaps and bounds
+without any corresponding increase in the striking power of the army.
+
+The government was unable to meet the whole cost of the army out of
+taxation revenue. The attempt was made to cover the expenditure by
+coining fresh money. In connection with the increase in commercial
+capital described above, and the consequent beginning of an industry,
+China's metal production had greatly increased. In 1050 thirteen times
+as much silver, eight times as much copper, and fourteen times as much
+iron was produced as in 800. Thus the circulation of the copper currency
+was increased. The cost of minting, however, amounted in China to about
+75 per cent and often over 100 per cent of the value of the money
+coined. In addition to this, the metal was produced in the south, while
+the capital was in the north. The coin had therefore to be carried a
+long distance to reach the capital and to be sent on to the soldiers in
+the north.
+
+To meet the increasing expenditure, an unexampled quantity of new money
+was put into circulation. The state budget increased from 22,200,000 in
+A.D. 1000 to 150,800,000 in 1021. The Kitan state coined a great deal of
+silver, and some of the tribute was paid to it in silver. The greatly
+increased production of silver led to its being put into circulation in
+China itself. And this provided a new field of speculation, through the
+variations in the rates for silver and for copper. Speculation was also
+possible with the deposit certificates, which were issued in quantities
+by the state from the beginning of the eleventh century, and to which
+the first true paper money was soon added. The paper money and the
+certificates were redeemable at a definite date, but at a reduction of
+at least 3 per cent of their value; this, too, yielded a certain revenue
+to the state.
+
+The inflation that resulted from all these measures brought profit to
+the big merchants in spite of the fact that they had to supply directly
+or indirectly all non-agricultural taxes (in 1160 some 40,000,000
+strings annually), especially the salt tax (50 per cent), wine tax (36
+per cent), tea tax (7 per cent) and customs (7 per cent). Although the
+official economic thinking remained Confucian, i.e. anti-business and
+pro-agrarian, we find in this time insight in price laws, for instance,
+that peace times and/or decrease of population induce deflation. The
+government had always attempted to manipulate the prices by
+interference. Already in much earlier times, again and again, attempts
+had been made to lower the prices by the so-called "ever-normal
+granaries" of the government which threw grain on the market when prices
+were too high and bought grain when prices were low. But now, in
+addition to such measures, we also find others which exhibit a deeper
+insight: in a period of starvation, the scholar and official Fan
+Chung-yen instead of officially reducing grain prices, raised the prices
+in his district considerably. Although the population got angry,
+merchants started to import large amounts of grain; as soon as this
+happened, Fan (himself a big landowner) reduced the price again. Similar
+results were achieved by others by just stimulating merchants to import
+grain into deficit areas.
+
+With the social structure of medieval Europe, similar financial and
+fiscal developments which gave new chances to merchants, eventually led
+to industrial capitalism and industrial society. In China, however, the
+gentry in their capacity of officials hindered the growth of independent
+trade, and permitted its existence only in association with themselves.
+As they also represented landed property, it was in land that the
+newly-formed capital was invested. Thus we see in the Sung period, and
+especially in the eleventh century, the greatest accumulation of estates
+that there had ever been up to then in China.
+
+Many of these estates came into origin as gifts of the emperor to
+individuals or to temples, others were created on hillsides on land
+which belonged to the villages. From this time on, the rest of the
+village commons in China proper disappeared. Villagers could no longer
+use the top-soil of the hills as fertilizer, or the trees as firewood
+and building material. In addition, the hillside estates diverted the
+water of springs and creeks, thus damaging severely the irrigation works
+of the villagers in the plains. The estates _(chuang)_ were controlled
+by appointed managers who often became hereditary managers. The tenants
+on the estates were quite often non-registered migrants, of whom we
+spoke previously as "vagrants", and as such they depended upon the
+managers who could always denounce them to the authorities which would
+lead to punishment because nobody was allowed to leave his home without
+officially changing his registration. Many estates operated mills and
+even textile factories with non-registered weavers. Others seem to have
+specialized in sheep breeding. Present-day village names ending with
+_-chuang_ indicate such former estates. A new development in this period
+were the "clan estates" _(i-chuang)_, created by Fan Chung-yen
+(989-1052) in 1048. The income of these clan estates were used for the
+benefit of the whole clan, were controlled by clan-appointed managers
+and had tax-free status, guaranteed by the government which regarded
+them as welfare institutions. Technically, they might better be called
+corporations because they were similar in structure to some of our
+industrial corporations. Under the Chinese economic system, large-scale
+landowning always proved socially and politically injurious. Up to very
+recent times the peasant who rented his land paid 40-50 per cent of the
+produce to the landowner, who was responsible for payment of the normal
+land tax. The landlord, however, had always found means of evading
+payment. As each district had to yield a definite amount of taxation,
+the more the big landowners succeeded in evading payment the more had to
+be paid by the independent small farmers. These independent peasants
+could then either "give" their land to the big landowner and pay rent to
+him, thus escaping from the attentions of the tax-officer, or simply
+leave the district and secretly enter another one where they were not
+registered. In either case the government lost taxes.
+
+Large-scale landowning proved especially injurious in the Sung period,
+for two reasons. To begin with, the official salaries, which had always
+been small in China, were now totally inadequate, and so the officials
+were given a fixed quantity of land, the yield of which was regarded as
+an addition to salary. This land was free from part of the taxes. Before
+long the officials had secured the liberation of the whole of their land
+from the chief taxes. In the second place, the taxation system was
+simplified by making the amount of tax proportional to the amount of
+land owned. The lowest bracket, however, in this new system of taxation
+comprised more land than a poor peasant would actually own, and this was
+a heavy blow to the small peasant-owners, who in the past had paid a
+proportion of their produce. Most of them had so little land that they
+could barely live on its yield. Their liability to taxation was at all
+times a very heavy burden to them while the big landowners got off
+lightly. Thus this measure, though administratively a saving of
+expense, proved unsocial.
+
+All this made itself felt especially in the south with its great estates
+of tax-evading landowners. Here the remaining small peasant-owners had
+to pay the new taxes or to become tenants of the landowners and lose
+their property. The north was still suffering from the war-devastation
+of the tenth century. As the landlords were always the first sufferers
+from popular uprisings as well as from war, they had disappeared,
+leaving their former tenants as free peasants. From this period on, we
+have enough data to observe a social "law": as the capital was the
+largest consumer, especially of high-priced products such as vegetables
+which could not be transported over long distances, the gentry always
+tried to control the land around the capital. Here, we find the highest
+concentration of landlords and tenants. Production in this circle
+shifted from rice and wheat to mulberry trees for silk, and vegetables
+grown under the trees. These urban demands resulted in the growth of an
+"industrial" quarter on the outskirts of the capital, in which
+especially silk for the upper classes was produced. The next circle also
+contained many landlords, but production was more in staple foods such
+as wheat and rice which could be transported. Exploitation in this
+second circle was not much less than in the first circle, because of
+less close supervision by the authorities. In the third circle we find
+independent subsistence farmers. Some provincial capitals, especially in
+Szechwan, exhibited a similar pattern of circles. With the shift of the
+capital, a complete reorganization appeared: landlords and officials
+gave up their properties, cultivation changed, and a new system of
+circles began to form around the new capital. We find, therefore, the
+grotesque result that the thinly populated province of Shensi in the
+north-west yielded about a quarter of the total revenues of the state:
+it had no large landowners, no wealthy gentry, with their evasion of
+taxation, only a mass of newly-settled small peasants' holdings. For
+this reason the government was particularly interested in that province,
+and closely watched the political changes in its neighbourhood. In 990 a
+man belonging to a sinified Toba family, living on the border of Shensi,
+had made himself king with the support of remnants of Toba tribes. In
+1034 came severe fighting, and in 1038 the king proclaimed himself
+emperor, in the Hsia dynasty, and threatened the whole of north-western
+China. Tribute was now also paid to this state (250,000 strings), but
+the fight against it continued, to save that important province.
+
+These were the main events in internal and external affairs during the
+Sung period until 1068. It will be seen that foreign affairs were of
+much less importance than developments in the country.
+
+
+3 _Reforms and Welfare schemes_
+
+The situation just described was bound to produce a reaction. In spite
+of the inflationary measures the revenue fell, partly in consequence of
+the tax evasions of the great landowners. It fell from 150,000,000 in
+1021 to 116,000,000 in 1065. Expenditure did not fall, and there was a
+constant succession of budget deficits. The young emperor Shen Tsung
+(1068-1085) became convinced that the policy followed by the ruling
+clique of officials and gentry was bad, and he gave his adhesion to a
+small group led by Wang An-shih (1021-1086). The ruling gentry clique
+represented especially the interests of the large tea producers and
+merchants in Szechwan and Kiangsi. It advocated a policy
+of _laisser-faire_ in trade: it held that everything would adjust itself.
+Wang An-shih himself came from Kiangsi and was therefore supported at
+first by the government clique, within which the Kiangsi group was
+trying to gain predominance over the Szechwan group. But Wang An-shih
+came from a poor family, as did his supporters, for whom he quickly
+secured posts. They represented the interests of the small landholders
+and the small dealers. This group succeeded in gaining power, and in
+carrying out a number of reforms, all directed against the monopolist
+merchants. Credits for small peasants were introduced, and officials
+were given bigger salaries, in order to make them independent and to
+recruit officials who were not big landowners. The army was greatly
+reduced, and in addition to the paid soldiery a national militia was
+created. Special attention was paid to the province of Shensi, whose
+conditions were taken more or less as a model.
+
+It seems that one consequence of Wang's reforms was a strong fall in the
+prices, i.e. a deflation; therefore, as soon as the first decrees were
+issued, the large plantation owners and the merchants who were allied to
+them, offered furious opposition. A group of officials and landlords who
+still had large properties in the vicinity of Loyang--at that time a
+quiet cultural centre--also joined them. Even some of Wang An-shih's
+former adherents came out against him. After a few years the emperor was
+no longer able to retain Wang An-shih and had to abandon the new policy.
+How really economic interests were here at issue may be seen from the
+fact that for many of the new decrees which were not directly concerned
+with economic affairs, such, for instance, as the reform of the
+examination system, Wang An-shih was strongly attacked though his
+opponents had themselves advocated them in the past and had no practical
+objection to offer to them. The contest, however, between the two groups
+was not over. The monopolistic landowners and their merchants had the
+upper hand from 1086 to 1102, but then the advocates of the policy
+represented by Wang again came into power for a short time. They had but
+little success to show, as they did not remain in power long enough and,
+owing to the strong opposition, they were never able to make their
+control really effective.
+
+Basically, both groups were against allowing the developing middle class
+and especially the merchants to gain too much freedom, and whatever
+freedom they in fact gained, came through extra-legal or illegal
+practices. A proverb of the time said "People hate their ruler as
+animals hate the net (of the hunter)". The basic laws of medieval times
+which had attempted to create stable social classes remained: down to
+the nineteenth century there were slaves, different classes of serfs or
+"commoners", and free burghers. Craftsmen remained under work
+obligation. Merchants were second-class people. Each class had to wear
+dresses of special colour and material, so that the social status of a
+person, even if he was not an official and thus recognizable by his
+insignia, was immediately clear when one saw him. The houses of
+different classes differed from one another by the type of tiles, the
+decorations of the doors and gates; the size of the main reception room
+of the house was prescribed and was kept small for all non-officials;
+and even size and form of the tombs was prescribed in detail for each
+class. Once a person had a certain privilege, he and his descendants
+even if they had lost their position in the bureaucracy, retained these
+privileges over generations. All burghers were admitted to the
+examinations and, thus, there was a certain social mobility allowed
+within the leading class of the society, and a new "small gentry"
+developed by this system.
+
+Yet, the wars of the transition period had created a feeling of
+insecurity within the gentry. The eleventh and twelfth centuries were
+periods of extensive social legislation in order to give the lower
+classes some degree of security and thus prevent them from attempting to
+upset the status quo. In addition to the "ever-normal granaries" of the
+state, "social granaries" were revived, into which all farmers of a
+village had to deliver grain for periods of need. In 1098 a bureau for
+housing and care was created which created homes for the old and
+destitute; 1102 a bureau for medical care sent state doctors to homes
+and hospitals as well as to private homes to care for poor patients;
+from 1104 a bureau of burials took charge of the costs of burials of
+poor persons. Doctors as craftsmen were under corvee obligation and
+could easily be ordered by the state. Often, however, Buddhist priests
+took charge of medical care, burial costs and hospitalization. The state
+gave them premiums if they did good work. The Ministry of Civil Affairs
+made the surveys of cases and costs, while the Ministry of Finances paid
+the costs. We hear of state orphanages in 1247, a free pharmacy in 1248,
+state hospitals were reorganized in 1143. In 1167 the government gave
+low-interest loans to poor persons and (from 1159 on) sold cheap grain
+from state granaries. Fire protection services in large cities were
+organized. Finally, from 1141 on, the government opened up to
+twenty-three geisha houses for the entertainment of soldiers who were
+far from home in the capital and had no possibility for other
+amusements. Public baths had existed already some centuries ago; now
+Buddhist temples opened public baths as social service.
+
+Social services for the officials were also extended. Already from the
+eighth century on, offices were closed every tenth day and during
+holidays, a total of almost eighty days per year. Even criminals got
+some leave and exilees had the right of a home leave once every three
+years. The pensions for retired officials after the age of seventy which
+amounted to 50 per cent of the salary from the eighth century on, were
+again raised, though widows did not receive benefits.
+
+
+4 _Cultural situation (philosophy, religion, literature, painting)_
+
+Culturally the eleventh century was the most active period China had so
+far experienced, apart from the fourth century B.C. As a consequence of
+the immensely increased number of educated people resulting from the
+invention of printing, circles of scholars and private schools set up by
+scholars were scattered all over the country. The various philosophical
+schools differed in their political attitude and in the choice of
+literary models with which they were politically in sympathy. Thus Wang
+An-shih and his followers preferred the rigid classic style of Han Yue
+(768-825) who lived in the T'ang period and had also been an opponent of
+the monopolistic tendencies of pre-capitalism. For the Wang An-shih
+group formed itself into a school with a philosophy of its own and with
+its own commentaries on the classics. As the representative of the small
+merchants and the small landholders, this school advocated policies of
+state control and specialized in the study and annotation of classical
+books which seemed to favour their ideas.
+
+But the Wang An-shih school was unable to hold its own against the
+school that stood for monopolist trade capitalism, the new philosophy
+described as Neo-Confucianism or the Sung school. Here Confucianism and
+Buddhism were for the first time united. In the last centuries,
+Buddhistic ideas had penetrated all of Chinese culture: the slaughtering
+of animals and the executions of criminals were allowed only on certain
+days, in accordance with Buddhist rules. Formerly, monks and nuns had to
+greet the emperor as all citizens had to do; now they were exempt from
+this rule. On the other hand, the first Sung emperor was willing to
+throw himself to the earth in front of the Buddha statues, but he was
+told he did not have to do it because he was the "Buddha of the present
+time" and thus equal to the God. Buddhist priests participated in the
+celebrations on the emperor's birthday, and emperors from time to time
+gave free meals to large crowds of monks. Buddhist thought entered the
+field of justice: in Sung time we hear complaints that judges did not
+apply the laws and showed laxity, because they hoped to gain religious
+merit by sparing the lives of criminals. We had seen how the main
+current of Buddhism had changed from a revolutionary to a reactionary
+doctrine. The new greater gentry of the eleventh century adopted a
+number of elements of this reactionary Buddhism and incorporated them in
+the Confucianist system. This brought into Confucianism a metaphysic
+which it had lacked in the past, greatly extending its influence on the
+people and at the same time taking the wind out of the sails of
+Buddhism. The greater gentry never again placed themselves on the side
+of the Buddhist Church as they had done in the T'ang period. When they
+got tired of Confucianism, they interested themselves in Taoism of the
+politically innocent, escapist, meditative Buddhism.
+
+Men like Chou Tun-i (1017-1073) and Chang Tsai (1020-1077) developed a
+cosmological theory which could measure up with Buddhistic cosmology and
+metaphysics. But perhaps more important was the attempt of the
+Neo-Confucianists to explain the problem of evil. Confucius and his
+followers had believed that every person could perfect himself by
+overcoming the evil in him. As the good persons should be the _elite_
+and rule the others, theoretically everybody who was a member of human
+society, could move up and become a leader. It was commonly assumed that
+human nature is good or indifferent, and that human feelings are evil
+and have to be tamed and educated. When in Han time with the
+establishment of the gentry society and its social classes, the idea
+that any person could move up to become a leader if he only perfected
+himself, appeared to be too unrealistic, the theory of different grades
+of men was formed which found its clearest formulation by Han Yue: some
+people have a good, others a neutral, and still others a bad nature;
+therefore, not everybody can become a leader. The Neo-Confucianists,
+especially Ch'eng Hao (1032-1085) and Ch'eng I (1033-1107), tried to
+find the reasons for this inequality. According to them, nature is
+neutral; but physical form originates with the combination of nature
+with Material Force (_ch'i_). This combination produces individuals in
+which there is a lack of balance or harmony. Man should try to transform
+physical form and recover original nature. The creative force by which
+such a transformation is possible is _jen_, love, the creative,
+life-giving quality of nature itself.
+
+It should be remarked that Neo-Confucianism accepts an inequality of
+men, as early Confucianism did; and that _jen_, love, in its practical
+application has to be channelled by _li_, the system of rules of
+behaviour. The _li_, however, always started from the idea of a
+stratified class society. Chu Hsi (1130-1200), the famous scholar and
+systematizer of Neo-Confucian thoughts, brought out rules of behaviour
+for those burghers who did not belong to the gentry and could not,
+therefore, be expected to perform all _li_; his "simplified _li_"
+exercized a great influence not only upon contemporary China, but also
+upon Korea and Annam and there strengthened a hitherto looser
+patriarchal, patrilinear family system.
+
+The Neo-Confucianists also compiled great analytical works of history
+and encyclopaedias whose authority continued for many centuries. They
+interpreted in these works all history in accordance with their outlook;
+they issued new commentaries on all the classics in order to spread
+interpretations that served their purposes. In the field of commentary
+this school of thought was given perfect expression by Chu Hsi, who also
+wrote one of the chief historical works. Chu Hsi's commentaries became
+standard works for centuries, until the beginning of the twentieth
+century. Yet, although Chu became the symbol of conservativism, he was
+quite interested in science, and in this field he had an open eye for
+changes.
+
+The Sung period is so important, because it is also the time of the
+greatest development of Chinese science and technology. Many new
+theories, but also many practical, new inventions were made. Medicine
+made substantial progress. About 1145 the first autopsy was made, on the
+body of a South Chinese captive. In the field of agriculture, new
+varieties of rice were developed, new techniques applied, new plants
+introduced.
+
+The Wang An-shih school of political philosophy had opponents also in
+the field of literary style, the so-called Shu Group (Shu means the
+present province of Szechwan), whose leaders were the famous Three Sus.
+The greatest of the three was Su Tung-p'o (1036-1101); the others were
+his father, Su Shih, and his brother, Su Che. It is characteristic of
+these Shu poets, and also of the Kiangsi school associated with them,
+that they made as much use as they could of the vernacular. It had not
+been usual to introduce the phrases of everyday life into poetry, but Su
+Tung-p'o made use of the most everyday expressions, without diminishing
+his artistic effectiveness by so doing; on the contrary, the result was
+to give his poems much more genuine feeling than those of other poets.
+These poets were in harmony with the writings of the T'ang period poet
+Po Chue-i (772-846) and were supported, like Neo-Confucianism, by
+representatives of trade capitalism. Politically, in their conservatism
+they were sharply opposed to the Wang An-shih group. Midway between the
+two stood the so-called Loyang-School, whose greatest leaders were the
+historian and poet Ssu-ma Kuang (1019-1086) and the philosopher-poet
+Shao Yung (1011-1077).
+
+In addition to its poems, the Sung literature was famous for the
+so-called _pi-chi_ or miscellaneous notes. These consist of short notes
+of the most various sort, notes on literature, art, politics,
+archaeology, all mixed together. The _pi-chi_ are a treasure-house for
+the history of the culture of the time; they contain many details, often
+of importance, about China's neighbouring peoples. They were intended to
+serve as suggestions for learned conversation when scholars came
+together; they aimed at showing how wide was a scholar's knowledge. To
+this group we must add the accounts of travel, of which some of great
+value dating from the Sung period are still extant; they contain
+information of the greatest importance about the early Mongols and also
+about Turkestan and South China.
+
+While the Sung period was one of perfection in all fields of art,
+painting undoubtedly gained its highest development in this time. We
+find now two main streams in painting: some painters preferred the
+decorative, pompous, but realistic approach, with great attention to the
+detail. Later theoreticians brought this school in connection with one
+school of meditative Buddhism, the so-called northern school. Men who
+belonged to this school of painting often were active court officials or
+painted for the court and for other representative purposes. One of the
+most famous among them, Li Lung-mien (ca. 1040-1106), for instance
+painted the different breeds of horses in the imperial stables. He was
+also famous for his Buddhistic figures. Another school, later called the
+southern school, regarded painting as an intimate, personal expression.
+They tried to paint inner realities and not outer forms. They, too, were
+educated, but they did not paint for anybody. They painted in their
+country houses when they felt in the mood for expression. Their
+paintings did not stress details, but tried to give the spirit of a
+landscape, for in this field they excelled most. Best known of them is
+Mi Fei (ca. 1051-1107), a painter as well as a calligrapher, art
+collector, and art critic. Typically, his paintings were not much liked
+by the emperor Hui Tsung (ruled 1101-1125) who was one of the greatest
+art collectors and whose catalogue of his collection became very famous.
+He created the Painting Academy, an institution which mainly gave
+official recognition to painters in form of titles which gave the
+painter access to and status at court. Ma Yuean (_c_. 1190-1224), member
+of a whole painter's family, and Hsia Kui (_c_. 1180-1230) continued the
+more "impressionistic" tradition. Already in Sung time, however, many
+painters could and did paint in different styles, "copying", i.e.
+painting in the way of T'ang painters, in order to express their
+changing emotions by changed styles, a fact which often makes the dating
+of Chinese paintings very difficult.
+
+Finally, art craft has left us famous porcelains of the Sung period. The
+most characteristic production of that time is the green porcelain known
+as "Celadon". It consists usually of a rather solid paste, less like
+porcelain than stoneware, covered with a green glaze; decoration is
+incised, not painted, under the glaze. In the Sung period, however, came
+the first pure white porcelain with incised ornamentation under the
+glaze, and also with painting on the glaze. Not until near the end of
+the Sung period did the blue and white porcelain begin (blue painting on
+a white ground). The cobalt needed for this came from Asia Minor. In
+exchange for the cobalt, Chinese porcelain went to Asia Minor. This
+trade did not, however, grow greatly until the Mongol epoch; later
+really substantial orders were placed in China, the Chinese executing
+the patterns wanted in the West.
+
+
+5 _Military collapse_
+
+In foreign affairs the whole eleventh century was a period of diplomatic
+manoeuvring, with every possible effort to avoid war. There was
+long-continued fighting with the Kitan, and at times also with the
+Turco-Tibetan Hsia, but diplomacy carried the day: tribute was paid to
+both enemies, and the effort was made to stir up the Kitan against the
+Hsia and vice versa; the other parties also intrigued in like fashion.
+In 1110 the situation seemed to improve for the Sung in this game, as a
+new enemy appeared in the rear of the Liao (Kitan), the Tungusic Juchen
+(Jurchen), who in the past had been more or less subject to the Kitan.
+In 1114 the Juchen made themselves independent and became a political
+factor. The Kitan were crippled, and it became an easy matter to attack
+them. But this pleasant situation did not last long. The Juchen
+conquered Peking, and in 1125 the Kitan empire was destroyed; but in the
+same year the Juchen marched against the Sung. In 1126 they captured
+the Sung capital; the emperor and his art-loving father, who had retired
+a little earlier, were taken prisoner, and the Northern Sung dynasty was
+at an end.
+
+The collapse came so quickly because the whole edifice of security
+between the Kitan and the Sung was based on a policy of balance and of
+diplomacy. Neither state was armed in any way, and so both collapsed at
+the first assault from a military power.
+
+
+(2) The Liao (Kitan) dynasty in the north (937-1125)
+
+1 _Social structure. Claim to the Chinese imperial throne_
+
+The Kitan, a league of tribes under the leadership of an apparently
+Mongol tribe, had grown steadily stronger in north-eastern Mongolia
+during the T'ang epoch. They had gained the allegiance of many tribes in
+the west and also in Korea and Manchuria, and in the end, about A.D.
+900, had become the dominant power in the north. The process of growth
+of this nomad power was the same as that of other nomad states, such as
+the Toba state, and therefore need not be described again in any detail
+here. When the T'ang dynasty was deposed, the Kitan were among the
+claimants to the Chinese throne, feeling fully justified in their claim
+as the strongest power in the Far East. Owing to the strength of the
+Sha-t'o Turks, who themselves claimed leadership in China, the expansion
+of the Kitan empire slowed down. In the many battles the Kitan suffered
+several setbacks. They also had enemies in the rear, a state named
+Po-hai, ruled by Tunguses, in northern Korea, and the new Korean state
+of Kao-li, which liberated itself from Chinese overlordship in 919.
+
+In 927 the Kitan finally destroyed Po-hai. This brought many Tungus
+tribes, including the Jurchen (Juchen), under Kitan dominance. Then, in
+936, the Kitan gained the allegiance of the Turkish general Shih
+Ching-t'ang, and he was set on the Chinese throne as a feudatory of the
+Kitan. It was hoped now to secure dominance over China, and accordingly
+the Mongol name of the dynasty was altered to "Liao dynasty" in 937,
+indicating the claim to the Chinese throne. Considerable regions of
+North China came at once under the direct rule of the Liao. As a whole,
+however, the plan failed: the feudatory Shih Ching-t'ang tried to make
+himself independent; Chinese fought the Liao; and the Chinese sceptre
+soon came back into the hands of a Sha-t'o dynasty (947). This ended the
+plans of the Liao to conquer the whole of China.
+
+For this there were several reasons. A nomad people was again ruling
+the agrarian regions of North China. This time the representatives of
+the ruling class remained military commanders, and at the same time
+retained their herds of horses. As early as 1100 they had well over
+10,000 herds, each of more than a thousand animals. The army commanders
+had been awarded large regions which they themselves had conquered. They
+collected the taxes in these regions, and passed on to the state only
+the yield of the wine tax. On the other hand, in order to feed the
+armies, in which there were now many Chinese soldiers, the frontier
+regions were settled, the soldiers working as peasants in times of
+peace, and peasants being required to contribute to the support of the
+army. Both processes increased the interest of the Kitan ruling class in
+the maintenance of peace. That class was growing rich, and preferred
+living on the income from its properties or settlements to going to war,
+which had become a more and more serious matter after the founding of
+the great Sung empire, and was bound to be less remunerative. The herds
+of horses were a further excellent source of income, for they could be
+sold to the Sung, who had no horses. Then, from 1004 onward, came the
+tribute payments from China, strengthening the interest in the
+maintenance of peace. Thus great wealth accumulated in Peking, the
+capital of the Liao; in this wealth the whole Kitan ruling class
+participated, but the tribes in the north, owing to their remoteness,
+had no share in it. In 988 the Chinese began negotiations, as a move in
+their diplomacy, with the ruler of the later realm of the Hsia; in 990
+the Kitan also negotiated with him, and they soon became a third partner
+in the diplomatic game. Delegations were continually going from one to
+another of the three realms, and they were joined by trade missions.
+Agreement was soon reached on frontier questions, on armament, on
+questions of demobilization, on the demilitarization of particular
+regions, and so on, for the last thing anyone wanted was to fight.
+
+Then came the rising of the tribes of the north. They had remained
+military tribes; of all the wealth nothing reached them, and they were
+given no military employment, so that they had no hope of improving
+their position. The leadership was assumed by the tribe of the Juchen
+(1114). In a campaign of unprecedented rapidity they captured Peking,
+and the Liao dynasty was ended (1125), a year earlier, as we know, than
+the end of the Sung.
+
+
+2 _The State of the Kara-Kitai_
+
+A small troop of Liao, under the command of a member of the ruling
+family, fled into the west. They were pursued without cessation, but
+they succeeded in fighting their way through. After a few years of
+nomad life in the mountains of northern Turkestan, they were able to
+gain the collaboration of a few more tribes, and with them they then
+invaded western Turkestan. There they founded the "Western Liao" state,
+or, as the western sources call it, the "Kara-Kitai" state, with its
+capital at Balasagun. This state must not be regarded as a purely Kitan
+state. The Kitan formed only a very thin stratum, and the real power was
+in the hands of autochthonous Turkish tribes, to whom the Kitan soon
+became entirely assimilated in culture. Thus the history of this state
+belongs to that of western Asia, especially as the relations of the
+Kara-Kitai with the Far East were entirely broken off. In 1211 the state
+was finally destroyed.
+
+
+(3) The Hsi-Hsia State in the north (1038-1227)
+
+1 _Continuation of Turkish traditions_
+
+After the end of the Toba state in North China in 550, some tribes of
+the Toba, including members of the ruling tribe with the tribal name
+Toba, withdrew to the borderland between Tibet and China, where they
+ruled over Tibetan and Tangut tribes. At the beginning of the T'ang
+dynasty this tribe of Toba joined the T'ang. The tribal leader received
+in return, as a distinction, the family name of the T'ang dynasty, Li.
+His dependence on China was, however, only nominal and soon came
+entirely to an end. In the tenth century the tribe gained in strength.
+It is typical of the long continuance of old tribal traditions that a
+leader of the tribe in the tenth century married a woman belonging to
+the family to which the khans of the Hsiung-nu and all Turkish ruling
+houses had belonged since 200 B.C. With the rise of the Kitan in the
+north and of the Tibetan state in the south, the tribe decided to seek
+the friendship of China. Its first mission, in 982, was well received.
+Presents were sent to the chieftain of the tribe, he was helped against
+his enemies, and he was given the status of a feudatory of the Sung; in
+988 the family name of the Sung, Chao, was conferred on him. Then the
+Kitan took a hand. They over-trumped the Sung by proclaiming the tribal
+chieftain king of Hsia (990). Now the small state became interesting. It
+was pampered by Liao and Sung in the effort to win it over or to keep
+its friendship. The state grew; in 1031 its ruler resumed the old family
+name of the Toba, thus proclaiming his intention to continue the Toba
+empire; in 1034 he definitely parted from the Sung, and in 1038 he
+proclaimed himself emperor in the Hsia dynasty, or, as the Chinese
+generally called it, the "HsiHsia", which means the Western Hsia. This
+name, too, had associations with the old Hun tradition; it recalled
+the state of Ho-lien P'o-p'o in the early fifth century. The state soon
+covered the present province of Kansu, small parts of the adjoining
+Tibetan territory, and parts of the Ordos region. It attacked the
+province of Shensi, but the Chinese and the Liao attached the greatest
+importance to that territory. Thus that was the scene of most of the
+fighting.
+
+[Illustration: 12 Ancient tiled pagoda at Chengting (Hopei). _Photo H.
+Hammer-Morrisson._]
+
+[Illustration: 13 Horse-training. Painting by Li Lung-mien. Late Sung
+period. _Manchu Royal House Collection_.]
+
+The Hsia state had a ruling group of Toba, but these Toba had become
+entirely tibetanized. The language of the country was Tibetan; the
+customs were those of the Tanguts. A script was devised, in imitation of
+the Chinese script. Only in recent years has it begun to be studied.
+
+In 1125, when the Tungusic Juchen destroyed the Liao, the Hsia also lost
+large territories in the east of their country, especially the province
+of Shensi, which they had conquered; but they were still able to hold
+their own. Their political importance to China, however, vanished, since
+they were now divided from southern China and as partners were no longer
+of the same value to it. Not until the Mongols became a power did the
+Hsia recover some of their importance; but they were among the first
+victims of the Mongols: in 1209 they had to submit to them, and in 1227,
+the year of the death of Genghiz Khan, they were annihilated.
+
+
+(4) The empire of the Southern Sung dynasty (1127-1279)
+
+1 _Foundation_
+
+In the disaster of 1126, when the Juchen captured the Sung capital and
+destroyed the Sung empire, a brother of the captive emperor escaped. He
+made himself emperor in Nanking and founded the "Southern Sung" dynasty,
+whose capital was soon shifted to the present Hangchow. The foundation
+of the new dynasty was a relatively easy matter, and the new state was
+much more solid than the southern kingdoms of 800 years earlier, for the
+south had already been economically supreme, and the great families that
+had ruled the state were virtually all from the south. The loss of the
+north, i.e. the area north of the Yellow River and of parts of Kiangsu,
+was of no importance to this governing group and meant no loss of
+estates to it. Thus the transition from the Northern to the Southern
+Sung was not of fundamental importance. Consequently the Juchen had no
+chance of success when they arranged for Liu Yue, who came of a northern
+Chinese family of small peasants and had become an official, to be
+proclaimed emperor in the "Ch'i" dynasty in 1130. They hoped that this
+puppet might attract the southern Chinese, but seven years later they
+dropped him.
+
+
+2 _Internal situation_
+
+As the social structure of the Southern Sung empire had not been
+changed, the country was not affected by the dynastic development. Only
+the policy of diplomacy could not be pursued at once, as the Juchen were
+bellicose at first and would not negotiate. There were therefore several
+battles at the outset (in 1131 and 1134), in which the Chinese were
+actually the more successful, but not decisively. The Sung military
+group was faced as early as in 1131 with furious opposition from the
+greater gentry, led by Ch'in K'ui, one of the largest landowners of all.
+His estates were around Nanking, and so in the deployment region and the
+region from which most of the soldiers had to be drawn for the defensive
+struggle. Ch'in K'ui secured the assassination of the leader of the
+military party, General Yo Fei, in 1141, and was able to conclude peace
+with the Juchen. The Sung had to accept the status of vassals and to pay
+annual tribute to the Juchen. This was the situation that best pleased
+the greater gentry. They paid hardly any taxes (in many districts the
+greater gentry directly owned more than 30 per cent of the land, in
+addition to which they had indirect interests in the soil), and they
+were now free from the war peril that ate into their revenues. The
+tribute amounted only to 500,000 strings of cash. Popular literature,
+however, to this day represents Ch'in K'ui as a traitor and Yo Fei as a
+national hero.
+
+In 1165 it was agreed between the Sung and the Juchen to regard each
+other as states with equal rights. It is interesting to note here that
+in the treaties during the Han time with the Hsiung-nu, the two
+countries called one another brothers--with the Chinese ruler as the
+older and thus privileged brother; but the treaties since the T'ang time
+with northern powers and with Tibetans used the terms father-in-law and
+son-in-law. The foreign power was the "father-in-law", i.e. the older
+and, therefore, in a certain way the more privileged; the Chinese were
+the "son-in-law", the representative of the paternal lineage and,
+therefore, in another respect also the more privileged! In spite of such
+agreements with the Juchen, fighting continued, but it was mainly of the
+character of frontier engagements. Not until 1204 did the military
+party, led by Han T'o-wei, regain power; it resolved upon an active
+policy against the north. In preparation for this a military reform was
+carried out. The campaign proved a disastrous failure, as a result of
+which large territories in the north were lost. The Sung sued for
+peace; Han T'o-wei's head was cut off and sent to the Juchen. In this
+way peace was restored in 1208. The old treaty relationship was now
+resumed, but the relations between the two states remained tense.
+Meanwhile the Sung observed with malicious pleasure how the Mongols were
+growing steadily stronger, first destroying the Hsia state and then
+aiming the first heavy blows against the Juchen. In the end the Sung
+entered into alliance with the Mongols (1233) and joined them in
+attacking the Juchen, thus hastening the end of the Juchen state.
+
+The Sung now faced the Mongols, and were defenceless against them. All
+the buffer states had gone. The Sung were quite without adequate
+military defence. They hoped to stave off the Mongols in the same way as
+they had met the Kitan and the Juchen. This time, however, they
+misjudged the situation. In the great operations begun by the Mongols in
+1273 the Sung were defeated over and over again. In 1276 their capital
+was taken by the Mongols and the emperor was made prisoner. For three
+years longer there was a Sung emperor, in flight from the Mongols, until
+the last emperor perished near Macao in South China.
+
+
+3 _Cultural situation; reasons for the collapse_
+
+The Southern Sung period was again one of flourishing culture. The
+imperial court was entirely in the power of the greater gentry; several
+times the emperors, who personally do not deserve individual mention,
+were compelled to abdicate. They then lived on with a court of their
+own, devoting themselves to pleasure in much the same way as the
+"reigning" emperor. Round them was a countless swarm of poets and
+artists. Never was there a time so rich in poets, though hardly one of
+them was in any way outstanding. The poets, unlike those of earlier
+times, belonged to the lesser gentry who were suffering from the
+prevailing inflation. Salaries bore no relation to prices. Food was not
+dear, but the things which a man of the upper class ought to have were
+far out of reach: a big house cost 2,000 strings of cash, a concubine
+800 strings. Thus the lesser gentry and the intelligentsia all lived on
+their patrons among the greater gentry--with the result that they were
+entirely shut out of politics. This explains why the literature of the
+time is so unpolitical, and also why scarcely any philosophical works
+appeared. The writers took refuge more and more in romanticism and
+flight from realities.
+
+The greater gentry, on the other hand, led a very elegant life, building
+themselves magnificent palaces in the capital. They also speculated in
+every direction. They speculated in land, in money, and above all in
+the paper money that was coming more and more into use. In 1166 the
+paper circulation exceeded the value of 10,000,000 strings!
+
+It seems that after 1127 a good number of farmers had left Honan and the
+Yellow River plains when the Juchen conquered these places and showed
+little interest in fostering agriculture; more left the border areas of
+Southern Sung because of permanent war threat. Many of these lived
+miserably as tenants on the farms of the gentry between Nanking and
+Hangchow. Others migrated farther to the south, across Kiangsi into
+southern Fukien. These migrants seem to have been the ancestors of the
+Hakka which in the following centuries continued their migration towards
+the south and who from the nineteenth century on were most strongly
+concentrated in Kwangtung and Kwangsi provinces as free farmers on hill
+slopes or as tenants of local landowners in the plains.
+
+The influx of migrants and the increase of tenants and their poverty
+seriously threatened the state and cut down its defensive strength more
+and more.
+
+At this stage, Chia Ssu-tao drafted a reform law. Chia had come to the
+court through his sister becoming the emperor's concubine, but he
+himself belonged to the lesser gentry. His proposal was that state funds
+should be applied to the purchase of land in the possession of the
+greater gentry over and above a fixed maximum. Peasants were to be
+settled on this land, and its yield was to belong to the state, which
+would be able to use it to meet military expenditure. In this way the
+country's military strength was to be restored. Chia's influence lasted
+just ten years, until 1275. He began putting the law into effect in the
+region south of Nanking, where the principal estates of the greater
+gentry were then situated. He brought upon himself, of course, the
+mortal hatred of the greater gentry, and paid for his action with his
+life. The emperor, in entering upon this policy, no doubt had hoped to
+recover some of his power, but the greater gentry brought him down. The
+gentry now openly played into the hands of the approaching Mongols, so
+hastening the final collapse of the Sung. The peasants and the lesser
+gentry would have fought the Mongols if it had been possible; but the
+greater gentry enthusiastically went over to the Mongols, hoping to save
+their property and so their influence by quickly joining the enemy. On a
+long view they had not judged badly. The Mongols removed the members of
+the gentry from all political posts, but left them their estates; and
+before long the greater gentry reappeared in political life. And when,
+later, the Mongol empire in China was brought down by a popular rising,
+the greater gentry showed themselves to be the most faithful allies of
+the Mongols!
+
+
+(5) The empire of the Juchen in the north (1115-1234)
+
+1 _Rapid expansion from northern Korea to the Yangtze_
+
+The Juchen in the past had been only a small league of Tungus tribes,
+whose name is preserved in that of the present Tungus tribe of the
+Jurchen, which came under the domination of the Kitan after the collapse
+of the state of Po-hai in northern Korea. We have already briefly
+mentioned the reasons for their rise. After their first successes
+against the Kitan (1114), their chieftain at once proclaimed himself
+emperor (1115), giving his dynasty the name "Chin" (The Golden). The
+Chin quickly continued their victorious progress. In 1125 the Kitan
+empire was destroyed. It will be remembered that the Sung were at once
+attacked, although they had recently been allied with the Chin against
+the Kitan. In 1126 the Sung capital was taken. The Chin invasions were
+pushed farther south, and in 1130 the Yangtze was crossed. But the Chin
+did not hold the whole of these conquests. Their empire was not yet
+consolidated. Their partial withdrawal closed the first phase of the
+Chin empire.
+
+
+2 _United front of all Chinese_
+
+But a few years after this maximum expansion, a withdrawal began which
+went on much more quickly than usual in such cases. The reasons were to
+be found both in external and in internal politics. The Juchen had
+gained great agrarian regions in a rapid march of conquest. Once more
+great cities with a huge urban population and immense wealth had fallen
+to alien conquerors. Now the Juchen wanted to enjoy this wealth as the
+Kitan had done before them. All the Juchen people counted as citizens of
+the highest class; they were free from taxation and only liable to
+military service. They were entitled to take possession of as much
+cultivable land as they wanted; this they did, and they took not only
+the "state domains" actually granted to them but also peasant
+properties, so that Chinese free peasants had nothing left but the worst
+fields, unless they became tenants on Juchen estates. A united front was
+therefore formed between all Chinese, both peasants and landowning
+gentry, against the Chin, such as it had not been possible to form
+against the Kitan. This made an important contribution later to the
+rapid collapse of the Chin empire.
+
+The Chin who had thus come into possession of the cultivable land and at
+the same time of the wealth of the towns, began a sort of competition
+with each other for the best winnings, especially after the government
+had returned to the old Sung capital, Pien-liang (now K'aifeng, in
+eastern Honan). Serious crises developed in their own ranks. In 1149 the
+ruler was assassinated by his chancellor (a member of the imperial
+family), who in turn was murdered in 1161. The Chin thus failed to
+attain what had been secured by all earlier conquerors, a reconciliation
+of the various elements of the population and the collaboration of at
+least one group of the defeated Chinese.
+
+
+3 _Start of the Mongol empire_
+
+The cessation of fighting against the Sung brought no real advantage in
+external affairs, though the tribute payments appealed to the greed of
+the rulers and were therefore welcomed. There could be no question of
+further campaigns against the south, for the Hsia empire in the west had
+not been destroyed, though some of its territory had been annexed; and a
+new peril soon made its appearance in the rear of the Chin. When in the
+tenth century the Sha-t'o Turks had had to withdraw from their
+dominating position in China, because of their great loss of numbers and
+consequently of strength, they went back into Mongolia and there united
+with the Ta-tan (Tatars), among whom a new small league of tribes had
+formed towards the end of the eleventh century, consisting mainly of
+Mongols and Turks. In 1139 one of the chieftains of the Juchen rebelled
+and entered into negotiations with the South Chinese. He was killed, but
+his sons and his whole tribe then rebelled and went into Mongolia, where
+they made common cause with the Mongols. The Chin pursued them, and
+fought against them and against the Mongols, but without success.
+Accordingly negotiations were begun, and a promise was given to deliver
+meat and grain every year and to cede twenty-seven military strongholds.
+A high title was conferred on the tribal leader of the Mongols, in the
+hope of gaining his favour. He declined it, however, and in 1147 assumed
+the title of emperor of the "greater Mongol empire". This was the
+beginning of the power of the Mongols, who remained thereafter a
+dangerous enemy of the Chin in the north, until in 1189 Genghiz Khan
+became their leader and made the Mongols the greatest power of central
+Asia. In any case, the Chin had reason to fear the Mongols from 1147
+onward, and therefore were the more inclined to leave the Sung in peace.
+
+In 1210 the Mongols began the first great assault against the Chin, the
+moment they had conquered the Hsia. In the years 1215-17 the Mongols
+took the military key-positions from the Chin. After that there could be
+no serious defence of the Chin empire. There came a respite only because
+the Mongols had turned against the West. But in 1234 the empire finally
+fell to the Mongols.
+
+Many of the Chin entered the service of the Mongols, and with their
+permission returned to Manchuria; there they fell back to the cultural
+level of a warlike nomad people. Not until the sixteenth century did
+these Tunguses recover, reorganize, and appear again in history this
+time under the name of Manchus.
+
+The North Chinese under Chin rule did not regard the Mongols as enemies
+of their country, but were ready at once to collaborate with them. The
+Mongols were even more friendly to them than to the South Chinese, and
+treated them rather better.
+
+
+
+
+Chapter Ten
+
+THE PERIOD OF ABSOLUTISM
+
+
+
+(A) The Mongol Epoch (1280-1368)
+
+
+1 _Beginning of new foreign rules_
+
+During more than half of the third period of "Modern Times" which now
+began, China was under alien rule. Of the 631 years from 1280 to 1911,
+China was under national rulers for 276 years and under alien rule for
+355. The alien rulers were first the Mongols, and later the Tungus
+Manchus. It is interesting to note that the alien rulers in the earlier
+period came mainly from the north-west, and only in modern times did
+peoples from the north-east rule over China. This was due in part to the
+fact that only peoples who had attained a certain level of civilization
+were capable of dominance. In antiquity and the Middle Ages, eastern
+Mongolia and Manchuria were at a relatively low level of civilization,
+from which they emerged only gradually through permanent contact with
+other nomad peoples, especially Turks. We are dealing here, of course,
+only with the Mongol epoch in China and not with the great Mongol
+empire, so that we need not enter further into these questions.
+
+Yet another point is characteristic: the Mongols were the first alien
+people to rule the whole of China; the Manchus, who appeared in the
+seventeenth century, were the second and last. All alien peoples before
+these two ruled only parts of China. Why was it that the Mongols were
+able to be so much more successful than their predecessors? In the first
+place the Mongol political league was numerically stronger than those of
+the earlier alien peoples; secondly, the military organization and
+technical equipment of the Mongols were exceptionally advanced for their
+day. It must be borne in mind, for instance, that during their many
+years of war against the Sung dynasty in South China the Mongols already
+made use of small cannon in laying siege to towns. We have no exact
+knowledge of the number of Mongols who invaded and occupied China, but
+it is estimated that there were more than a million Mongols living in
+China. Not all of them, of course, were really Mongols! The name covered
+Turks, Tunguses, and others; among the auxiliaries of the Mongols were
+Uighurs, men from Central Asia and the Middle East, and even Europeans.
+When the Mongols attacked China they had the advantage of all the arts
+and crafts and all the new technical advances of western and central
+Asia and of Europe. Thus they had attained a high degree of technical
+progress, and at the same time their number was very great.
+
+
+2 "_Nationality legislation_"
+
+It was only after the Hsia empire in North China, and then the empire of
+the Juchen, had been destroyed by the Mongols, and only after long and
+remarkably modern tactical preparation, that the Mongols conquered South
+China, the empire of the Sung dynasty. They were now faced with the
+problem of ruling their great new empire. The conqueror of that empire,
+Kublai, himself recognized that China could not be treated in quite the
+same way as the Mongols' previous conquests; he therefore separated the
+empire in China from the rest of the Mongol empire. Mongol China became
+an independent realm within the Mongol empire, a sort of Dominion. The
+Mongol rulers were well aware that in spite of their numerical strength
+they were still only a minority in China, and this implied certain
+dangers. They therefore elaborated a "nationality legislation", the
+first of its kind in the Far East. The purpose of this legislation was,
+of course, to be the protection of the Mongols. The population of
+conquered China was divided into four groups--(1) Mongols, themselves
+falling into four sub-groups (the oldest Mongol tribes, the White
+Tatars, the Black Tatars, the Wild Tatars); (2) Central Asian
+auxiliaries (Naimans, Uighurs, and various other Turkish people,
+Tanguts, and so on); (3) North Chinese; (4) South Chinese. The Mongols
+formed the privileged ruling class. They remained militarily organized,
+and were distributed in garrisons over all the big towns of China as
+soldiers, maintained by the state. All the higher government posts were
+reserved for them, so that they also formed the heads of the official
+staffs. The auxiliary peoples were also admitted into the government
+service; they, too, had privileges, but were not all soldiers but in
+many cases merchants, who used their privileged position to promote
+business. Not a few of these merchants were Uighurs and Mohammedans;
+many Uighurs were also employed as clerks, as the Mongols were very
+often unable to read and write Chinese, and the government offices were
+bilingual, working in Mongolian and Chinese. The clever Uighurs quickly
+learned enough of both languages for official purposes, and made
+themselves indispensable assistants to the Mongols. Persian, the main
+language of administration in the western parts of the Mongol empire
+besides Uighuric, also was a _lingua franca_ among the new rulers of
+China.
+
+In the Mongol legislation the South Chinese had the lowest status, and
+virtually no rights. Intermarriage with them was prohibited. The Chinese
+were not allowed to carry arms. For a time they were forbidden even to
+learn the Mongol or other foreign languages. In this way they were to be
+prevented from gaining official positions and playing any political
+part. Their ignorance of the languages of northern, central, and western
+Asia also prevented them from engaging in commerce like the foreign
+merchants, and every possible difficulty was put in the way of their
+travelling for commercial purposes. On the other hand, foreigners were,
+of course, able to learn Chinese, and so to gain a footing in Chinese
+internal trade.
+
+Through legislation of this type the Mongols tried to build up and to
+safeguard their domination over China. Yet their success did not last a
+hundred years.
+
+
+3 _Military position_
+
+In foreign affairs the Mongol epoch was for China something of a
+breathing space, for the great wars of the Mongols took place at a
+remote distance from China and without any Chinese participation. Only a
+few concluding wars were fought under Kublai in the Far East. The first
+was his war against Japan (1281): it ended in complete failure, the
+fleet being destroyed by a storm. In this campaign the Chinese furnished
+ships and also soldiers. The subjection of Japan would have been in the
+interest of the Chinese, as it would have opened a market which had been
+almost closed against them in the Sung period. Mongol wars followed in
+the south. In 1282 began the war against Burma; in 1284 Annam and
+Cambodia were conquered; in 1292 a campaign was started against Java. It
+proved impossible to hold Java, but almost the whole of Indo-China came
+under Mongol rule, to the satisfaction of the Chinese, for Indo-China
+had already been one of the principal export markets in the Sung period.
+After that, however, there was virtually no more warfare, apart from
+small campaigns against rebellious tribes. The Mongol soldiers now lived
+on their pay in their garrisons, with nothing to do. The old campaigners
+died and were followed by their sons, brought up also as soldiers; but
+these young Mongols were born in China, had seen nothing of war, and
+learned of the soldiers' trade either nothing or very little; so that
+after about 1320 serious things happened. An army nominally 1,000 strong
+was sent against a group of barely fifty bandits and failed to defeat
+them. Most of the 1,000 soldiers no longer knew how to use their
+weapons, and many did not even join the force. Such incidents occurred
+again and again.
+
+
+4 _Social situation_
+
+The results, however, of conditions within the country were of much more
+importance than events abroad. The Mongols made Peking their capital as
+was entirely natural, for Peking was near their homeland Mongolia. The
+emperor and his entourage could return to Mongolia in the summer, when
+China became too hot or too humid for them; and from Peking they were
+able to maintain contact with the rest of the Mongol empire. But as the
+city had become the capital of a vast empire, an enormous staff of
+officials had to be housed there, consisting of persons of many
+different nationalities. The emperor naturally wanted to have a
+magnificent capital, a city really worthy of so vast an empire. As the
+many wars had brought in vast booty, there was money for the building of
+great palaces, of a size and magnificence never before seen in China.
+They were built by Chinese forced labour, and to this end men had to be
+brought from all over the empire--poor peasants, whose fields went out
+of cultivation while they were held in bondage far away. If they ever
+returned home, they were destitute and had lost their land. The rich
+gentry, on the other hand, were able to buy immunity from forced labour.
+The immense increase in the population of Peking (the huge court with
+its enormous expenditure, the mass of officials, the great merchant
+community, largely foreigners, and the many servile labourers),
+necessitated vast supplies of food. Now, as mentioned in earlier
+chapters, since the time of the Later T'ang the region round Nanking had
+become the main centre of production in China, and the Chinese
+population had gone over more and more to the consumption of rice
+instead of pulse or wheat. As rice could not be grown in the north,
+practically the whole of the food supplies for the capital had to be
+brought from the south. The transport system taken over by the Mongols
+had not been created for long-distance traffic of this sort. The capital
+of the Sung had lain in the main centre of production. Consequently, a
+great fleet had suddenly to be built, canals and rivers had to be
+regulated, and some new canals excavated. This again called for a vast
+quantity of forced labour, often brought from afar to the points at
+which it was needed. The Chinese peasants had suffered in the Sung
+period. They had been exploited by the large landowners. The Mongols had
+not removed these landowners, as the Chinese gentry had gone over to
+their side. The Mongols had deprived them of their political power, but
+had left them their estates, the basis of their power. In past changes
+of dynasty the gentry had either maintained their position or been
+replaced by a new gentry: the total number of their class had remained
+virtually unchanged. Now, however, in addition to the original gentry
+there were about a million Mongols, for whose maintenance the peasants
+had also to provide, and their standard of maintenance was high. This
+was an enormous increase in the burdens of the peasantry.
+
+Two other elements further pressed on the peasants in the Mongol
+epoch--organized religion and the traders. The upper classes among the
+Chinese had in general little interest in religion, but the Mongols,
+owing to their historical development, were very religious. Some of them
+and some of their allies were Buddhists, some were still shamanists. The
+Chinese Buddhists and the representatives of popular Taoism approached
+the Mongols and the foreign Buddhist monks trying to enlist the interest
+of the Mongols and their allies. The old shamanism was unable to compete
+with the higher religions, and the Mongols in China became Buddhist or
+interested themselves in popular Taoism. They showed their interest
+especially by the endowment of temples and monasteries. The temples were
+given great estates, and the peasants on those estates became temple
+servants. The land belonging to the temples was free from taxation.
+
+We have as yet no exact statistics of the Mongol epoch, only
+approximations. These set the total area under cultivation at some six
+million _ch'ing_ (a _ch'ing_ is the ideal size of the farm worked by a
+peasant family, but it was rarely held in practice); the population
+amounted to fourteen or fifteen million families. Of this total tillage
+some 170,000 _ch'ing_ were allotted to the temples; that is to say, the
+farms for some 400,000 peasant families were taken from the peasants and
+no longer paid taxes to the state. The peasants, however, had to make
+payments to the temples. Some 200,000 _ch'ing_ with some 450,000 peasant
+families were turned into military settlements; that is to say, these
+peasants had to work for the needs of the army. Their taxes went not to
+the state but to the army. Moreover, in the event of war they had to
+render service to the army. In addition to this, all higher officials
+received official properties, the yield of which represented part
+payment of their salaries. Then, Mongol nobles and dignitaries received
+considerable grants of land, which was taken away from the free
+peasants; the peasants had then to work their farms as tenants and to
+pay dues to their landlords, no longer to the state. Finally, especially
+in North China, many peasants were entirely dispossessed, and their land
+was turned into pasturage for the Mongols' horses; the peasants
+themselves were put to forced labour. On top of this came the
+exploitation of the peasants by the great landowners of the past. All
+this meant an enormous diminution in the number of free peasants and
+thus of taxpayers. As the state was involved in more expenditure than in
+the past owing to the large number of Mongols who were its virtual
+pensioners, the taxes had to be continually increased. Meanwhile the
+many peasants working as tenants of the great landlords, the temples,
+and the Mongol nobles were entirely at their mercy. In this period, a
+second migration of farmers into the southern provinces, mainly Fukien
+and Kwangtung, took place; it had its main source in the lower Yangtze
+valley. A few gentry families whose relatives had accompanied the Sung
+emperor on their flight to the south, also settled with their followers
+in the Canton basin.
+
+The many merchants from abroad, especially those belonging to the
+peoples allied to the Mongols, also had in every respect a privileged
+position in China. They were free of taxation, free to travel all over
+the country, and received privileged treatment in the use of means of
+transport. They were thus able to accumulate great wealth, most of which
+went out of China to their own country. This produced a general
+impoverishment of China. Chinese merchants fell more and more into
+dependence on the foreign merchants; the only field of action really
+remaining to them was the local trade within China and the trade with
+Indo-China, where the Chinese had the advantage of knowing the language.
+
+The impoverishment of China began with the flow abroad of her metallic
+currency. To make up for this loss, the government was compelled to
+issue great quantities of paper money, which very quickly depreciated,
+because after a few years the government would no longer accept the
+money at its face value, so that the population could place no faith in
+it. The depreciation further impoverished the people.
+
+Thus we have in the Mongol epoch in China the imposing picture of a
+commerce made possible with every country from Europe to the Pacific;
+this, however, led to the impoverishment of China. We also see the
+rising of mighty temples and monumental buildings, but this again only
+contributed to the denudation of the country. The Mongol epoch was thus
+one of continual and rapid impoverishment in China, simultaneously with
+a great display of magnificence. The enthusiastic descriptions of the
+Mongol empire in China offered by travellers from the Near East or from
+Europe, such as Marco Polo, give an entirely false picture: as
+foreigners they had a privileged position, living in the cities and
+seeing nothing of the situation of the general population.
+
+
+5 _Popular risings: National rising_
+
+It took time for the effects of all these factors to become evident. The
+first popular rising came in 1325. Statistics of 1329 show that there
+were then some 7,600,000 persons in the empire who were starving; as
+this was only the figure of the officially admitted sufferers, the
+figure may have been higher. In any case, seven-and-a-half millions were
+a substantial percentage of the total population, estimated at
+45,000,000. The risings that now came incessantly were led by men of the
+lower orders--a cloth-seller, a fisherman, a peasant, a salt smuggler,
+the son of a soldier serving a sentence, an office messenger, and so on.
+They never attacked the Mongols as aliens, but always the rich in
+general, whether Chinese or foreign. Wherever they came, they killed all
+the rich and distributed their money and possessions.
+
+As already mentioned, the Mongol garrisons were unable to cope with
+these risings. But how was it that the Mongol rule did not collapse
+until some forty years later? The Mongols parried the risings by raising
+loans from the rich and using the money to recruit volunteers to fight
+the rebels. The state revenues would not have sufficed for these
+payments, and the item was not one that could be included in the
+military budget. What was of much more importance was that the gentry
+themselves recruited volunteers and fought the rebels on their own
+account, without the authority or the support of the government. Thus it
+was the Chinese gentry, in their fear of being killed by the insurgents,
+who fought them and so bolstered up the Mongol rule.
+
+In 1351 the dykes along the Yellow River burst. The dykes had to be
+reconstructed and further measures of conservancy undertaken. To this
+end the government impressed 170,000 men. Following this action, great
+new revolts broke out. Everywhere in Honan, Kiangsu, and Shantung, the
+regions from which the labourers were summoned, revolutionary groups
+were formed, some of them amounting to 100,000 men. Some groups had a
+religious tinge; others declared their intention to restore the emperors
+of the Sung dynasty. Before long great parts of central China were
+wrested from the hands of the government. The government recognized the
+menace to its existence, but resorted to contradictory measures. In 1352
+southern Chinese were permitted to take over certain official positions.
+In this way it was hoped to gain the full support of the gentry, who had
+a certain interest in combating the rebel movements. On the other hand,
+the government tightened up its nationality laws. All the old
+segregation laws were brought back into force, with the result that in a
+few years the aim of the rebels became no longer merely the expulsion of
+the rich but also the expulsion of the Mongols: a social movement thus
+became a national one. A second element contributed to the change in the
+character of the popular rising. The rebels captured many towns. Some of
+these towns refused to fight and negotiated terms of submission. In
+these cases the rebels did not murder the whole of the gentry, but took
+some of them into their service. The gentry did not agree to this out of
+sympathy with the rebels, but simply in order to save their own lives.
+Once they had taken the step, however, they could not go back; they had
+no alternative but to remain on the side of the rebels.
+
+In 1352 Kuo Tzu-hsing rose in southern Honan. Kuo was the son of a
+wandering soothsayer and a blind beggar-woman. He had success; his group
+gained control of a considerable region round his home. There was no
+longer any serious resistance from the Mongols, for at this time the
+whole of eastern China was in full revolt. In 1353 Kuo was joined by a
+man named Chu Yuean-chang, the son of a small peasant, probably a tenant
+farmer. Chu's parents and all his relatives had died from a plague,
+leaving him destitute. He had first entered a monastery and become a
+monk. This was a favourite resource--and has been almost to the present
+day--for poor sons of peasants who were threatened with starvation. As a
+monk he had gone about begging, until in 1353 he returned to his home
+and collected a group, mostly men from his own village, sons of peasants
+and young fellows who had already been peasant leaders. Monks were often
+peasant leaders. They were trusted because they promised divine aid, and
+because they were usually rather better educated than the rest of the
+peasants. Chu at first also had contacts with a secret society, a branch
+of the White Lotos Society which several times in the course of Chinese
+history has been the nucleus of rebellious movements. Chu took his small
+group which identified itself by a red turban and a red banner to Kuo,
+who received him gladly, entered into alliance with him, and in sign of
+friendship gave him his daughter in marriage. In 1355 Kuo died, and Chu
+took over his army, now many thousands strong. In his campaigns against
+towns in eastern China, Chu succeeded in winning over some capable
+members of the gentry. One was the chairman of a committee that yielded
+a town to Chu; another was a scholar whose family had always been
+opposed to the Mongols, and who had himself suffered injustice several
+times in his official career, so that he was glad to join Chu out of
+hatred of the Mongols.
+
+These men gained great influence over Chu, and persuaded him to give up
+attacking rich individuals, and instead to establish an assured control
+over large parts of the country. He would then, they pointed out, be
+permanently enriched, while otherwise he would only be in funds at the
+moment of the plundering of a town. They set before him strategic plans
+with that aim. Through their counsel Chu changed from the leader of a
+popular rising into a fighter against the dynasty. Of all the peasant
+leaders he was now the only one pursuing a definite aim. He marched
+first against Nanking, the great city of central China, and captured it
+with ease. He then crossed the Yangtze, and conquered the rich provinces
+of the south-east. He was a rebel who no longer slaughtered the rich or
+plundered the towns, and the whole of the gentry with all their
+followers came over to him _en masse_. The armies of volunteers went
+over to Chu, and the whole edifice of the dynasty collapsed.
+
+The years 1355-1368 were full of small battles. After his conquest of
+the whole of the south, Chu went north. In 1368 his generals captured
+Peking almost without a blow. The Mongol ruler fled on horseback with
+his immediate entourage into the north of China, and soon after into
+Mongolia. The Mongol dynasty had been brought down, almost without
+resistance. The Mongols in the isolated garrisons marched northward
+wherever they could. A few surrendered to the Chinese and were used in
+southern China as professional soldiers, though they were always
+regarded with suspicion. The only serious resistance offered came from
+the regions in which other Chinese popular leaders had established
+themselves, especially the remote provinces in the west and south-west,
+which had a different social structure and had been relatively little
+affected by the Mongol regime.
+
+Thus the collapse of the Mongols came for the following reasons: (1)
+They had not succeeded in maintaining their armed strength or that of
+their allies during the period of peace that followed Kublai's conquest.
+The Mongol soldiers had become effeminate through their life of idleness
+in the towns. (2) The attempt to rule the empire through Mongols or
+other aliens, and to exclude the Chinese gentry entirely from the
+administration, failed through insufficient knowledge of the sources of
+revenue and through the abuses due to the favoured treatment of aliens.
+The whole country, and especially the peasantry, was completely
+impoverished and so driven into revolt. (3) There was also a
+psychological reason. In the middle of the fourteenth century it was
+obvious to the Mongols that their hold over China was growing more and
+more precarious, and that there was little to be got out of the
+impoverished country: they seem in consequence to have lost interest in
+the troublesome task of maintaining their rule, preferring, in so far as
+they had not already entirely degenerated, to return to their old home
+in the north. It is important to bear in mind these reasons for the
+collapse of the Mongols, so that we may compare them later with the
+reasons for the collapse of the Manchus.
+
+No mention need be made here of the names of the Mongol rulers in China
+after Kublai. After his death in 1294, grandsons and great-grandsons of
+his followed each other in rapid succession on the throne; not one of
+them was of any personal significance. They had no influence on the
+government of China. Their life was spent in intriguing against one
+another. There were seven Mongol emperors after Kublai.
+
+
+6 _Cultural_
+
+During the Mongol epoch a large number of the Chinese scholars withdrew
+from official life. They lived in retirement among their friends, and
+devoted themselves mainly to the pursuit of the art of poetry, which had
+been elaborated in the Later Sung epoch, without themselves arriving at
+any important innovations in form. Their poems were built up
+meticulously on the rules laid down by the various schools; they were
+routine productions rather than the outcome of any true poetic
+inspiration. In the realm of prose the best achievements were the
+"miscellaneous notes" already mentioned, collections of learned essays.
+The foreigners who wrote in Chinese during this epoch are credited with
+no better achievements by the Chinese historians of literature. Chief of
+them were a statesman named Yeh-lue Ch'u-ts'ai, a Kitan in the service of
+the Mongols; and a Mongol named T'o-t'o (Tokto). The former accompanied
+Genghiz Khan in his great campaign against Turkestan, and left a very
+interesting account of his journeys, together with many poems about
+Samarkand and Turkestan. His other works were mainly letters and poems
+addressed to friends. They differ in no way in style from the Chinese
+literary works of the time, and are neither better nor worse than those
+works. He shows strong traces of Taoist influence, as do other
+contemporary writers. We know that Genghiz Khan was more or less
+inclined to Taoism, and admitted a Taoist monk to his camp (1221-1224).
+This man's account of his travels has also been preserved, and with the
+numerous European accounts of Central Asia written at this time it forms
+an important source. The Mongol Tokto was the head of an historical
+commission that issued the annals of the Sung dynasty, the Kitan, and
+the Juchen dynasty. The annals of the Sung dynasty became the largest of
+all the historical works, but they were fiercely attacked from the first
+by Chinese critics on account of their style and their hasty
+composition, and, together with the annals of the Mongol dynasty, they
+are regarded as the worst of the annals preserved. Tokto himself is less
+to blame for this than the circumstance that he was compelled to work in
+great haste, and had not time to put into order the overwhelming mass of
+his material.
+
+The greatest literary achievements, however, of the Mongol period belong
+beyond question to the theatre (or, rather, opera). The emperors were
+great theatre-goers, and the wealthy private families were also
+enthusiasts, so that gradually people of education devoted themselves to
+writing librettos for the operas, where in the past this work had been
+left to others. Most of the authors of these librettos remained unknown:
+they used pseudonyms, partly because playwriting was not an occupation
+that befitted a scholar, and partly because in these works they
+criticized the conditions of their day. These works are divided in
+regard to style into two groups, those of the "southern" and the
+"northern" drama; these are distinguished from each other in musical
+construction and in their intellectual attitude: in general the northern
+works are more heroic and the southern more sentimental, though there
+are exceptions. The most famous northern works of the Mongol epoch are
+_P'i-p'a-chi_ ("The Story of a Lute"), written about 1356, probably by
+Kao Ming, and _Chao-shih ku-erh-chi_ ("The Story of the Orphan of
+Chao"), a work that enthralled Voltaire, who made a paraphrase of it;
+its author was the otherwise unknown Chi Chuen-hsiang. One of the most
+famous of the southern dramas is _Hsi-hsiang-chi_ ("The Romance of the
+Western Chamber"), by Wang Shih-fu and Kuan Han-ch'ing. Kuan lived under
+the Juchen dynasty as a physician, and then among the Mongol. He is said
+to have written fifty-eight dramas, many of which became famous.
+
+In the fine arts, foreign influence made itself felt during the Mongol
+epoch much more than in literature. This was due in part to the Mongol
+rulers' predilection for the Lamaism that was widespread in their
+homeland. Lamaism is a special form of Buddhism which developed in
+Tibet, where remnants of the old national Tibetan cult (_Bon_) were
+fused with Buddhism into a distinctive religion. During the rise of the
+Mongols this religion, which closely resembled the shamanism of the
+ancient Mongols, spread in Mongolia, and through the Mongols it made
+great progress in China, where it had been insignificant until their
+time. Religious sculpture especially came entirely under Tibetan
+influence (particularly that of the sculptor Aniko, who came from Nepal,
+where he was born in 1244). This influence was noticeable in the Chinese
+sculptor Liu Yuean; after him it became stronger and stronger, lasting
+until the Manchu epoch.
+
+In architecture, too, Indian and Tibetan influence was felt in this
+period. The Tibetan pagodas came into special prominence alongside the
+previously known form of pagoda, which has many storeys, growing smaller
+as they go upward; these towers originally contained relics of Buddha
+and his disciples. The Tibetan pagoda has not this division into
+storeys, and its lower part is much larger in circumference, and often
+round. To this day Peking is rich in pagodas in the Tibetan style.
+
+The Mongols also developed in China the art of carpet-knotting, which to
+this day is found only in North China in the zone of northern influence.
+There were carpets before these, but they were mainly of felt. The
+knotted carpets were produced in imperial workshops--only, of course,
+for the Mongols, who were used to carpets. A further development
+probably also due to West Asian influence was that of cloisonne
+technique in China in this period.
+
+Painting, on the other hand, remained free from alien influence, with
+the exception of the craft painting for the temples. The most famous
+painters of the Mongol epoch were Chao Meng-fu (also called Chao
+Chung-mu, 1254-1322), a relative of the deposed imperial family of the
+Sung dynasty, and Ni Tsan (1301-1374).
+
+
+
+(B) The Ming Epoch (1368-1644)
+
+
+1 _Start. National feeling_
+
+It was necessary to give special attention to the reasons for the
+downfall of Mongol rule in China, in order to make clear the cause and
+the character of the Ming epoch that followed it. It is possible that
+the erroneous impression might be gained that the Mongol epoch in China
+was entirely without merits, and that the Mongol rule over China
+differed entirely from the Mongol rule over other countries of Asia.
+Chinese historians have no good word to say of the Mongol epoch and
+avoid the subject as far as they can. It is true that the union of the
+national Mongol culture with Chinese culture, as envisaged by the Mongol
+rulers, was not a sound conception, and consequently did not endure for
+long. Nevertheless, the Mongol epoch in China left indelible traces, and
+without it China's further development would certainly have taken a
+different course.
+
+The many popular risings during the latter half of the period of Mongol
+rule in China were all of a purely economic and social character, and at
+first they were not directed at all against the Mongols as
+representatives of an alien people. The rising under Chu Yuean-chang,
+which steadily gained impetus, was at first a purely social movement;
+indeed, it may fairly be called revolutionary. Chu was of the humblest
+origin; he became a monk and a peasant leader at one and the same time.
+Only three times in Chinese history has a man of the peasantry become
+emperor and founder of a dynasty. The first of these three men founded
+the Han dynasty; the second founded the first of the so-called "Five
+Dynasties" in the tenth century; Chu was the third.
+
+Not until the Mongols had answered Chu's rising with a tightening of the
+nationality laws did the revolutionary movement become a national
+movement, directed against the foreigners as such. And only when Chu
+came under the influence of the first people of the gentry who joined
+him, whether voluntarily or perforce, did what had been a revolutionary
+movement become a struggle for the substitution of one dynasty for
+another without interfering with the existing social system. Both these
+points were of the utmost importance to the whole development of the
+Ming epoch.
+
+The Mongols were driven out fairly quickly and without great difficulty.
+The Chinese drew from the ease of their success a sense of superiority
+and a clear feeling of nationalism. This feeling should not be
+confounded with the very old feeling of Chinese as a culturally superior
+group according to which, at least in theory though rarely in practice,
+every person who assimilated Chinese cultural values and traits was a
+"Chinese". The roots of nationalism seem to lie in the Southern Sung
+period, growing up in the course of contacts with the Juchen and
+Mongols; but the discriminatory laws of the Mongols greatly fostered
+this feeling. From now on, it was regarded a shame to serve a foreigner
+as official, even if he was a ruler of China.
+
+
+2 _Wars against Mongols and Japanese_
+
+It had been easy to drive the Mongols out of China, but they were never
+really beaten in their own country. On the contrary, they seem to have
+regained strength after their withdrawal from China: they reorganized
+themselves and were soon capable of counter-thrusts, while Chinese
+offensives had as a rule very little success, and at all events no
+decisive success. In the course of time, however, the Chinese gained a
+certain influence over Turkestan, but it was never absolute, always
+challenged. After the Mongol empire had fallen to pieces, small states
+came into existence in Turkestan, for a long time with varying fortunes;
+the most important one during the Ming epoch was that of Hami, until in
+1473 it was occupied by the city-state of Turfan. At this time China
+actively intervened in the policy of Turkestan in a number of combats
+with the Mongols. As the situation changed from time to time, these
+city-states united more or less closely with China or fell away from her
+altogether. In this period, however, Turkestan was of no military or
+economic importance to China.
+
+In the time of the Ming there also began in the east and south the
+plague of Japanese piracy. Japanese contacts with the coastal provinces
+of China (Kiangsu, Chekiang and Fukien) had a very long history:
+pilgrims from Japan often went to these places in order to study
+Buddhism in the famous monasteries of Central China; businessmen sold at
+high prices Japanese swords and other Japanese products here and bought
+Chinese products; they also tried to get Chinese copper coins which had
+a higher value in Japan. Chinese merchants co-operated with Japanese
+merchants and also with pirates in the guise of merchants. Some Chinese
+who were or felt persecuted by the government, became pirates
+themselves. This trade-piracy had started already at the end of the Sung
+dynasty, when Japanese navigation had become superior to Korean shipping
+which had in earlier times dominated the eastern seaboard. These
+conditions may even have been one of the reasons why the Mongols tried
+to subdue Japan. As early as 1387 the Chinese had to begin the building
+of fortifications along the eastern and southern coasts of the country.
+The Japanese attacks now often took the character of organized raids: a
+small, fast-sailing flotilla would land in a bay, as far as possible
+without attracting notice; the soldiers would march against the nearest
+town, generally overcoming it, looting, and withdrawing. The defensive
+measures adopted from time to time during the Ming epoch were of little
+avail, as it was impossible effectively to garrison the whole coast.
+Some of the coastal settlements were transferred inland, to prevent the
+Chinese from co-operating with the Japanese, and to give the Japanese so
+long a march inland as to allow time for defensive measures. The
+Japanese pirates prevented the creation of a Chinese navy in this period
+by their continual threats to the coastal cities in which the shipyards
+lay. Not until much later, at a time of unrest in Japan in 1467, was
+there any peace from the Japanese pirates.
+
+The Japanese attacks were especially embarrassing for the Chinese
+government for one other reason. Large armies had to be kept all along
+China's northern border, from Manchuria to Central Asia. Food supplies
+could not be collected in north China which did not have enough
+surplusses. Canal transportation from Central China was not reliable, as
+the canals did not always have enough water and were often clogged by
+hundreds of ships. And even if canals were used, grain still had to be
+transported by land from the end of the canals to the frontier. The Ming
+government therefore, had organized an overseas flotilla of grain ships
+which brought grain from Central China directly to the front in
+Liao-tung and Manchuria. And these ships, vitally important, were so
+often attacked by the pirates, that this plan later had to be given up
+again.
+
+These activities along the coast led the Chinese to the belief that
+basically all foreigners who came by ships were "barbarians"; when
+towards the end of the Ming epoch the Japanese were replaced by
+Europeans who did not behave much differently and were also
+pirate-merchants, the nations of Western Europe, too, were regarded as
+"barbarians" and were looked upon with great suspicion. On the other
+side, continental powers, even if they were enemies, had long been
+regarded as "states", sometimes even as equals. Therefore, when at a
+much later time the Chinese came into contact with Russians, their
+attitude towards them was similar to that which they had taken towards
+other Asian continental powers.
+
+
+3 _Social legislation within the existing order_
+
+At the time when Chu Yuean-chang conquered Peking, in 1368, becoming the
+recognized emperor of China (Ming dynasty), it seemed as though he would
+remain a revolutionary in spite of everything. His first laws were
+directed against the rich. Many of the rich were compelled to migrate to
+the capital, Nanking, thus losing their land and the power based on it.
+Land was redistributed among poor peasants; new land registers were also
+compiled, in order to prevent the rich from evading taxation. The number
+of monks living in idleness was cut down and precisely determined; the
+possessions of the temples were reduced, land exempted from taxation
+being thus made taxable--all this, incidentally, although Chu had
+himself been a monk! These laws might have paved the way to social
+harmony and removed the worst of the poverty of the Mongol epoch. But
+all this was frustrated in the very first years of Chu's reign. The laws
+were only half carried into effect or not at all, especially in the
+hinterland of the present Shanghai. That region had been conquered by
+Chu at the very beginning of the Ming epoch; in it lived the wealthy
+landowners who had already been paying the bulk of the taxes under the
+Mongols. The emperor depended on this wealthy class for the financing of
+his great armies, and so could not be too hard on it.
+
+Chu Yuean-chang and his entourage were also unable to free themselves
+from some of the ideas of the Mongol epoch. Neither Chu, nor anybody
+else before and long after him discussed the possibility of a form of
+government other than that of a monarchy. The first ever to discuss this
+question, although very timidly, was Huang Tsung-hsi (1610-1695), at the
+end of the Ming dynasty. Chu's conception of an emperor was that of an
+absolute monarch, master over life and death of his subjects; it was
+formed by the Mongol emperors with their magnificence and the huge
+expenditure of their life in Peking; Chu was oblivious of the fact that
+Peking had been the capital of a vast empire embracing almost the whole
+of Asia, and expenses could well be higher than for a capital only of
+China. It did not occur to Chu and his supporters that they could have
+done without imperial state and splendour; on the contrary, they felt
+compelled to display it. At first Chu personally showed no excessive
+signs of this tendency, though they emerged later; but he conferred
+great land grants on all his relatives, friends, and supporters; he
+would give to a single person land sufficient for 20,000 peasant
+families; he ordered the payment of state pensions to members of the
+imperial family, just as the Mongols had done, and the total of these
+pension payments was often higher than the revenue of the region
+involved. For the capital alone over eight million _shih_ of grain had
+to be provided in payment of pensions--that is to say, more than 160,000
+tons! These pension payments were in themselves a heavy burden on the
+state; not only that, but they formed a difficult transport problem! We
+have no close figure of the total population at the beginning of the
+Ming epoch; about 1500 it is estimated to have been 53,280,000, and this
+population had to provide some 266,000,000 _shih_ in taxes. At the
+beginning of the Ming epoch the population and revenue must, however,
+have been smaller.
+
+The laws against the merchants and the restrictions under which the
+craftsmen worked, remained essentially as they had been under the Sung,
+but now the remaining foreign merchants of Mongol time also fell under
+these laws, and their influence quickly diminished. All craftsmen, a
+total of some 300,000 men with families, were still registered and had
+to serve the government in the capital for three months once every three
+years; others had to serve ten days per month, if they lived close by.
+They were a hereditary caste as were the professional soldiers, and not
+allowed to change their occupation except by special imperial
+permission. When a craftsman or soldier died, another family member had
+to replace him; therefore, families of craftsmen were not allowed to
+separate into small nuclear families, in which there might not always be
+a suitable male. Yet, in an empire as large as that of the Ming, this
+system did not work too well: craftsmen lost too much time in travelling
+and often succeeded in running away while travelling. Therefore, from
+1505 on, they had to pay a tax instead of working for the government,
+and from then on the craftsmen became relatively free.
+
+
+4 _Colonization and agricultural developments_
+
+As already mentioned, the Ming had to keep a large army along the
+northern frontiers. But they also had to keep armies in south China,
+especially in Yuennan. Here, the Mongol invasions of Burma and Thailand
+had brought unrest among the tribes, especially the Shan. The Ming did
+not hold Burma but kept it in a loose dependency as "tributary nation".
+In order to supply armies so far away from all agricultural surplus
+centres, the Ming resorted to the old system of "military colonies"
+which seems to have been invented in the second century B.C. and is
+still used even today (in Sinkiang). Soldiers were settled in camps
+called _ying_, and therefore there are so many place names ending with
+_ying_ in the outlying areas of China. They worked as state farmers and
+accumulated surplusses which were used in case of war in which these
+same farmers turned soldiers again. Many criminals were sent to these
+state farms, too. This system, especially in south China, transformed
+territories formerly inhabited by native tribes or uninhabited, into
+solidly Chinese areas. In addition to these military colonies, a steady
+stream of settlers from Central China and the coast continued to move
+into Kwangtung and Hunan provinces. They felt protected by the army
+against attacks by natives. Yet Ming texts are full of reports on major
+and minor clashes with the natives, from Kiangsi and Fukien to Kwangtung
+and Kwanghsi.
+
+But the production of military colonies was still not enough to feed the
+armies, and the government in Chu's time resorted to a new design. It
+promised to give merchants who transported grain from Central China to
+the borders, government salt certificates. Upon the receipt, the
+merchants could acquire a certain amount of salt and sell it with high
+profits. Soon, these merchants began to invest some of their capital in
+local land which was naturally cheap. They then attracted farmers from
+their home countries as tenants. The rent of the tenants, paid in form
+of grain, was then sold to the army, and the merchant's gains
+increased. Tenants could easily be found: the density of population in
+the Yangtze plains had further increased since the Sung time. This
+system of merchant colonization did not last long, because soon, in
+order to curb the profits of the merchants, money was given instead of
+salt certificates, and the merchants lost interest in grain transports.
+Thus, grain prices along the frontiers rose and the effectiveness of the
+armies was diminished.
+
+Although the history of Chinese agriculture is as yet only partially
+known, a number of changes in this field, which began to show up from
+Sung time on, seem to have produced an "agricultural revolution" in Ming
+time. We have already mentioned the Sung attempts to increase production
+near the big cities by deep-lying fields, cultivation on and in lakes.
+At the same time, there was an increase in cultivation of mountain
+slopes by terracing and by distributing water over the terraces in
+balanced systems. New irrigation machines, especially the so-called
+Persian wheel, were introduced in the Ming time. Perhaps the most
+important innovation, however, was the introduction of rice from
+Indo-China's kingdom Champa in 1012 into Fukien from where it soon
+spread. This rice had three advantages over ordinary Chinese rice: it
+was drought-resistant and could, therefore, be planted in areas with
+poor or even no irrigation. It had a great productivity, and it could be
+sown very early in the year. At first it had the disadvantage that it
+had a vegetation period of a hundred days. But soon, the Chinese
+developed a quick-growing Champa rice, and the speediest varieties took
+only sixty days from transplantation into the fields to the harvest.
+This made it possible to grow two rice harvests instead of only one and
+more than doubled the production. Rice varieties which grew again after
+being cut and produced a second, but very much smaller harvest,
+disappeared from now on. Furthermore, fish were kept in the ricefields
+and produced not only food for the farmers but also fertilized the
+fields, so that continuous cultivation of ricefields without any
+decrease in fertility became possible. Incidentally, fish control the
+malaria mosquitoes; although the Chinese did not know this fact, large
+areas in South China which had formerly been avoided by Chinese because
+of malaria, gradually became inhabitable.
+
+The importance of alternating crops was also discovered and from now on,
+the old system of fallow cultivation was given up and continuous
+cultivation with, in some areas, even more than one harvest per field
+per year, was introduced even in wheat-growing areas. Considering that
+under the fallow system from one half to one third of all fields
+remained uncultivated each year, the increase in production under the
+new system must have been tremendous. We believe that the population
+revolution which in China started about 1550, was the result of this
+earlier agrarian revolution. From the eighteenth century on we get
+reports on depletion of fields due to wrong application of the new
+system.
+
+Another plant deeply affected Chinese agriculture: cotton. It is often
+forgotten that, from very early times, the Chinese in the south had used
+kapok and similar fibres, and that the cocoons of different kinds of
+worms had been used for silk. Real cotton probably came from Bengal over
+South-East Asia first to the coastal provinces of China and spread
+quickly into Fukien and Kwangtung in Sung time.
+
+On the other side, cotton reached China through Central Asia, and
+already in the thirteenth century we find it in Shensi in north-western
+China. Farmers in the north could in many places grow cotton in summer
+and wheat in winter, and cotton was a high-priced product. They ginned
+the cotton with iron rods; a mechanical cotton gin was introduced not
+until later. The raw cotton was sold to merchants who transported it
+into the industrial centre of the time, the Yangtze valley, and who
+re-exported cotton cloth to the north. Raw cotton, loosened by the
+string of the bow (a method which was known since Sung), could now in
+the north also be used for quilts and padded winter garments.
+
+
+5 _Commercial and industrial developments_
+
+Intensivation and modernization of agriculture led to strong population
+increases especially in the Yangtze valley from Sung time on. Thus, in
+this area commerce and industry also developed most quickly.
+Urbanization was greatest here. Nanking, the new Ming capital, grew
+tremendously because of the presence of the court and administration,
+and even when later the capital was moved, Nanking continued to remain
+the cultural capital of China. The urban population needed textiles and
+food. From Ming time on, fashions changed quickly as soon as government
+regulations which determined colour and material of the dress of each
+social class were relaxed or as soon as they could be circumvented by
+bribery or ingenious devices. Now, only factories could produce the
+amounts which the consumers wanted. We hear of many men who started out
+with one loom and later ended up with over forty looms, employing many
+weavers. Shanghai began to emerge as a centre of cotton cloth
+production. A system of middle-men developed who bought raw cotton and
+raw silk from the producers and sold it to factories.
+
+Consumption in the Yangtze cities raised the value of the land around
+the cities. The small farmers who were squeezed out, migrated to the
+south. Absentee landlords in cities relied partly on migratory, seasonal
+labour supplied by small farmers from Chekiang who came to the Yangtze
+area after they had finished their own harvest. More and more,
+vegetables and mulberries or cotton were planted in the vicinity of the
+cities. As rice prices went up quickly a large organization of rice
+merchants grew up. They ran large ships up to Hankow where they bought
+rice which was brought down from Hunan in river boats by smaller
+merchants. The small merchants again made contracts with the local
+gentry who bought as much rice from the producers as they could and sold
+it to these grain merchants. Thus, local grain prices went up and we
+hear of cases where the local population attacked the grain boats in
+order to prevent the depletion of local markets.
+
+Next to these grain merchants, the above-mentioned salt merchants have
+to be mentioned again. Their centre soon became the city of Hsin-an, a
+city on the border of Chekiang and Anhuei, or in more general terms, the
+cities in the district of Hui-chou. When the grain transportation to the
+frontiers came to an end in early Ming time, the Hsin-an merchants
+specialized first in silver trade. Later in Ming time, they spread their
+activities all over China and often monopolized the salt, silver, rice,
+cotton, silk or tea businesses. In the sixteenth century they had
+well-established contacts with smugglers on the Fukien coast and brought
+foreign goods into the interior. Their home was also close to the main
+centres of porcelain production in Kiangsi which was exported to
+overseas and to the urban centres. The demand for porcelain had
+increased so much that state factories could not fulfil it. The state
+factories seem often to have suffered from a lack of labour: indented
+artisans were imported from other provinces and later sent back on state
+expenses or were taken away from other state industries. Thus, private
+porcelain factories began to develop, and in connection with quickly
+changing fashions a great diversification of porcelain occurred.
+
+One other industry should also be mentioned. With the development of
+printing, which will be discussed below, the paper industry was greatly
+stimulated. The state also needed special types of paper for the paper
+currency. Printing and book selling became a profitable business, and
+with the application of block print to textiles (probably first used in
+Sung time) another new field of commercial activity was opened.
+
+As already mentioned, silver in form of bars had been increasingly used
+as currency in Sung time. The yearly government production of silver was
+c. 10,000 kg. Mongol currency was actually based upon silver. The Ming,
+however, reverted to copper as basic unit, in addition to the use of
+paper money. This encouraged the use of silver for speculative purposes.
+
+The development of business changed the face of cities. From Sung time
+on, the division of cities into wards with gates which were closed
+during the night, began to break down. Ming cities had no more wards.
+Business was no more restricted to official markets but grew up in all
+parts of the cities. The individual trades were no more necessarily all
+in one street. Shops did not have to close at sunset. The guilds
+developed and in some cases were able to exercise locally some influence
+upon the officials.
+
+
+6 _Growth of the small gentry_
+
+With the spread of book printing, all kinds of books became easily
+accessible, including reprints of examination papers. Even businessmen
+and farmers increasingly learned to read and to write, and many people
+now could prepare themselves for the examinations. Attendance, however,
+at the examinations cost a good deal. The candidate had to travel to the
+local or provincial capital, and for the higher examinations to the
+capital of the country; he had to live there for several months and, as
+a rule, had to bribe the examiners or at least to gain the favour of
+influential people. There were many cases of candidates becoming
+destitute. Most of them were heavily in debt when at last they gained a
+position. They naturally set to work at once to pay their debts out of
+their salary, and to accumulate fresh capital to meet future
+emergencies. The salaries of officials were, however, so small that it
+was impossible to make ends meet; and at the same time every official
+was liable with his own capital for the receipt in full of the taxes for
+the collection of which he was responsible. Consequently every official
+began at once to collect more taxes than were really due, so as to be
+able to cover any deficits, and also to cover his own cost of
+living--including not only the repayment of his debts but the
+acquisition of capital or land so as to rise in the social scale. The
+old gentry had been rich landowners, and had had no need to exploit the
+peasants on such a scale.
+
+The Chinese empire was greater than it had been before the Mongol epoch,
+and the population was also greater, so that more officials were needed.
+Thus in the Ming epoch there began a certain democratization, larger
+sections of the population having the opportunity of gaining government
+positions; but this democratization brought no benefit to the general
+population but resulted in further exploitation of the peasants.
+
+The new "small gentry" did not consist of great families like the
+original gentry. When, therefore, people of that class wanted to play a
+political part in the central government, or to gain a position there,
+they had either to get into close touch with one of the families of the
+gentry, or to try to approach the emperor directly. In the immediate
+entourage of the emperor, however, were the eunuchs. A good many members
+of the new class had themselves castrated after they had passed their
+state examination. Originally eunuchs were forbidden to acquire
+education. But soon the Ming emperors used the eunuchs as a tool to
+counteract the power of gentry cliques and thus to strengthen their
+personal power. When, later, eunuchs controlled appointments to
+government posts, long established practices of bureaucratic
+administration were eliminated and the court, i.e. the emperor and his
+tools, the eunuchs, could create a rule by way of arbitrary decisions, a
+despotic rule. For such purposes, eunuchs had to have education, and
+these new educated eunuchs, when they had once secured a position, were
+able to gain great influence in the immediate entourage of the emperor;
+later such educated eunuchs were preferred, especially as many offices
+were created which were only filled by eunuchs and for which educated
+eunuchs were needed. Whole departments of eunuchs came into existence at
+court, and these were soon made use of for confidential business of the
+emperor's outside the palace.
+
+These eunuchs worked, of course, in the interest of their families. On
+the other hand, they were very ready to accept large bribes from the
+gentry for placing the desires of people of the gentry before the
+emperor and gaining his consent. Thus the eunuchs generally accumulated
+great wealth, which they shared with their small gentry relatives. The
+rise of the small gentry class was therefore connected with the
+increased influence of the eunuchs at court.
+
+
+7 _Literature, art, crafts_
+
+The growth of the small gentry which had its stronghold in the
+provincial towns and cities, as well as the rise of the merchant class
+and the liberation of the artisans, are reflected in the new literature
+of Ming time. While the Mongols had developed the theatre, the novel may
+be regarded as the typical Ming creation. Its precursors were the
+stories of story-tellers centuries ago. They had developed many styles,
+one of which, for instance, consisted of prose with intercalated poetic
+parts (_pien-wen_). Buddhists monks had used these forms of popular
+literature and spread their teachings in similar forms; due to them,
+many Indian stories and tales found their way into the Chinese
+folklore. Soon, these stories of story-tellers or monks were written
+down, and out of them developed the Chinese classical novel. It
+preserved many traits of the stories: it was cut into chapters
+corresponding with the interruptions which the story-teller made in
+order to collect money; it was interspersed with poems. But most of all,
+it was written in everyday language, not in the language of the gentry.
+To this day every Chinese knows and reads with enthusiasm
+_Shui-hu-chuan_ ("The Story of the River Bank"), probably written about
+1550 by Wang Tao-k'un, in which the ruling class was first described in
+its decay. Against it are held up as ideals representatives of the
+middle class in the guise of the gentleman brigand. Every Chinese also
+knows the great satirical novel _Hsi-yu-chi_ ("The Westward Journey"),
+by Feng Meng-lung (1574-1645), in which ironical treatment is meted out
+to all religions and sects against a mythological background, with a
+freedom that would not have been possible earlier. The characters are
+not presented as individuals but as representatives of human types: the
+intellectual, the hedonist, the pious man, and the simpleton, are drawn
+with incomparable skill, with their merits and defects. A third famous
+novel is _San-kuo yen-i_ ("The Tale of the Three Kingdoms"), by Lo
+Kuan-chung. Just as the European middle class read with avidity the
+romances of chivalry, so the comfortable class in China was enthusiastic
+over romanticized pictures of the struggle of the gentry in the third
+century. "The Tale of the Three Kingdoms" became the model for countless
+historical novels of its own and subsequent periods. Later, mainly in
+the sixteenth century, the sensational and erotic novel developed, most
+of all in Nanking. It has deeply influenced Japanese writers, but was
+mercilessly suppressed by the Chinese gentry which resented the
+frivolity of this wealthy and luxurious urban class of middle or small
+gentry families who associated with rich merchants, actors, artists and
+musicians. Censorship of printed books had started almost with the
+beginning of book printing as a private enterprise: to the famous
+historian, anti-Buddhist and conservative Ou-yang Hsiu (1007-1072), the
+enemy of Wang An-shih, belongs the sad glory of having developed the
+first censorship rules. Since Ming time, it became a permanent feature
+of Chinese governments.
+
+The best known of the erotic novels is the _Chin-p'ing-mei_ which, for
+reasons of our own censors can be published only in expurgated
+translations. It was written probably towards the end of the sixteenth
+century. This novel, as all others, has been written and re-written by
+many authors, so that many different versions exist. It might be pointed
+out that many novels were printed in Hui-chou, the commercial centre of
+the time.
+
+The short story which formerly served the entertainment of the educated
+only and which was, therefore, written in classical Chinese, now also
+became a literary form appreciated by the middle classes. The collection
+_Chin-ku ch'i-kuan_ ("Strange Stories of New Times and Old"), compiled
+by Feng Meng-lung, is the best-known of these collections in vernacular
+Chinese.
+
+Little original work was done in the Ming epoch in the fields generally
+regarded as "literature" by educated Chinese, those of poetry and the
+essay. There are some admirable essays, but these are only isolated
+examples out of thousands. So also with poetry: the poets of the gentry,
+united in "clubs", chose the poets of the Sung epoch as their models to
+emulate.
+
+The Chinese drama made further progress in the Ming epoch. Many of the
+finest Chinese dramas were written under the Ming; they are still
+produced again and again to this day. The most famous dramatists of the
+Ming epoch are Wang Shih-chen (1526-1590) and T'ang Hsien-tsu
+(1556-1617). T'ang wrote the well-known drama _Mu-tan-t'ing_ ("The Peony
+Pavillion"), one of the finest love-stories of Chinese literature, full
+of romance and remote from all reality. This is true also of the other
+dramas by T'ang, especially his "Four Dreams", a series of four plays.
+In them a man lives in dream through many years of his future life, with
+the result that he realizes the worthlessness of life and decides to
+become a monk.
+
+Together with the development of the drama (or, rather, the opera) in
+the Ming epoch went an important endeavour in the modernization of
+music, the attempt to create a "well-tempered scale" made in 1584 by Chu
+Tsai-yue. This solved in China a problem which was not tackled till later
+in Europe. The first Chinese theorists of music who occupied themselves
+with this problem were Ching Fang (77-37 B.C.) and Ho Ch'eng-t'ien (A.D.
+370-447).
+
+In the Mongol epoch, most of the Chinese painters had lived in central
+China; this remained so in the Ming epoch. Of the many painters of the
+Ming epoch, all held in high esteem in China, mention must be made
+especially of Ch'iu Ying (_c._ 1525), T'ang Yin (1470-1523), and Tung
+Ch'i-ch'ang (1555-1636). Ch'iu Ying painted in the Academic Style,
+indicating every detail, however small, and showing preference for a
+turquoise-green ground. T'ang Yin was the painter of elegant women; Tung
+became famous especially as a calligraphist and a theoretician of the
+art of painting; a textbook of the art was written by him.
+
+Just as puppet plays and shadow theatre are the "opera of the common
+man" and took a new development in Ming time, the wood-cut and
+block-printing developed largely as a cheap substitute of real
+paintings. The new urbanites wanted to have paintings of the masters and
+found in the wood-cut which soon became a multi-colour print a cheap
+mass medium. Block printing in colours, developed in the Yangtze valley,
+was adopted by Japan and found its highest refinement there. But the
+Ming are also famous for their monumental architecture which largely
+followed Mongol patterns. Among the most famous examples is the famous
+Great Wall which had been in dilapidation and was rebuilt; the great
+city walls of Peking; and large parts of the palaces of Peking, begun in
+the Mongol epoch. It was at this time that the official style which we
+may observe to this day in North China was developed, the style employed
+everywhere, until in the age of concrete it lost its justification.
+
+In the Ming epoch the porcelain with blue decoration on a white ground
+became general; the first examples, from the famous kilns in
+Ching-te-chen, in the province of Kiangsi, were relatively coarse, but
+in the fifteenth century the production was much finer. In the sixteenth
+century the quality deteriorated, owing to the disuse of the cobalt from
+the Middle East (perhaps from Persia) in favour of Sumatra cobalt, which
+did not yield the same brilliant colour. In the Ming epoch there also
+appeared the first brilliant red colour, a product of iron, and a start
+was then made with three-colour porcelain (with lead glaze) or
+five-colour (enamel). The many porcelains exported to western Asia and
+Europe first influenced European ceramics (Delft), and then were
+imitated in Europe (Boettger); the early European porcelains long showed
+Chinese influence (the so-called onion pattern, blue on a white ground).
+In addition to the porcelain of the Ming epoch, of which the finest
+specimens are in the palace at Istanbul, especially famous are the
+lacquers (carved lacquer, lacquer painting, gold lacquer) of the Ming
+epoch and the cloisonne work of the same period. These are closely
+associated with the contemporary work in Japan.
+
+
+8 _Politics at court_
+
+After the founding of the dynasty by Chu Yuean-chang, important questions
+had to be dealt with apart from the social legislation. What was to be
+done, for instance, with Chu's helpers? Chu, like many revolutionaries
+before and after him, recognized that these people had been serviceable
+in the years of struggle but could no longer remain useful. He got rid
+of them by the simple device of setting one against another so that they
+murdered one another. In the first decades of his rule the dangerous
+cliques of gentry had formed again, and were engaged in mutual
+struggles. The most formidable clique was led by Hu Wei-yung. Hu was a
+man of the gentry of Chu's old homeland, and one of his oldest
+supporters. Hu and his relations controlled the country after 1370,
+until in 1380 Chu succeeded in beheading Hu and exterminating his
+clique. New cliques formed before long and were exterminated in turn.
+
+Chu had founded Nanking in the years of revolution, and he made it his
+capital. In so doing he met the wishes of the rich grain producers of
+the Yangtze delta. But the north was the most threatened part of his
+empire, so that troops had to be permanently stationed there in
+considerable strength. Thus Peking, where Chu placed one of his sons as
+"king", was a post of exceptional importance.
+
+In Chu Yuean-chang's last years (he was named T'ai Tsu as emperor)
+difficulties arose in regard to the dynasty. The heir to the throne died
+in 1391; and when the emperor himself died in 1398, the son of the late
+heir-apparent was installed as emperor (Hui Ti, 1399-1402). This choice
+had the support of some of the influential Confucian gentry families of
+the south. But a protest against his enthronement came from the other
+son of Chu Yuean-chang, who as king in Peking had hoped to become
+emperor. With his strong army this prince, Ch'eng Tsu, marched south and
+captured Nanking, where the palaces were burnt down. There was a great
+massacre of supporters of the young emperor, and the victor made himself
+emperor (better known under his reign name, Yung-lo). As he had
+established himself in Peking, he transferred the capital to Peking,
+where it remained throughout the Ming epoch. Nanking became a sort of
+subsidiary capital.
+
+This transfer of the capital to the north, as the result of the victory
+of the military party and Buddhists allied to them, produced a new
+element of instability: the north was of military importance, but the
+Yangtze region remained the economic centre of the country. The
+interests of the gentry of the Yangtze region were injured by the
+transfer. The first Ming emperor had taken care to make his court
+resemble the court of the Mongol rulers, but on the whole had exercised
+relative economy. Yung-lo (1403-1424), however, lived in the actual
+palaces of the Mongol rulers, and all the luxury of the Mongol epoch was
+revived. This made the reign of Yung-lo the most magnificent period of
+the Ming epoch, but beneath the surface decay had begun. Typical of the
+unmitigated absolutism which developed now, was the word of one of the
+emperor's political and military advisors, significantly a Buddhist
+monk: "I know the way of heaven. Why discuss the hearts of the people?"
+
+
+9 _Navy. Southward expansion_
+
+After the collapse of Mongol rule in Indo-China, partly through the
+simple withdrawal of the Mongols, and partly through attacks from
+various Chinese generals, there were independence movements in
+south-west China and Indo-China. In 1393 wars broke out in Annam.
+Yung-lo considered that the time had come to annex these regions to
+China and so to open a new field for Chinese trade, which was suffering
+continual disturbance from the Japanese. He sent armies to Yuennan and
+Indo-China; at the same time he had a fleet built by one of his eunuchs,
+Cheng Ho. The fleet was successfully protected from attack by the
+Japanese. Cheng Ho, who had promoted the plan and also carried it out,
+began in 1405 his famous mission to Indo-China, which had been envisaged
+as giving at least moral support to the land operations, but was also
+intended to renew trade connections with Indo-China, where they had been
+interrupted by the collapse of Mongol rule. Cheng Ho sailed past
+Indo-China and ultimately reached the coast of Arabia. His account of
+his voyage is an important source of information about conditions in
+southern Asia early in the fifteenth century. Cheng Ho and his fleet
+made some further cruises, but they were discontinued. There may have
+been several reasons. (1) As state enterprises, the expeditions were
+very costly. Foreign goods could be obtained more cheaply and with less
+trouble if foreign merchants came themselves to China or Chinese
+merchants travelled at their own risk. (2) The moral success of the
+naval enterprises was assured. China was recognized as a power
+throughout southern Asia, and Annam had been reconquered. (3) After the
+collapse of the Mongol emperor Timur, who died in 1406, there no longer
+existed any great power in Central Asia, so that trade missions from the
+kingdom of the Shahruk in North Persia were able to make their way to
+China, including the famous mission of 1409-1411. (4) Finally, the fleet
+would have had to be permanently guarded against the Japanese, as it had
+been stationed not in South China but in the Yangtze region. As early as
+1411 the canals had been repaired, and from 1415 onward all the traffic
+of the country went by the canals, so evading the Japanese peril. This
+ended the short chapter of Chinese naval history.
+
+These travels of Cheng Ho seem to have had one more cultural result: a
+large number of fairy-tales from the Middle East were brought to China,
+or at all events reached China at that time. The Chinese, being a
+realistically-minded people, have produced few fairy-tales of their own.
+The bulk of their finest fairy-tales were brought by Buddhist monks, in
+the course of the first millennium A.D., from India by way of Central
+Asia. The Buddhists made use of them to render their sermons more
+interesting and impressive. As time went on, these stories spread all
+over China, modified in harmony with the spirit of the people and
+adapted to the Chinese environment. Only the fables failed to strike
+root in China: the matter-of-fact Chinese was not interested in animals
+that talked and behaved to each other like human beings. In addition,
+however, to these early fairy-tales, there was another group of stories
+that did not spread throughout China, but were found only in the
+south-eastern coastal provinces. These came from the Middle East,
+especially from Persia. The fairy-tales of Indian origin spread not only
+to Central Asia but at the same time to Persia, where they found a very
+congenial soil. The Persians made radical changes in the stories and
+gave them the form in which they came to Europe by various
+routes--through North Africa to Spain and France; through
+Constantinople, Venice, or Genoa to France; through Russian Turkestan to
+Russia, Finland, and Sweden; through Turkey and the Balkans to Hungary
+and Germany. Thus the stories found a European home. And this same
+Persian form was carried by sea in Cheng Ho's time to South China. Thus
+we have the strange experience of finding some of our own finest
+fairy-tales in almost the same form in South China.
+
+
+10 _Struggles between cliques_
+
+Yung-lo's successor died early. Under the latter's son, the emperor
+Hsuean Tsung (1426-1435; reign name Hsuean-te), fixed numbers of
+candidates were assigned for the state examinations. It had been found
+that almost the whole of the gentry in the Yangtze region sat at the
+examinations; and that at these examinations their representatives made
+sure, through their mutual relations, that only their members should
+pass, so that the candidates from the north were virtually excluded. The
+important military clique in the north protested against this, and a
+compromise was arrived at: at every examination one-third of the
+candidates must come from the north and two-thirds from the south. This
+system lasted for a long time, and led to many disputes.
+
+At his death Hsuean Tsung left the empire to his eight-year-old son Ying
+Tsung (1436-49 and 1459-64), who was entirely in the hands of the Yang
+clique, which was associated with his grandmother. Soon, however,
+another clique, led by the eunuch Wang Chen, gained the upper hand at
+court. The Mongols were very active at this time, and made several raids
+on the province of Shansi; Wang Chen proposed a great campaign against
+them, and in this campaign he took with him the young emperor, who had
+reached his twenty-first birthday in 1449. The emperor had grown up in
+the palace and knew nothing of the world outside; he was therefore glad
+to go with Wang Chen; but that eunuch had also lived in the palace and
+also knew nothing of the world, and in particular of war. Consequently
+he failed in the organization of reinforcements for his army, some
+100,000 strong; after a few brief engagements the Oirat-Mongol prince
+Esen had the imperial army surrounded and the emperor a prisoner. The
+eunuch Wang Chen came to his end, and his clique, of course, no longer
+counted. The Mongols had no intention of killing the emperor; they
+proposed to hold him to ransom, at a high price. The various cliques at
+court cared little, however, about their ruler. After the fall of the
+Wang clique there were two others, of which one, that of General Yue,
+became particularly powerful, as he had been able to repel a Mongol
+attack on Peking. Yue proclaimed a new emperor--not the captive emperor's
+son, a baby, but his brother, who became the emperor Ching Tsung. The
+Yang clique insisted on the rights of the imperial baby. From all this
+the Mongols saw that the Chinese were not inclined to spend a lot of
+money on their imperial captive. Accordingly they made an enormous
+reduction in the ransom demanded, and more or less forced the Chinese to
+take back their former emperor. The Mongols hoped that this would at
+least produce political disturbances by which they might profit, once
+the old emperor was back in Peking. And this did soon happen. At first
+the ransomed emperor was pushed out of sight into a palace, and Ching
+Tsung continued to reign. But in 1456 Ching Tsung fell ill, and a
+successor to him had to be chosen. The Yue clique wanted to have the son
+of Ching Tsung; the Yang clique wanted the son of the deposed emperor
+Ying Tsung. No agreement was reached, so that in the end a third clique,
+led by the soldier Shih Heng, who had helped to defend Peking against
+the Mongols, found its opportunity, and by a _coup d' etat_ reinstated
+the deposed emperor Ying Tsung.
+
+This was not done out of love for the emperor, but because Shih Heng
+hoped that under the rule of the completely incompetent Ying Tsung he
+could best carry out a plan of his own, to set up his own dynasty. It is
+not so easy, however, to carry a conspiracy to success when there are
+several rival parties, each of which is ready to betray any of the
+others. Shih Heng's plan became known before long, and he himself was
+beheaded (1460).
+
+The next forty years were filled with struggles between cliques, which
+steadily grew in ferocity, particularly since a special office, a sort
+of secret police headquarters, was set up in the palace, with functions
+which it extended beyond the palace, with the result that many people
+were arrested and disappeared. This office was set up by the eunuchs and
+the clique at their back, and was the first dictatorial organ created in
+the course of a development towards despotism that made steady progress
+in these years.
+
+In 1505 Wu Tsung came to the throne, an inexperienced youth of fifteen
+who was entirely controlled by the eunuchs who had brought him up. The
+leader of the eunuchs was Liu Chin, who had the support of a group of
+people of the gentry and the middle class. Liu Chin succeeded within a
+year in getting rid of the eunuchs at court who belonged to other
+cliques and were working against him. After that he proceeded to
+establish his power. He secured in entirely official form the emperor's
+permission for him to issue all commands himself; the emperor devoted
+himself only to his pleasures, and care was taken that they should keep
+him sufficiently occupied to have no chance to notice what was going on
+in the country. The first important decree issued by Liu Chin resulted
+in the removal from office or the punishment or murder of over three
+hundred prominent persons, the leaders of the cliques opposed to him. He
+filled their posts with his own supporters, until all the higher posts
+in every department were in the hands of members of his group. He
+collected large sums of money which he quite openly extracted from the
+provinces as a special tax for his own benefit. When later his house was
+searched there were found 240,000 bars and 57,800 pieces of gold (a bar
+was equivalent of ten pieces), 791,800 ounces and 5,000,000 bars of
+silver (a bar was five ounces), three bushels of precious stones, two
+gold cuirasses, 3,000 gold rings, and much else--of a total value
+exceeding the annual budget of the state! The treasure was to have been
+used to finance a revolt planned by Liu Chin and his supporters.
+
+Among the people whom Liu Chin had punished were several members of the
+former clique of the Yang, and also the philosopher Wang Yang-ming, who
+later became so famous, a member of the Wang family which was allied to
+the Yang. In 1510 the Yang won over one of the eunuchs in the palace and
+so became acquainted with Liu Chin's plans. When a revolt broke out in
+western China, this eunuch (whose political allegiance was, of course,
+unknown to Liu Chin) secured appointment as army commander. With the
+army intended for the crushing of the revolt, Liu Chin's palace was
+attacked when he was asleep, and he and all his supporters were
+arrested. Thus the other group came into power in the palace, including
+the philosopher Wang Yang-ming (1473-1529). Liu Chin's rule had done
+great harm to the country, as enormous taxation had been expended for
+the private benefit of his clique. On top of this had been the young
+emperor's extravagance: his latest pleasures had been the building of
+palaces and the carrying out of military games; he constantly assumed
+new military titles and was burning to go to war.
+
+
+11 _Risings_
+
+The emperor might have had a good opportunity for fighting, for his
+misrule had resulted in a great popular rising which began in the west,
+in Szechwan, and then spread to the east. As always, the rising was
+joined by some ruined scholars, and the movement, which had at first
+been directed against the gentry as such, was turned into a movement
+against the government of the moment. No longer were all the wealthy and
+all officials murdered, but only those who did not join the movement. In
+1512 the rebels were finally overcome, not so much by any military
+capacity of the government armies as through the loss of the rebels'
+fleet of boats in a typhoon.
+
+In 1517 a new favourite of the emperor's induced him to make a great
+tour in the north, to which the favourite belonged. The tour and the
+hunting greatly pleased the emperor, so that he continued his
+journeying. This was the year in which the Portuguese Fernao Pires de
+Andrade landed in Canton--the first modern European to enter China.
+
+In 1518 Wang Yang-ming, the philosopher general, crushed a rising in
+Kiangsi. The rising had been the outcome of years of unrest, which had
+had two causes: native risings of the sort we described above, and loss
+for the gentry due to the transfer of the capital. The province of
+Kiangsi was a part of the Yangtze region, and the great landowners there
+had lived on the profit from their supplies to Nanking. When the capital
+was moved to Peking, their takings fell. They placed themselves under a
+prince who lived in Nanking. This prince regarded Wang Yang-ming's move
+into Kiangsi as a threat to him, and so rose openly against the
+government and supported the Kiangsi gentry. Wang Yang-ming defeated
+him, and so came into the highest favour with the incompetent emperor.
+When peace had been restored in Nanking, the emperor dressed himself up
+as an army commander, marched south, and made a triumphal entry into
+Nanking.
+
+One other aspect of Wang Yang-ming's expeditions has not yet been
+studied: he crushed also the so-called salt-merchant rebels in the
+southernmost part of Kiangsi and adjoining Kwangtung. These
+merchants-turned-rebels had dominated a small area, off and on since
+the eleventh century. At this moment, they seem to have had connections
+with the rich inland merchants of Hsin-an and perhaps also with
+foreigners. Information is still too scanty to give more details, but a
+local movement as persistent as this one deserves attention.
+
+Wang Yang-ming became acquainted as early as 1519 with the first
+European rifles, imported by the Portuguese who had landed in 1517. (The
+Chinese then called them Fu-lang-chi, meaning Franks. Wang was the first
+Chinese who spoke of the "Franks".) The Chinese had already had mortars
+which hurled stones, as early as the second century A.D. In the seventh
+or eighth century their mortars had sent stones of a couple of
+hundredweights some four hundred yards. There is mention in the eleventh
+century of cannon which apparently shot with a charge of a sort of
+gunpowder. The Mongols were already using true cannon in their sieges.
+In 1519, the first Portuguese were presented to the Chinese emperor in
+Nanking, where they were entertained for about a year in a hostel, a
+certain Lin Hsuen learned about their rifles and copied them for Wang
+Yang-ming. In general, however, the Chinese had no respect for the
+Europeans, whom they described as "bandits" who had expelled the lawful
+king of Malacca and had now come to China as its representatives. Later
+they were regarded as a sort of Japanese, because they, too, practised
+piracy.
+
+
+12 _Machiavellism_
+
+All main schools of Chinese philosophy were still based on Confucius.
+Wang Yang-ming's philosophy also followed Confucius, but he liberated
+himself from the Neo-Confucian tendency as represented by Chu Hsi, which
+started in the Sung epoch and continued to rule in China in his time and
+after him; he introduced into Confucian philosophy the conception of
+"intuition". He regarded intuition as the decisive philosophic
+experience; only through intuition could man come to true knowledge.
+This idea shows an element of meditative Buddhism along lines which the
+philosopher Lu Hsiang-shan (1139-1192) had first developed, while
+classical Neo-Confucianism was more an integration of monastic Buddhism
+into Confucianism. Lu had felt himself close to Wang An-shih
+(1021-1086), and this whole school, representing the small gentry of the
+Yangtze area, was called the Southern or the Lin-ch'uan school,
+Lin-ch'uan in Kiangsi being Wang An-shih's home. During the Mongol
+period, a Taoist group, the _Cheng-i-chiao_ (Correct Unity Sect) had
+developed in Lin-ch'uan and had accepted some of the Lin-ch'uan
+school's ideas. Originally, this group was a continuation of Chang
+Ling's church Taosim. Through the _Cheng-i_ adherents, the Southern
+school had gained political influence on the despotic Mongol rulers. The
+despotic Yung-lo emperor had favoured the monk Tao-yen (_c_. 1338-1418)
+who had also Taoist training and proposed a philosophy which also
+stressed intuition. He was, incidentally, in charge of the compilation
+of the largest encyclopaedia ever written, the _Yung-lo ta-tien_,
+commissioned by the Yung-lo emperor.
+
+Wang Yang-ming followed the Lin-ch'uan tradition. The introduction of
+the conception of intuition, a highly subjective conception, into the
+system of a practical state philosophy like Confucianism could not but
+lead in the practice of the statesman to machiavellism. The statesman
+who followed the teaching of Wang Yang-ming had the opportunity of
+justifying whatever he did by his intuition.
+
+Wang Yang-ming failed to gain acceptance for his philosophy. His
+disciples also failed to establish his doctrine in China, because it
+served the interests of an individual despot against those of the gentry
+as a class, and the middle class, which might have formed a
+counterweight against them, was not yet politically ripe for the seizure
+of the opportunity here offered to it. In Japan, however, Wang's
+doctrine gained many followers, because it admirably served the
+dictatorial state system which had developed in that country.
+Incidentally, Chiang Kai-shek in those years in which he showed Fascist
+tendencies, also got interested in Wang Yang-ming.
+
+
+13 _Foreign relations in the sixteenth century_
+
+The feeble emperor Wu Tsung died in 1521, after an ineffective reign,
+without leaving an heir. The clique then in power at court looked among
+the possible pretenders for the one who seemed least likely to do
+anything, and their choice fell on the fifteen-year-old Shih Tsung, who
+was made emperor. The forty-five years of his reign were filled in home
+affairs with intrigues between the cliques at court, with growing
+distress in the country, and with revolts on a larger and larger scale.
+Abroad there were wars with Annam, increasing raids by the Japanese,
+and, above all, long-continued fighting against the famous Mongol ruler
+Yen-ta, from 1549 onward. At one time Yen-ta reached Peking and laid
+siege to it. The emperor, who had no knowledge of affairs, and to whom
+Yen-ta had been represented as a petty bandit, was utterly dismayed and
+ready to do whatever Yen-ta asked; in the end he was dissuaded from
+this, and an agreement was arrived at with Yen-ta for state-controlled
+markets to be set up along the frontier, where the Mongols could
+dispose of their goods against Chinese goods on very favourable terms.
+After further difficulties lasting many years, a compromise was arrived
+at: the Mongols were earning good profits from the markets, and in 1571
+Yen-ta accepted a Chinese title. On the Chinese side, this Mongol trade,
+which continued in rather different form in the Manchu epoch, led to the
+formation of a local merchant class in the frontier province of Shansi,
+with great experience in credit business; later the first Chinese
+bankers came almost entirely from this quarter.
+
+After a brief interregnum there came once more to the throne a
+ten-year-old boy, the emperor Shen Tsung (reign name Wan-li; 1573-1619).
+He, too, was entirely under the influence of various cliques, at first
+that of his tutor, the scholar Chang Chue-chan. About the time of the
+death, in 1582, of Yen-ta we hear for the first time of a new people. In
+1581 there had been unrest in southern Manchuria. The Mongolian tribal
+federation of the Tuemet attacked China, and there resulted collisions
+not only with the Chinese but between the different tribes living there.
+In southern and central Manchuria were remnants of the Tungus Juchen.
+The Mongols had subjugated the Juchen, but the latter had virtually
+become independent after the collapse of Mongol rule over China. They
+had formed several tribal alliances, but in 1581-83 these fought each
+other, so that one of the alliances to all intents was destroyed. The
+Chinese intervened as mediators in these struggles, and drew a
+demarcation line between the territories of the various Tungus tribes.
+All this is only worth mention because it was from these tribes that
+there developed the tribal league of the Manchus, who were then to rule
+China for some three hundred years.
+
+In 1592 the Japanese invaded Korea. This was their first real effort to
+set foot on the continent, a purely imperialistic move. Korea, as a
+Chinese vassal, appealed for Chinese aid. At first the Chinese army had
+no success, but in 1598 the Japanese were forced to abandon Korea. They
+revenged themselves by intensifying their raids on the coast of central
+China; they often massacred whole towns, and burned down the looted
+houses. The fighting in Korea had its influence on the Tungus tribes: as
+they were not directly involved, it contributed to their further
+strengthening.
+
+The East India Company was founded in 1600. At this time, while the
+English were trying to establish themselves in India, the Chinese tried
+to gain increased influence in the south by wars in Annam, Burma, and
+Thailand (1594-1604). These wars were for China colonial wars, similar
+to the colonial fighting by the British in India. But there began to be
+defined already at that time in the south of Asia the outlines of the
+states as they exist at the present time.
+
+In 1601 the first European, the Jesuit Matteo Ricci, succeeded in
+gaining access to the Chinese court, through the agency of a eunuch. He
+made some presents, and the Chinese regarded his visit as a mission from
+Europe bringing tribute. Ricci was therefore permitted to remain in
+Peking. He was an astronomer and was able to demonstrate to his Chinese
+colleagues the latest achievements of European astronomy. In 1613, after
+Ricci's death, the Jesuits and some Chinese whom they had converted were
+commissioned to reform the Chinese calendar. In the time of the Mongols,
+Arabs had been at work in Peking as astronomers, and their influence had
+continued under the Ming until the Europeans came. By his astronomical
+labours Ricci won a place of honour in Chinese literature; he is the
+European most often mentioned.
+
+The missionary work was less effective. The missionaries penetrated by
+the old trade routes from Canton and Macao into the province of Kiangsi
+and then into Nanking. Kiangsi and Nanking were their chief centres.
+They soon realized that missionary activity that began in the lower
+strata would have no success; it was necessary to work from above,
+beginning with the emperor, and then, they hoped, the whole country
+could be converted to Christianity. When later the emperors of the Ming
+dynasty were expelled and fugitives in South China, one of the
+pretenders to the throne was actually converted--but it was politically
+too late. The missionaries had, moreover, mistaken ideas as to the
+nature of Chinese religion; we know today that a universal adoption of
+Christianity in China would have been impossible even if an emperor had
+personally adopted that foreign faith: there were emperors who had been
+interested in Buddhism or in Taoism, but that had been their private
+affair and had never prevented them, as heads of the state, from
+promoting the religious system which politically was the most
+expedient--that is to say, usually Confucianism. What we have said here
+in regard to the Christian mission at the Ming court is applicable also
+to the missionaries at the court of the first Manchu emperors, in the
+seventeenth century. Early in the eighteenth century missionary activity
+was prohibited--not for religious but for political reasons, and only
+under the pressure of the Capitulations in the nineteenth century were
+the missionaries enabled to resume their labours.
+
+
+14 _External and internal perils_
+
+Towards the end of the reign of Wan-li, about 1620, the danger that
+threatened the empire became more and more evident. The Manchus
+complained, no doubt with justice, of excesses on the part of Chinese
+officials; the friction constantly increased, and the Manchus began to
+attack the Chinese cities in Manchuria. In 1616, after his first
+considerable successes, their leader Nurhachu assumed the imperial
+title; the name of the dynasty was Tai Ch'ing (interpreted as "The great
+clarity", but probably a transliteration of a Manchurian word meaning
+"hero"). In 1618, the year in which the Thirty Years War started in
+Europe, the Manchus conquered the greater part of Manchuria, and in 1621
+their capital was Liaoyang, then the largest town in Manchuria.
+
+But the Manchu menace was far from being the only one. On the south-east
+coast a pirate made himself independent; later, with his family, he
+dominated Formosa and fought many battles with the Europeans there
+(European sources call him Coxinga). In western China there came a great
+popular rising, in which some of the natives joined, and which spread
+through a large part of the southern provinces. This rising was
+particularly sanguinary, and when it was ultimately crushed by the
+Manchus the province of Szechwan, formerly so populous, was almost
+depopulated, so that it had later to be resettled. And in the province
+of Shantung in the east there came another great rising, also very
+sanguinary, that of the secret society of the "White Lotus". We have
+already pointed out that these risings of secret societies were always a
+sign of intolerable conditions among the peasantry. This was now the
+case once more. All the elements of danger which we mentioned at the
+outset of this chapter began during this period, between 1610 and 1640,
+to develop to the full.
+
+Then there were the conditions in the capital itself. The struggles
+between cliques came to a climax. On the death of Shen Tsung (or Wan-li;
+1573-1619), he was succeeded by his son, who died scarcely a month
+later, and then by his sixteen-year-old grandson. The grandson had been
+from his earliest youth under the influence of a eunuch, Wei
+Chung-hsien, who had castrated himself. With the emperor's wet-nurse and
+other people, mostly of the middle class, this man formed a powerful
+group. The moment the new emperor ascended the throne, Wei was
+all-powerful. He began by murdering every eunuch who did not belong to
+his clique, and then murdered the rest of his opponents. Meanwhile the
+gentry had concluded among themselves a defensive alliance that was a
+sort of party; this party was called the Tung-lin Academy. It was
+confined to literati among the gentry, and included in particular the
+literati who had failed to make their way at court, and who lived on
+their estates in Central China and were trying to gain power themselves.
+This group was opposed to Wei Chung-hsien, who ruthlessly had every
+discoverable member murdered. The remainder went into hiding and
+organized themselves secretly under another name. As the new emperor had
+no son, the attempt was made to foist a son upon him; at his death in
+1627, eight women of the harem were suddenly found to be pregnant! He
+was succeeded by his brother, who was one of the opponents of Wei
+Chung-hsien and, with the aid of the opposing clique, was able to bring
+him to his end. The new emperor tried to restore order at court and in
+the capital by means of political and economic decrees, but in spite of
+his good intentions and his unquestionable capacity he was unable to
+cope with the universal confusion. There was insurrection in every part
+of the country. The gentry, organized in their "Academies", and secretly
+at work in the provinces, no longer supported the government; the
+central power no longer had adequate revenues, so that it was unable to
+pay the armies that should have marched against all the rebels and also
+against external enemies. It was clear that the dynasty was approaching
+its end, and the only uncertainty was as to its successor. The various
+insurgents negotiated or fought with each other; generals loyal to the
+government won occasional successes against the rebels; other generals
+went over to the rebels or to the Manchus. The two most successful
+leaders of bands were Li Tzu-ch'eng and Chang Hsien-chung. Li came from
+the province of Shensi; he had come to the fore during a disastrous
+famine in his country. The years around 1640 brought several widespread
+droughts in North China, a natural phenomenon that was repeated in the
+nineteenth century, when unrest again ensued. Chang Hsien-chung returned
+for a time to the support of the government, but later established
+himself in western China. It was typical, however, of all these
+insurgents that none of them had any great objective in view. They
+wanted to get enough to eat for themselves and their followers; they
+wanted to enrich themselves by conquest; but they were incapable of
+building up an ordered and new administration. Li ultimately made
+himself "king" in the province of Shensi and called his dynasty "Shun",
+but this made no difference: there was no distribution of land among the
+peasants serving in Li's army; no plan was set into operation for the
+collection of taxes; not one of the pressing problems was faced.
+
+Meanwhile the Manchus were gaining support. Almost all the Mongol
+princes voluntarily joined them and took part in the raids into North
+China. In 1637 the united Manchus and Mongols conquered Korea. Their
+power steadily grew. What the insurgents in China failed to achieve, the
+Manchus achieved with the aid of their Chinese advisers: they created a
+new military organization, the "Banner Organization". The men fit for
+service were distributed among eight "banners", and these banners became
+the basis of the Manchu state administration. By this device the
+Manchus emerged from the stage of tribal union, just as before them
+Turks and other northern peoples had several times abandoned the
+traditional authority of a hierarchy of tribal leaders, a system of
+ruling families, in favour of the authority, based on efficiency, of
+military leaders. At the same time the Manchus set up a central
+government with special ministries on the Chinese model. In 1638 the
+Manchus appeared before Peking, but they retired once more. Manchu
+armies even reached the province of Shantung. They were hampered by the
+death at the critical moment of the Manchu ruler Abahai (1626-1643). His
+son Fu Lin was not entirely normal and was barely six years old; there
+was a regency of princes, the most prominent among them being Prince
+Dorgon.
+
+Meanwhile Li Tzu-ch'eng broke through to Peking. The city had a strong
+garrison, but owing to the disorganization of the government the
+different commanders were working against each other; and the soldiers
+had no fighting spirit because they had had no pay for a long time. Thus
+the city fell, on April 24th, 1644, and the last Ming emperor killed
+himself. A prince was proclaimed emperor; he fled through western and
+southern China, continually trying to make a stand, but it was too late;
+without the support of the gentry he had no resource, and ultimately, in
+1659, he was compelled to flee into Burma.
+
+Thus Li Tzu-ch'eng was now emperor. It should have been his task rapidly
+to build up a government, and to take up arms against the other rebels
+and against the Manchus. Instead of this he behaved in such a way that
+he was unable to gain any support from the existing officials in the
+capital; and as there was no one among his former supporters who had any
+positive, constructive ideas, just nothing was done.
+
+This, however, improved the chances of all the other aspirants to the
+imperial throne. The first to realize this clearly, and also to possess
+enough political sagacity to avoid alienating the gentry, was General Wu
+San-kui, who was commanding on the Manchu front. He saw that in the
+existing conditions in the capital he could easily secure the imperial
+throne for himself if only he had enough soldiers. Accordingly he
+negotiated with the Manchu Prince Dorgon, formed an alliance with the
+Manchus, and with them entered Peking on June 6th, 1644. Li Tzu-ch'eng
+quickly looted the city, burned down whatever he could, and fled into
+the west, continually pursued by Wu San-kui. In the end he was abandoned
+by all his supporters and killed by peasants. The Manchus, however, had
+no intention of leaving Wu San-kui in power: they established themselves
+in Peking, and Wu became their general.
+
+
+
+(C) The Manchu Dynasty (1644-1911)
+
+
+1 _Installation of Manchus_
+
+The Manchus had gained the mastery over China owing rather to China's
+internal situation than to their military superiority. How was it that
+the dynasty could endure for so long, although the Manchus were not
+numerous, although the first Manchu ruler (Fu Lin, known under the rule
+name Shun-chih; 1644-1662) was a psychopathic youth, although there were
+princes of the Ming dynasty ruling in South China, and although there
+were strong groups of rebels all over the country? The Manchus were
+aliens; at that time the national feeling of the Chinese had already
+been awakened; aliens were despised. In addition to this, the Manchus
+demanded that as a sign of their subjection the Chinese should wear
+pigtails and assume Manchurian clothing (law of 1645). Such laws could
+not but offend national pride. Moreover, marriages between Manchus and
+Chinese were prohibited, and a dual government was set up, with Manchus
+always alongside Chinese in every office, the Manchus being of course in
+the superior position. The Manchu soldiers were distributed in military
+garrisons among the great cities, and were paid state pensions, which
+had to be provided by taxation. They were the master race, and had no
+need to work. Manchus did not have to attend the difficult state
+examinations which the Chinese had to pass in order to gain an
+appointment. How was it that in spite of all this the Manchus were able
+to establish themselves?
+
+The conquering Manchu generals first went south from eastern China, and
+in 1645 captured Nanking, where a Ming prince had ruled. The region
+round Nanking was the economic centre of China. Soon the Manchus were in
+the adjoining southern provinces, and thus they conquered the whole of
+the territory of the landowning gentry, who after the events of the
+beginning of the seventeenth century had no longer trusted the Ming
+rulers. The Ming prince in Nanking was just as incapable, and surrounded
+by just as evil a clique, as the Ming emperors of the past. The gentry
+were not inclined to defend him. A considerable section of the gentry
+were reduced to utter despair; they had no desire to support the Ming
+any longer; in their own interest they could not support the rebel
+leaders; and they regarded the Manchus as just a particular sort of
+"rebels". Interpreting the refusal of some Sung ministers to serve the
+foreign Mongols as an act of loyalty, it was now regarded as shameful to
+desert a dynasty when it came to an end and to serve the new ruler, even
+if the new regime promised to be better. Many thousands of officials,
+scholars, and great landowners committed suicide. Many books, often
+really moving and tragic, are filled with the story of their lives. Some
+of them tried to form insurgent bands with their peasants and went into
+the mountains, but they were unable to maintain themselves there. The
+great bulk of the elite soon brought themselves to collaborate with the
+conquerors when they were offered tolerable conditions. In the end the
+Manchus did not interfere in the ownership of land in central China.
+
+At the time when in Europe Louis XIV was reigning, the Thirty Years War
+was coming to an end, and Cromwell was carrying out his reforms in
+England, the Manchus conquered the whole of China. Chang Hsien-chung and
+Li Tzu-ch'eng were the first to fall; the pirate Coxinga lasted a little
+longer and was even able to plunder Nanking in 1659, but in 1661 he had
+to retire to Formosa. Wu San-kui, who meanwhile had conquered western
+China, saw that the situation was becoming difficult for him. His task
+was to drive out the last Ming pretenders for the Manchus. As he had
+already been opposed to the Ming in 1644, and as the Ming no longer had
+any following among the gentry, he could not suddenly work with them
+against the Manchus. He therefore handed over to the Manchus the last
+Ming prince, whom the Burmese had delivered up to him in 1661. Wu
+San-kui's only possible allies against the Manchus were the gentry. But
+in the west, where he was in power, the gentry counted for nothing; they
+had in any case been weaker in the west, and they had been decimated by
+the insurrection of Chang Hsien-chung. Thus Wu San-kui was compelled to
+try to push eastwards, in order to unite with the gentry of the Yangtze
+region against the Manchus. The Manchus guessed Wu San-kui's plan, and
+in 1673, after every effort at accommodation had failed, open war came.
+Wu San-kui made himself emperor, and the Manchus marched against him.
+Meanwhile, the Chinese gentry of the Yangtze region had come to terms
+with the Manchus, and they gave Wu San-kui no help. He vegetated in the
+south-west, a region too poor to maintain an army that could conquer all
+China, and too small to enable him to last indefinitely as an
+independent power. He was able to hold his own until his death,
+although, with the loss of the support of the gentry, he had had no
+prospect of final success. Not until 1681 was his successor, his
+grandson Wu Shih-fan, defeated. The end of the rule of Wu San-kui and
+his successor marked the end of the national governments of China; the
+whole country was now under alien domination, for the simple reason that
+all the opponents of the Manchus had failed. Only the Manchus were
+accredited with the ability to bring order out of the universal
+confusion, so that there was clearly no alternative but to put up with
+the many insults and humiliations they inflicted--with the result that
+the national feeling that had just been aroused died away, except where
+it was kept alive in a few secret societies. There will be more to say
+about this, once the works which were suppressed by the Manchus are
+published.
+
+In the first phase of the Manchu conquest the gentry had refused to
+support either the Ming princes or Wu San-kui, or any of the rebels, or
+the Manchus themselves. A second phase began about twenty years after
+the capture of Peking, when the Manchus won over the gentry by desisting
+from any interference with the ownership of land, and by the use of
+Manchu troops to clear away the "rebels" who were hostile to the gentry.
+A reputable government was then set up in Peking, free from eunuchs and
+from all the old cliques; in their place the government looked for
+Chinese scholars for its administrative posts. Literati and scholars
+streamed into Peking, especially members of the "Academies" that still
+existed in secret, men who had been the chief sufferers from the
+conditions at the end of the Ming epoch. The young emperor Sheng Tsu
+(1663-1722; K'ang-hsi is the name by which his rule was known, not his
+name) was keenly interested in Chinese culture and gave privileged
+treatment to the scholars of the gentry who came forward. A rapid
+recovery quite clearly took place. The disturbances of the years that
+had passed had got rid of the worst enemies of the people, the
+formidable rival cliques and the individuals lusting for power; the
+gentry had become more cautious in their behaviour to the peasants; and
+bribery had been largely stamped out. Finally, the empire had been
+greatly expanded. All these things helped to stabilize the regime of the
+Manchus.
+
+
+2 _Decline in the eighteenth century_
+
+The improvement continued until the middle of the eighteenth century.
+About the time of the French Revolution there began a continuous
+decline, slow at first and then gathering speed. The European works on
+China offer various reasons for this: the many foreign wars (to which we
+shall refer later) of the emperor, known by the name of his ruling
+period, Ch'ien-lung, his craze for building, and the irruption of the
+Europeans into Chinese trade. In the eighteenth century the court
+surrounded itself with great splendour, and countless palaces and other
+luxurious buildings were erected, but it must be borne in mind that so
+great an empire as the China of that day possessed very considerable
+financial strength, and could support this luxury. The wars were
+certainly not inexpensive, as they took place along the Russian
+frontier and entailed expenditure on the transport of reinforcements and
+supplies; the wars against Turkestan and Tibet were carried on with
+relatively small forces. This expenditure should not have been beyond
+the resources of an ordered budget. Interestingly enough, the period
+between 1640 and 1840 belongs to those periods for which almost no
+significant work in the field of internal social and economic
+developments has been made; Western scholars have been too much
+interested in the impact of Western economy and culture or in the
+military events. Chinese scholars thus far have shown a prejudice
+against the Manchu dynasty and were mainly interested in the study of
+anti-Manchu movements and the downfall of the dynasty. On the other
+hand, the documentary material for this period is extremely extensive,
+and many years of work are necessary to reach any general conclusions
+even in one single field. The following remarks should, therefore, be
+taken as very tentative and preliminary, and they are, naturally,
+fragmentary.
+
+[Illustration: (Chart) POPULATION GROWTH OF CHINA]
+
+[Illustration: 14 Aborigines of South China, of the 'Black Miao' tribe,
+at a festival. China-ink drawing of the eighteenth century. _Collection
+of the Museum fuer Voelkerkunde, Berlin. No. ID_ 8756, 68.]
+
+[Illustration: 15 Pavilion on the 'Coal Hill' at Peking, in which the
+last Ming emperor committed suicide. _Photo Eberhard_.]
+
+The decline of the Manchu dynasty began at a time when the European
+trade was still insignificant, and not as late as after 1842, when China
+had had to submit to the foreign Capitulations. These cannot have been
+the true cause of the decline. Above all, the decline was not so
+noticeable in the state of the Exchequer as in a general impoverishment
+of China. The number of really wealthy persons among the gentry
+diminished, but the middle class, that is to say the people who had
+education but little or no money and property, grew steadily in number.
+
+One of the deeper reasons for the decline of the Manchu dynasty seems to
+lie in the enormous increase in the population. Here are a few Chinese
+statistics:
+
+           _Year_                     _Population_
+
+  1578 (before the Manchus) 10,621,463 families or 60,692,856 individuals
+             1662           19,203,233 families   100,000,000 individuals *
+             1710           23,311,236 families   116,000,000 individuals *
+             1729           25,480,498 families   127,000,000 individuals *
+             1741                                 143,411,559 individuals
+             1754                                 184,504,493 individuals
+             1778                                 242,965,618 individuals
+             1796                                 275,662,414 individuals
+             1814                                 374,601,132 individuals
+             1850                                 414,493,899 individuals
+            (1953)                               (601,938,035 individuals)
+                                * Approximately
+
+It may be objected that these figures are incorrect and exaggerated.
+Undoubtedly they contain errors. But the first figure (for 1578) of some
+sixty millions is in close agreement with all other figures of early
+times; the figure for 1850 seems high, but cannot be far wrong, for even
+after the great T'ai P'ing Rebellion of 1851, which, together with its
+after-effects, costs the lives of countless millions, all statisticians
+of today estimate the population of China at more than four hundred
+millions. If we enter these data together with the census of 1953 into a
+chart (see p. 273), a fairly smooth curve emerges; the special features
+are that already under the Ming the population was increasing and,
+secondly, that the high rate of increase in the population began with
+the long period of internal peace since about 1700. From that time
+onwards, all China's wars were fought at so great a distance from China
+proper that the population was not directly affected. Moreover, in the
+seventeenth and eighteenth centuries the Manchus saw to the maintenance
+of the river dykes, so that the worst inundations were prevented. Thus
+there were not so many of the floods which had often cost the lives of
+many million people in China; and there were no internal wars, with
+their heavy cost in lives.
+
+But while the population increased, the tillage failed to increase in
+the needed proportion. I have, unfortunately, no statistics for all
+periods; but the general tendency is shown by the following table:
+
+    _Date_      _Cultivated area_        mou _per person_
+                   _in_ mou
+
+     1578          701,397,600                  11.6
+     1662          531,135,800
+     1719          663,113,200
+     1729          878,176,000                   6.1
+    (1953)      (1,627,930,000)                 (2.7)
+
+Six _mou_ are about one acre. In 1578, there were 66 _mou_ land per
+family of the total population. This was close to the figures regarded
+as ideal by Chinese early economists for the producing family (100
+_mou_) considering the fact that about 80 per cent of all families at
+that time were producers. By 1729 it was only 35 _mou_ per family, i.e.
+the land had to produce almost twice as much as before. We have shown
+that the agricultural developments in the Ming time greatly increased
+the productivity of the land. This then, obviously resulted in an
+increase of population. But by the middle of the eighteenth century,
+assuming that production doubled since the sixteenth century, population
+pressure was again as heavy as it had been then. And after _c_. 1750,
+population pressure continued to build up to the present time.
+
+Internal colonization continued during the Manchu time; there was a
+continuous, but slow flow of people into Kwangsi, Kweichou, Yuennan. In
+spite of laws which prohibited emigration, Chinese also moved into
+South-East Asia. Chinese settlement in Manchuria was allowed only in the
+last years of the Manchus. But such internal colonization or emigration
+could allevitate the pressure only in some areas, while it continued to
+build up in others.
+
+In Europe as well as in Japan, we find a strong population increase; in
+Europe at almost the same time as in China. But before population
+pressure became too serious in Europe or Japan, industry developed and
+absorbed the excess population. Thus, farms did not decrease too much in
+size. Too small farms are always and in many ways uneconomical. With the
+development of industries, the percentage of farm population decreased.
+In China, however, the farm population was still as high as 73.3 per
+cent of the total population in 1932 and the percentage rose to 81 per
+cent in 1950.
+
+From the middle of the seventeenth century on, commercial activities,
+especially along the coast, continued to increase and we find gentry
+families who equip sons who were unwilling or not capable to study and
+to enter the ranks of the officials, but who were too unruly to sit in
+villages and collect the rent from the tenants of the family, with money
+to enter business. The newly settled areas of Kwangtung and Kwangsi were
+ideal places for them: here they could sell Chinese products to the
+native tribes or to the new settlers at high prices. Some of these men
+introduced new techniques from the old provinces of China into the
+"colonial" areas and set up dye factories, textile factories, etc., in
+the new towns of the south. But the greatest stimulus for these
+commercial activities was foreign, European trade. American silver which
+had flooded Europe in the sixteenth century, began to flow into China
+from the beginning of the seventeenth century on. The influx was stopped
+not until between 1661 and 1684 when the government again prohibited
+coastal shipping and removed coastal settlements into the interior in
+order to stop piracy along the coasts of Fukien and independence
+movements on Formosa. But even during these twenty-three years, the
+price of silver was so low that home production was given up because it
+did not pay off. In the eighteenth century, silver again continued to
+enter China, while silk and tea were exported. This demand led to a
+strong rise in the prices of silk and tea, and benefited the merchants.
+When, from the late eighteenth century on, opium began to be imported,
+the silver left China again. The merchants profited this time from the
+opium trade, but farmers had to suffer: the price of silver went up, and
+taxes had to be paid in silver, while farm products were sold for
+copper. By 1835, the ounce of silver had a value of 2,000 copper coins
+instead of one thousand before 1800. High gains in commerce prevented
+investment in industries, because they would give lower and later
+profits than commerce. From the nineteenth century on, more and more
+industrial goods were offered by importers which also prevented
+industrialization. Finally, the gentry basically remained
+anti-industrial and anti-business. They tried to operate necessary
+enterprises such as mining, melting, porcelain production as far as
+possible as government establishments; but as the operators were
+officials, they were not too business-minded and these enterprises did
+not develop well. The businessmen certainly had enough capital, but they
+invested it in land instead of investing it in industries which could at
+any moment be taken away by the government, controlled by the officials
+or forced to sell at set prices, and which were always subject to
+exploitation by dishonest officials. A businessman felt secure only when
+he had invested in land, when he had received an official title upon the
+payment of large sums of money, or when he succeeded to push at least
+one of his sons into the government bureaucracy. No doubt, in spite of
+all this, Chinese business and industry kept on developing in the Manchu
+time, but they did not develop at such a speed as to transform the
+country from an agrarian into a modern industrial nation.
+
+
+3 _Expansion in Central Asia; the first State treaty_
+
+The rise of the Manchu dynasty actually began under the K'ang-hsi rule
+(1663-1722). The emperor had three tasks. The first was the removal of
+the last supporters of the Ming dynasty and of the generals, such as Wu
+San-kui, who had tried to make themselves independent. This necessitated
+a long series of campaigns, most of them in the south-west or south of
+China; these scarcely affected the population of China proper. In 1683
+Formosa was occupied and the last of the insurgent army commanders was
+defeated. It was shown above that the situation of all these leaders
+became hopeless as soon as the Manchus had occupied the rich Yangtze
+region and the intelligentsia and the gentry of that region had gone
+over to them.
+
+A quite different type of insurgent commander was the Mongol prince
+Galdan. He, too, planned to make himself independent of Manchu
+overlordship. At first the Mongols had readily supported the Manchus,
+when the latter were making raids into China and there was plenty of
+booty. Now, however, the Manchus, under the influence of the Chinese
+gentry whom they brought, and could not but bring, to their court, were
+rapidly becoming Chinese in respect to culture. Even in the time of
+K'ang-hsi the Manchus began to forget Manchurian; they brought tutors to
+court to teach the young Manchus Chinese. Later even the emperors did
+not understand Manchurian! As a result of this process, the Mongols
+became alienated from the Manchurians, and the situation began once more
+to be the same as at the time of the Ming rulers. Thus Galdan tried to
+found an independent Mongol realm, free from Chinese influence.
+
+The Manchus could not permit this, as such a realm would have threatened
+the flank of their homeland, Manchuria, and would have attracted those
+Manchus who objected to sinification. Between 1690 and 1696 there were
+battles, in which the emperor actually took part in person. Galdan was
+defeated. In 1715, however, there were new disturbances, this time in
+western Mongolia. Tsewang Rabdan, whom the Chinese had made khan of the
+Oeloet, rose against the Chinese. The wars that followed, extending far
+into Turkestan and also involving its Turkish population together with
+the Dzungars, ended with the Chinese conquest of the whole of Mongolia
+and of parts of eastern Turkestan. As Tsewang Rabdan had tried to extend
+his power as far as Tibet, a campaign was undertaken also into Tibet,
+Lhasa was occupied, a new Dalai Lama was installed there as supreme
+ruler, and Tibet was made into a protectorate. Since then Tibet has
+remained to this day under some form of Chinese colonial rule.
+
+This penetration of the Chinese into Turkestan took place just at the
+time when the Russians were enormously expanding their empire in Asia,
+and this formed the third problem for the Manchus. In 1650 the Russians
+had established a fort by the river Amur. The Manchus regarded the Amur
+(which they called the "River of the Black Dragon") as part of their own
+territory, and in 1685 they destroyed the Russian settlement. After this
+there were negotiations, which culminated in 1689 in the Treaty of
+Nerchinsk. This treaty was the first concluded by the Chinese state with
+a European power. Jesuit missionaries played a part in the negotiations
+as interpreters. Owing to the difficulties of translation the text of
+the treaty, in Chinese, Russian, and Manchurian, contained some
+obscurities, particulary in regard to the frontier line. Accordingly, in
+1727 the Russians asked for a revision of the old treaty. The Chinese
+emperor, whose rule name was Yung-cheng, arranged for the negotiations
+to be carried on at the frontier, in the town of Kyakhta, in Mongolia,
+where after long discussions a new treaty was concluded. Under this
+treaty the Russians received permission to set up a legation and a
+commercial agency in Peking, and also to maintain a church. This was the
+beginning of the foreign Capitulations. From the Chinese point of view
+there was nothing special in a facility of this sort. For some fifteen
+centuries all the "barbarians" who had to bring tribute had been given
+houses in the capital, where their envoys could wait until the emperor
+would receive them--usually on New Year's Day. The custom had sprung up
+at the reception of the Huns. Moreover, permission had always been given
+for envoys to be accompanied by a few merchants, who during the envoy's
+stay did a certain amount of business. Furthermore the time had been
+when the Uighurs were permitted to set up a temple of their own. At the
+time of the permission given to the Russians to set up a "legation", a
+similar office was set up (in 1729) for "Uighur" peoples (meaning
+Mohammedans), again under the control of an office, called the Office
+for Regulation of Barbarians. The Mohammedan office was placed under two
+Mohammedan leaders who lived in Peking. The Europeans, however, had
+quite different ideas about a "legation", and about the significance of
+permission to trade. They regarded this as the opening of diplomatic
+relations between states on terms of equality, and the carrying on of
+trade as a special privilege, a sort of Capitulation. This reciprocal
+misunderstanding produced in the nineteenth century a number of serious
+political conflicts. The Europeans charged the Chinese with breach of
+treaties, failure to meet their obligations, and other such things,
+while the Chinese considered that they had acted with perfect
+correctness.
+
+
+4 _Culture_
+
+In this K'ang-hsi period culture began to flourish again. The emperor
+had attracted the gentry, and so the intelligentsia, to his court
+because his uneducated Manchus could not alone have administered the
+enormous empire; and he showed great interest in Chinese culture,
+himself delved deeply into it, and had many works compiled, especially
+works of an encyclopaedic character. The encyclopaedias enabled
+information to be rapidly gained on all sorts of subjects, and thus were
+just what an interested ruler needed, especially when, as a foreigner,
+he was not in a position to gain really thorough instruction in things
+Chinese. The Chinese encyclopaedias of the seventeenth and especially of
+the eighteenth century were thus the outcome of the initiative of the
+Manchurian emperor, and were compiled for his information; they were not
+due, like the French encyclopaedias of the eighteenth century, to a
+movement for the spread of knowledge among the people. For this latter
+purpose the gigantic encyclopaedias of the Manchus, each of which fills
+several bookcases, were much too expensive and were printed in much too
+limited editions. The compilations began with the great geographical
+encyclopaedia of Ku Yen-wu (1613-1682), and attained their climax in the
+gigantic eighteenth-century encyclopaedia _T'u-shu chi-ch'eng,_
+scientifically impeccable in the accuracy of its references to sources.
+Here were already the beginnings of the "Archaeological School", built
+up in the course of the eighteenth century. This school was usually
+called "Han school" because the adherents went back to the commentaries
+of the classical texts written in Han time and discarded the orthodox
+explanations of Chu Hsi's school of Sung time. Later, its most prominent
+leader was Tai Chen (1723-1777). Tai was greatly interested in
+technology and science; he can be regarded as the first philosopher who
+exhibited an empirical, scientific way of thinking. Late nineteenth and
+early twentieth century Chinese scholarship is greatly obliged to him.
+
+The most famous literary works of the Manchu epoch belong once more to
+the field which Chinese do not regard as that of true literature--the
+novel, the short story, and the drama. Poetry did exist, but it kept to
+the old paths and had few fresh ideas. All the various forms of the Sung
+period were made use of. The essayists, too, offered nothing new, though
+their number was legion. One of the best known is Yuean Mei (1716-1797),
+who was also the author of the collection of short stories _Tse-pu-yue_
+("The Master did not tell"), which is regarded very highly by the
+Chinese. The volume of short stories entitled _Liao-chai chich-i_, by
+P'u Sung-lin (1640-1715?), is world-famous and has been translated into
+every civilized language. Both collections are distinguished by their
+simple but elegant style. The short story was popular among the greater
+gentry; it abandoned the popular style it had had in the Ming epoch, and
+adopted the polished language of scholars.
+
+The Manchu epoch has left to us what is by general consent the finest
+novel in Chinese literature, _Hung-lou-meng_ ("The Dream of the Red
+Chamber"), by Ts'ao Hsueeh-ch'in, who died in 1763. It describes the
+downfall of a rich and powerful family from the highest rank of the
+gentry, and the decadent son's love of a young and emotional lady of the
+highest circles. The story is clothed in a mystical garb that does
+something to soften its tragic ending. The interesting novel _Ju-lin
+wai-shih_ ("Private Reports from the Life of Scholars"), by Wu Ching-tzu
+(1701-1754), is a mordant criticism of Confucianism with its rigid
+formalism, of the social system, and of the examination system. Social
+criticism is the theme of many novels. The most modern in spirit of the
+works of this period is perhaps the treatment of feminism in the novel
+_Ching-hua-yuean_, by Li Yu-chen (d. 1830), which demanded equal rights
+for men and women.
+
+The drama developed quickly in the Manchu epoch, particularly in
+quantity, especially since the emperors greatly appreciated the theatre.
+A catalogue of plays compiled in 1781 contains 1,013 titles! Some of
+these dramas were of unprecedented length. One of them was played in 26
+parts containing 240 acts; a performance took two years to complete!
+Probably the finest dramas of the Manchu epoch are those of Li Yue (born
+1611), who also became the first of the Chinese dramatic critics. What
+he had to say about the art of the theatre, and about aesthetics in
+general, is still worth reading.
+
+About the middle of the nineteenth century the influence of Europe
+became more and more marked. Translation began with Yen Fu (1853-1921),
+who translated the first philosophical and scientific books and books on
+social questions and made his compatriots acquainted with Western
+thought. At the same time Lin Shu (1852-1924) translated the first
+Western short stories and novels. With these two began the new style,
+which was soon elaborated by Liang Ch'i-ch'ao, a collaborator of Sun
+Yat-sen's, and by others, and which ultimately produced the "literary
+revolution" of 1917. Translation has continued to this day; almost every
+book of outstanding importance in world literature is translated within
+a few months of its appearance, and on the average these translations
+are of a fairly high level.
+
+Particularly fine work was produced in the field of porcelain in the
+Manchu epoch. In 1680 the famous kilns in the province of Kiangsi were
+reopened, and porcelain that is among the most artistically perfect in
+the world was fired in them. Among the new colours were especially green
+shades (one group is known as _famille verte_), and also black and
+yellow compositions. Monochrome porcelain also developed further,
+including very fine dark blue, brilliant red (called "ox-blood"), and
+white. In the eighteenth century, however, there began an unmistakable
+decline, which has continued to this day, although there are still a few
+craftsmen and a few kilns that produce outstanding work (usually
+attempts to imitate old models), often in small factories.
+
+In painting, European influence soon shows itself. The best-known
+example of this is Lang Shih-ning, an Italian missionary whose original
+name was Giuseppe Castiglione (1688-1766); he began to work in China in
+1715. He learned the Chinese method of painting, but introduced a number
+of technical tricks of European painters, which were adopted in general
+practice in China, especially by the official court painters: the
+painting of the scholars who lived in seclusion remained uninfluenced.
+Dutch flower-painting also had some influence in China as early as the
+eighteenth century.
+
+The missionaries played an important part at court. The first Manchu
+emperors were as generous in this matter as the Mongols had been, and
+allowed the foreigners to work in peace. They showed special interest in
+the European science introduced by the missionaries; they had less
+sympathy for their religious message. The missionaries, for their part,
+sent to Europe enthusiastic accounts of the wonderful conditions in
+China, and so helped to popularize the idea that was being formed in
+Europe of an "enlightened", a constitutional, monarchy. The leaders of
+the Enlightenment read these reports with enthusiasm, with the result
+that they had an influence on the French Revolution. Confucius was found
+particularly attractive, and was regarded as a forerunner of the
+Enlightenment. The "Monadism" of the philosopher Leibniz was influenced
+by these reports.
+
+The missionaries gained a reputation at court as "scientists", and in
+this they were of service both to China and to Europe. The behaviour of
+the European merchants who followed the missions, spreading gradually in
+growing numbers along the coasts of China, was not by any means so
+irreproachable. The Chinese were certainly justified when they declared
+that European ships often made landings on the coast and simply looted,
+just as the Japanese had done before them. Reports of this came to the
+court, and as captured foreigners described themselves as "Christians"
+and also seemed to have some connection with the missionaries living at
+court, and as disputes had broken out among the missionaries themselves
+in connection with papal ecclesiastical policy, in the Yung-cheng period
+(1723-1736; the name of the emperor was Shih Tsung) Christianity was
+placed under a general ban, being regarded as a secret political
+organization.
+
+
+5 _Relations with the outer world_
+
+During the Yung-cheng period there was long-continued guerrilla fighting
+with natives in south-west China. The pressure of population in China
+sought an outlet in emigration. More and more Chinese moved into the
+south-west, and took the land from the natives, and the fighting was the
+consequence of this.
+
+At the beginning of the Ch'ien-lung period (1736-1796), fighting started
+again in Turkestan. Mongols, now called Kalmuks, defeated by the
+Chinese, had migrated to the Ili region, where after heavy fighting they
+gained supremacy over some of the Kazaks and other Turkish peoples
+living there and in western Turkestan. Some Kazak tribes went over to
+the Russians, and in 1735 the Russian colonialists founded the town of
+Orenburg in the western Kazak region. The Kalmuks fought the Chinese
+without cessation until, in 1739, they entered into an agreement under
+which they ceded half their territory to Manchu China, retaining only
+the Ili region. The Kalmuks subsequently reunited with other sections of
+the Kazaks against the Chinese. In 1754 peace was again concluded with
+China, but it was followed by raids on both sides, so that the Manchus
+determined to enter on a great campaign against the Ili region. This
+ended with a decisive victory for the Chinese (1755). In the years that
+followed, however, the Chinese began to be afraid that the various Kazak
+tribes might unite in order to occupy the territory of the Kalmuks,
+which was almost unpopulated owing to the mass slaughter of Kalmuks by
+the Chinese. Unrest began among the Mohammedans throughout the
+neighbouring western Turkestan, and the same Chinese generals who had
+fought the Kalmuks marched into Turkestan and captured the Mohammedan
+city states of Uch, Kashgar, and Yarkand.
+
+The reinforcements for these campaigns, and for the garrisons which in
+the following decades were stationed in the Ili region and in the west
+of eastern Turkestan, marched along the road from Peking that leads
+northward through Mongolia to the far distant Uliassutai and Kobdo. The
+cost of transport for one _shih_ (about 66 lb.) amounted to 120 pieces
+of silver. In 1781 certain economies were introduced, but between 1781
+and 1791 over 30,000 tons, making some 8 tons a day, was transported to
+that region. The cost of transport for supplies alone amounted in the
+course of time to the not inconsiderable sum of 120,000,000 pieces of
+silver. In addition to this there was the cost of the transported goods
+and of the pay of soldiers and of the administration. These figures
+apply to the period of occupation, of relative peace: during the actual
+wars of conquest the expenditure was naturally far higher. Thus these
+campaigns, though I do not think they brought actual economic ruin to
+China, were nevertheless a costly enterprise, and one which produced
+little positive advantage.
+
+In addition to this, these wars brought China into conflict with the
+European colonial powers. In the years during which the Chinese armies
+were fighting in the Ili region, the Russians were putting out their
+feelers in that direction, and the Chinese annals show plainly how the
+Russians intervened in the fighting with the Kalmuks and Kazaks. The Ili
+region remained thereafter a bone of contention between China and
+Russia, until it finally went to Russia, bit by bit, between 1847 and
+1881. The Kalmuks and Kazaks played a special part in Russo-Chinese
+relations. The Chinese had sent a mission to the Kalmuks farthest west,
+by the lower Volga, and had entered into relations with them, as early
+as 1714. As Russian pressure on the Volga region continually grew, these
+Kalmuks (mainly the Turgut tribe), who had lived there since 1630,
+decided to return into Chinese territory (1771). During this enormously
+difficult migration, almost entirely through hostile territory, a large
+number of the Turgut perished; 85,000, however, reached the Ili region,
+where they were settled by the Chinese on the lands of the eastern
+Kalmuks, who had been largely exterminated.
+
+In the south, too, the Chinese came into direct touch with the European
+powers. In 1757 the English occupied Calcutta, and in 1766 the province
+of Bengal. In 1767 a Manchu general, Ming Jui, who had been victorious
+in the fighting for eastern Turkestan, marched against Burma, which was
+made a dependency once more in 1769. And in 1790-1791 the Chinese
+conquered Nepal, south of Tibet, because Nepalese had made two attacks
+on Tibet. Thus English and Chinese political interests came here into
+contact.
+
+For the Ch'ien-lung period's many wars of conquest there seem to have
+been two main reasons. The first was the need for security. The Mongols
+had to be overthrown because otherwise the homeland of the Manchus was
+menaced; in order to make sure of the suppression of the eastern
+Mongols, the western Mongols (Kalmuks) had to be overthrown; to make
+them harmless, Turkestan and the Ili region had to be conquered; Tibet
+was needed for the security of Turkestan and Mongolia--and so on. Vast
+territories, however, were conquered in this process which were of no
+economic value, and most of which actually cost a great deal of money
+and brought nothing in. They were conquered simply for security. That
+advantage had been gained: an aggressor would have to cross great areas
+of unproductive territory, with difficult conditions for reinforcements,
+before he could actually reach China. In the second place, the Chinese
+may actually have noticed the efforts that were being made by the
+European powers, especially Russia and England, to divide Asia among
+themselves, and accordingly they made sure of their own good share.
+
+
+6 _Decline; revolts_
+
+The period of Ch'ien-lung is not only that of the greatest expansion of
+the Chinese empire, but also that of the greatest prosperity under the
+Manchu regime. But there began at the same time to be signs of internal
+decline. If we are to fix a particular year for this, perhaps it should
+be the year 1774, in which came the first great popular rising, in the
+province of Shantung. In 1775 there came another popular rising, in
+Honan--that of the "Society of the White Lotus". This society, which had
+long existed as a secret organization and had played a part in the Ming
+epoch, had been reorganized by a man named Liu Sung. Liu Sung was
+captured and was condemned to penal servitude. His followers, however,
+regrouped themselves, particularly in the province of Anhui. These
+risings had been produced, as always, by excessive oppression of the
+people by the government or the governing class. As, however, the anger
+of the population was naturally directed also against the idle Manchus
+of the cities, who lived on their state pensions, did no work, and
+behaved as a ruling class, the government saw in these movements a
+nationalist spirit, and took drastic steps against them. The popular
+leaders now altered their programme, and acclaimed a supposed descendant
+from the Ming dynasty as the future emperor. Government troops caught
+the leader of the "White Lotus" agitation, but he succeeded in escaping.
+In the regions through which the society had spread, there then began a
+sort of Inquisition, of exceptional ferocity. Six provinces were
+affected, and in and around the single city of Wuch'ang in four months
+more than 20,000 people were beheaded. The cost of the rising to the
+government ran into millions. In answer to this oppression, the popular
+leaders tightened their organization and marched north-west from the
+western provinces of which they had gained control. The rising was
+suppressed only by a very big military operation, and not until 1802.
+There had been very heavy fighting between 1793 and 1802--just when in
+Europe, in the French Revolution, another oppressed population won its
+freedom.
+
+The Ch'ien-lung emperor abdicated on New Year's Day, 1795, after ruling
+for sixty years. He died in 1799. His successor was Jen Tsung
+(1796-1821; reign name: Chia-ch'ing). In the course of his reign the
+rising of the "White Lotus" was suppressed, but in 1813 there began a
+new rising, this time in North China--again that of a secret
+organization, the "Society of Heaven's Law". One of its leaders bribed
+some eunuchs, and penetrated with a group of followers into the palace;
+he threw himself upon the emperor, who was only saved through the
+intervention of his son. At the same time the rising spread in the
+provinces. Once more the government succeeded in suppressing it and
+capturing the leaders. But the memory of these risings was kept alive
+among the Chinese people. For the government failed to realize that the
+actual cause of the risings was the general impoverishment, and saw in
+them a nationalist movement, thus actually arousing a national
+consciousness, stronger than in the Ming epoch, among the middle and
+lower classes of the people, together with hatred of the Manchus. They
+were held responsible for every evil suffered, regardless of the fact
+that similar evils had existed earlier.
+
+
+7 _European Imperialism in the Far East_
+
+With the Tao-kuang period (1821-1850) began a new period in Chinese
+history, which came to an end only in 1911.
+
+In foreign affairs these ninety years were marked by the steadily
+growing influence of the Western powers, aimed at turning China into a
+colony. Culturally this period was that of the gradual infiltration of
+Western civilization into the Far East; it was recognized in China that
+it was necessary to learn from the West. In home affairs we see the
+collapse of the dynasty and the destruction of the unity of the empire;
+of four great civil wars, one almost brought the dynasty to its end.
+North and South China, the coastal area and the interior, developed in
+different ways.
+
+Great Britain had made several attempts to improve her trade relations
+with China, but the mission of 1793 had no success, and that of 1816
+also failed. English merchants, like all foreign merchants, were only
+permitted to settle in a small area adjoining Canton and at Macao, and
+were only permitted to trade with a particular group of monopolists,
+known as the "Hong". The Hong had to pay taxes to the state, but they
+had a wonderful opportunity of enriching themselves. The Europeans were
+entirely at their mercy, for they were not allowed to travel inland, and
+they were not allowed to try to negotiate with other merchants, to
+secure lower prices by competition.
+
+The Europeans concentrated especially on the purchase of silk and tea;
+but what could they import into China? The higher the price of the goods
+and the smaller the cargo space involved, the better were the chances of
+profit for the merchants. It proved, however, that European woollens or
+luxury goods could not be sold; the Chinese would probably have been
+glad to buy food, but transport was too expensive to permit profitable
+business. Thus a new article was soon discovered--opium, carried from
+India to China: the price was high and the cargo space involved was very
+small. The Chinese were familiar with opium, and bought it readily.
+Accordingly, from 1800 onwards opium became more and more the chief
+article of trade, especially for the English, who were able to bring it
+conveniently from India. Opium is harmful to the people; the opium trade
+resulted in certain groups of merchants being inordinately enriched; a
+great deal of Chinese money went abroad. The government became
+apprehensive and sent Lin Tse-hsue as its commissioner to Canton. In 1839
+he prohibited the opium trade and burned the chests of opium found in
+British possession. The British view was that to tolerate the Chinese
+action might mean the destruction of British trade in the Far East and
+that, on the other hand, it might be possible by active intervention to
+compel the Chinese to open other ports to European trade and to shake
+off the monopoly of the Canton merchants. In 1840 British ships-of-war
+appeared off the south-eastern coast of China and bombarded it. In 1841
+the Chinese opened negotiations and dismissed Lin Tse-hsue. As the
+Chinese concessions were regarded as inadequate, hostilities continued;
+the British entered the Yangtze estuary and threatened Nanking. In this
+first armed conflict with the West, China found herself defenceless
+owing to her lack of a navy, and it was also found that the European
+weapons were far superior to those of the Chinese. In 1842 China was
+compelled to capitulate: under the Treaty of Nanking Hong Kong was ceded
+to Great Britain, a war indemnity was paid, certain ports were thrown
+open to European trade, and the monopoly was brought to an end. A great
+deal of opium came, however, into China through smuggling--regrettably,
+for the state lost the customs revenue!
+
+This treaty introduced the period of the Capitulations. It contained the
+dangerous clause which added most to China's misfortunes--the Most
+Favoured Nation clause, providing that if China granted any privilege to
+any other state, that privilege should also automatically be granted to
+Great Britain. In connection with this treaty it was agreed that the
+Chinese customs should be supervised by European consuls; and a trade
+treaty was granted. Similar treaties followed in 1844 with France and
+the United States. The missionaries returned; until 1860, however, they
+were only permitted to work in the treaty ports. Shanghai was thrown
+open in 1843, and developed with extraordinary rapidity from a town to a
+city of a million and a centre of world-wide importance.
+
+The terms of the Nanking Treaty were not observed by either side; both
+evaded them. In order to facilitate the smuggling, the British had
+permitted certain Chinese junks to fly the British flag. This also
+enabled these vessels to be protected by British ships-of-war from
+pirates, which at that time were very numerous off the southern coast
+owing to the economic depression. The Chinese, for their part, placed
+every possible obstacle in the way of the British. In 1856 the Chinese
+held up a ship sailing under the British flag, pulled down its flag, and
+arrested the crew on suspicion of smuggling. In connection with this and
+other events, Britain decided to go to war. Thus began the "Lorcha War"
+of 1857, in which France joined for the sake of the booty to be
+expected. Britain had just ended the Crimean War, and was engaged in
+heavy fighting against the Moguls in India. Consequently only a small
+force of a few thousand men could be landed in China; Canton, however,
+was bombarded, and also the forts of Tientsin. There still seemed no
+prospect of gaining the desired objectives by negotiation, and in 1860 a
+new expedition was fitted out, this time some 20,000 strong. The troops
+landed at Tientsin and marched on Peking; the emperor fled to Jehol and
+did not return; he died in 1861. The new Treaty of Tientsin (1860)
+provided for (a) the opening of further ports to European traders; (b)
+the session of Kowloon, the strip of land lying opposite Hong Kong; (c)
+the establishment of a British legation in Peking; (d) freedom of
+navigation along the Yangtze; (e) permission for British subjects to
+purchase land in China; (f) the British to be subject to their own
+consular courts and not to the Chinese courts; (g) missionary activity
+to be permitted throughout the country. In addition to this, the
+commercial treaty was revised, the opium trade was permitted once more,
+and a war indemnity was to be paid by China. In the eyes of Europe,
+Britain had now succeeded in turning China not actually into a colony,
+but at all events into a semi-colony; China must be expected soon to
+share the fate of India. China, however, with her very different
+conceptions of intercourse between states, did not realize the full
+import of these terms; some of them were regarded as concessions on
+unimportant points, which there was no harm in granting to the trading
+"barbarians", as had been done in the past; some were regarded as simple
+injustices, which at a given moment could be swept away by
+administrative action.
+
+But the result of this European penetration was that China's balance of
+trade was adverse, and became more and more so, as under the commercial
+treaties she could neither stop the importation of European goods nor
+set a duty on them; and on the other hand she could not compel
+foreigners to buy Chinese goods. The efflux of silver brought general
+impoverishment to China, widespread financial stringency to the state,
+and continuous financial crises and inflation. China had never had much
+liquid capital, and she was soon compelled to take up foreign loans in
+order to pay her debts. At that time internal loans were out of the
+question (the first internal loan was floated in 1894): the population
+did not even know what a state loan meant; consequently the loans had to
+be issued abroad. This, however, entailed the giving of securities,
+generally in the form of economic privileges. Under the Most Favoured
+Nation clause, however, these privileges had then to be granted to other
+states which had made no loans to China. Clearly a vicious spiral, which
+in the end could only bring disaster.
+
+The only exception to the general impoverishment, in which not only the
+peasants but the old upper classes were involved, was a certain section
+of the trading community and the middle class, which had grown rich
+through its dealings with the Europeans. These people now accumulated
+capital, became Europeanized with their staffs, acquired land from the
+impoverished gentry, and sent their sons abroad to foreign universities.
+They founded the first industrial undertakings, and learned European
+capitalist methods. This class was, of course, to be found mainly in the
+treaty ports in the south and in their environs. The south, as far north
+as Shanghai, became more modern and more advanced; the north made no
+advance. In the south, European ways of thought were learnt, and Chinese
+and European theories were compared. Criticism began. The first
+revolutionary societies were formed in this atmosphere in the south.
+
+
+8 _Risings in Turkestan and within China: the T'ai P'ing Rebellion_
+
+But the emperor Hsuean Tsung (reign name Tao-kuang), a man in poor health
+though not without ability, had much graver anxieties than those
+caused by the Europeans. He did not yet fully realize the seriousness of
+the European peril.
+
+[Illustration: 16 The imperial summer palace of the Manchu rulers, at
+Jehol. _Photo H. Hammer-Morrisson._]
+
+[Illustration: 17 Tower on the city wall of Peking. _Photo H.
+Hammer-Morris son_.]
+
+In Turkestan, where Turkish Mohammedans lived under Chinese rule,
+conditions were far from being as the Chinese desired. The Chinese, a
+fundamentally rationalistic people, regarded religion as a purely
+political matter, and accordingly required every citizen to take part in
+the official form of worship. Subject to that, he might privately belong
+to any other religion. To a Mohammedan, this was impossible and
+intolerable. The Mohammedans were only ready to practise their own
+religion, and absolutely refused to take part in any other. The Chinese
+also tried to apply to Turkestan in other matters the same legislation
+that applied to all China, but this proved irreconcilable with the
+demands made by Islam on its followers. All this produced continual
+unrest.
+
+Turkestan had had a feudal system of government with a number of feudal
+lords (_beg_), who tried to maintain their influence and who had the
+support of the Mohammedan population. The Chinese had come to Turkestan
+as soldiers and officials, to administer the country. They regarded
+themselves as the lords of the land and occupied themselves with the
+extraction of taxes. Most of the officials were also associated with the
+Chinese merchants who travelled throughout Turkestan and as far as
+Siberia. The conflicts implicit in this situation produced great
+Mohammedan risings in the nineteenth century. The first came in
+1825-1827; in 1845 a second rising flamed up, and thirty years later
+these revolts led to the temporary loss of the whole of Turkestan.
+
+In 1848, native unrest began in the province of Hunan, as a result of
+the constantly growing pressure of the Chinese settlers on the native
+population; in the same year there was unrest farther south, in the
+province of Kwangsi, this time in connection with the influence of the
+Europeans. The leader was a quite simple man of Hakka blood, Hung
+Hsiu-ch'uean (born 1814), who gathered impoverished Hakka peasants round
+him as every peasant leader had done in the past. Very often the nucleus
+of these peasant movements had been a secret society with a particular
+religious tinge; this time the peasant revolutionaries came forward as
+at the same time the preachers of a new religion of their own. Hung had
+heard of Christianity from missionaries (1837), and he mixed up
+Christian ideas with those of ancient China and proclaimed to his
+followers a doctrine that promised the Kingdom of God on earth. He
+called himself "Christ's younger brother", and his kingdom was to be
+called _T'ai P'ing_ ("Supreme Peace"). He made his first comrades,
+charcoal makers, local doctors, peddlers and farmers, into kings, and
+made himself emperor. At bottom the movement, like all similar ones
+before it, was not religious but social; and it produced a great
+response from the peasants. The programme of the T'ai P'ing, in some
+points influenced by Christian ideas but more so by traditional Chinese
+thought, was in many points revolutionary: (a) all property was communal
+property; (b) land was classified into categories according to its
+fertility and equally distributed among men and women. Every producer
+kept of the produce as much as he and his family needed and delivered
+the rest into the communal granary; (c) administration and tax systems
+were revised; (d) women were given equal rights: they fought together
+with men in the army and had access to official position. They had to
+marry, but monogamy was requested; (e) the use of opium, tobacco and
+alcohol was prohibited, prostitution was illegal; (f) foreigners were
+regarded as equals, capitulations as the Manchus had accepted were not
+recognized. A large part of the officials, and particularly of the
+soldiers sent against the revolutionaries, were Manchus, and
+consequently the movement very soon became a nationalist movement, much
+as the popular movement at the end of the Mongol epoch had done. Hung
+made rapid progress; in 1852 he captured Hankow, and in 1853 Nanking,
+the important centre in the east. With clear political insight he made
+Nanking his capital. In this he returned to the old traditions of the
+beginning of the Ming epoch, no doubt expecting in this way to attract
+support from the eastern Chinese gentry, who had no liking for a capital
+far away in the north. He made a parade of adhesion to the ancient
+Chinese tradition: his followers cut off their pigtails and allowed
+their hair to grow as in the past.
+
+He did not succeed, however, in carrying his reforms from the stage of
+sporadic action to a systematic reorganization of the country, and he
+also failed to enlist the elements needed for this as for all other
+administrative work, so that the good start soon degenerated into a
+terrorist regime.
+
+Hung's followers pressed on from Nanking, and in 1853-1855 they advanced
+nearly to Tientsin; but they failed to capture Peking itself.
+
+The new T'ai P'ing state faced the Europeans with big problems. Should
+they work with it or against it? The T'ai P'ing always insisted that
+they were Christians; the missionaries hoped now to have the opportunity
+of converting all China to Christianity. The T'ai P'ing treated the
+missionaries well but did not let them operate. After long hesitation
+and much vacillation, however, the Europeans placed themselves on the
+side of the Manchus. Not out of any belief that the T'ai P'ing movement
+was without justification, but because they had concluded treaties with
+the Manchu government and given loans to it, of which nothing would
+have remained if the Manchus had fallen; because they preferred the weak
+Manchu government to a strong T'ai P'ing government; and because they
+disliked the socialistic element in many of the measured adopted by the
+Tai P'ing.
+
+At first it seemed as if the Manchus would be able to cope unaided with
+the T'ai P'ing, but the same thing happened as at the end of the Mongol
+rule: the imperial armies, consisting of the "banners" of the Manchus,
+the Mongols, and some Chinese, had lost their military skill in the long
+years of peace; they had lost their old fighting spirit and were glad to
+be able to live in peace on their state pensions. Now three men came to
+the fore--a Mongol named Seng-ko-lin-ch'in, a man of great personal
+bravery, who defended the interests of the Manchu rulers; and two
+Chinese, Tseng Kuo-fan (1811-1892) and Li Hung-chang (1823-1901), who
+were in the service of the Manchus but used their position simply to
+further the interests of the gentry. The Mongol saved Peking from
+capture by the T'ai P'ing. The two Chinese were living in central China,
+and there they recruited, Li at his own expense and Tseng out of the
+resources at his disposal as a provincial governor, a sort of militia,
+consisting of peasants out to protect their homes from destruction by
+the peasants of the T'ai P'ing. Thus the peasants of central China, all
+suffering from impoverishment, were divided into two groups, one
+following the T'ai P'ing, the other following Tseng Kuo-fan. Tseng's
+army, too, might be described as a "national" army, because Tseng was
+not fighting for the interests of the Manchus. Thus the peasants, all
+anti-Manchu, could choose between two sides, between the T'ai P'ing and
+Tseng Kuo-fan. Although Tseng represented the gentry and was thus
+against the simple common people, peasants fought in masses on his side,
+for he paid better, and especially more regularly. Tseng, being a good
+strategist, won successes and gained adherents. Thus by 1856 the T'ai
+P'ing were pressed back on Nanking and some of the towns round it; in
+1864 Nanking was captured.
+
+While in the central provinces the T'ai P'ing rebellion was raging,
+China was suffering grave setbacks owing to the Lorcha War of 1856; and
+there were also great and serious risings in other parts of the country.
+In 1855 the Yellow River had changed its course, entering the sea once
+more at Tientsin, to the great loss of the regions of Honan and Anhui.
+In these two central provinces the peasant rising of the so-called "Nien
+Fei" had begun, but it only became formidable after 1855, owing to the
+increasing misery of the peasants. This purely peasant revolt was not
+suppressed by the Manchu government until 1868, after many collisions.
+Then, however, there began the so-called "Mohammedan risings". Here
+there are, in all, five movements to distinguish: (1) the Mohammedan
+rising in Kansu (1864-5); (2) the Salar movement in Shensi; (3) the
+Mohammedan revolt in Yuennan (1855-1873); (4) the rising in Kansu (1895);
+(5) the rebellion of Yakub Beg in Turkestan (from 1866 onward).
+
+While we are fairly well informed about the other popular risings of
+this period, the Mohammedan revolts have not yet been well studied. We
+know from unofficial accounts that these risings were suppressed with
+great brutality. To this day there are many Mohammedans in, for
+instance, Yuennan, but the revolt there is said to have cost a million
+lives. The figures all rest on very rough estimates: in Kansu the
+population is said to have fallen from fifteen millions to one million;
+the Turkestan revolt is said to have cost ten million lives. There are
+no reliable statistics; but it is understandable that at that time the
+population of China must have fallen considerably, especially if we bear
+in mind the equally ferocious suppression of the risings of the T'ai
+P'ing and the Nien Fei within China, and smaller risings of which we
+have made no mention.
+
+The Mohammedan risings were not elements of a general Mohammedan revolt,
+but separate events only incidentally connected with each other. The
+risings had different causes. An important factor was the general
+distress in China. This was partly due to the fact that the officials
+were exploiting the peasant population more ruthlessly than ever. In
+addition to this, owing to the national feeling which had been aroused
+in so unfortunate a way, the Chinese felt a revulsion against
+non-Chinese, such as the Salars, who were of Turkish race. Here there
+were always possibilities of friction, which might have been removed
+with a little consideration but which swelled to importance through the
+tactless behaviour of Chinese officials. Finally there came divisions
+among the Mohammedans of China which led to fighting between themselves.
+
+All these risings were marked by two characteristics. They had no
+general political aim such as the founding of a great and universal
+Islamic state. Separate states were founded, but they were too small to
+endure; they would have needed the protection of great states. But they
+were not moved by any pan-Islamic idea. Secondly, they all took place on
+Chinese soil, and all the Mohammedans involved, except in the rising of
+the Salars, were Chinese. These Chinese who became Mohammedans are
+called Dungans. The Dungans are, of course, no longer pure Chinese,
+because Chinese who have gone over to Islam readily form mixed
+marriages with Islamic non-Chinese, that is to say with Turks and
+Mongols.
+
+The revolt, however, of Yakub Beg in Turkestan had a quite different
+character. Yakub Beg (his Chinese name was An Chi-yeh) had risen to the
+Chinese governorship when he made himself ruler of Kashgar. In 1866 he
+began to try to make himself independent of Chinese control. He
+conquered Ili, and then in a rapid campaign made himself master of all
+Turkestan.
+
+His state had a much better prospect of endurance than the other
+Mohammedan states. He had full control of it from 1874. Turkestan was
+connected with China only by the few routes that led between the desert
+and the Tibetan mountains. The state was supported against China by
+Russia, which was continually pressing eastward, and in the south by
+Great Britain, which was pressing towards Tibet. Farther west was the
+great Ottoman empire; the attempt to gain direct contact with it was not
+hopeless in itself, and this was recognized at Istanbul. Missions went
+to and fro, and Turkish officers came to Yakub Beg and organized his
+army; Yakub Beg recognized the Turkish sultan as Khalif. He also
+concluded treaties with Russia and Great Britain. But in spite of all
+this he was unable to maintain his hold of Turkestan. In 1877 the famous
+Chinese general Tso Tsung-t'ang (1812-1885), who had fought against the
+T'ai P'ing and also against the Mohammedans in Kansu, marched into
+Turkestan and ended Yakub Beg's rule.
+
+Yakub was defeated, however, not so much by Chinese superiority as by a
+combination of circumstances. In order to build up his kingdom he was
+compelled to impose heavy taxation, and this made him unpopular with his
+own followers: they had had to pay taxes under the Chinese, but the
+Chinese collection had been much less rigorous than that of Yakub Beg.
+It was technically impossible for the Ottoman empire to give him any
+aid, even had its internal situation permitted it. Britain and Russia
+would probably have been glad to see a weakening of the Chinese hold
+over Turkestan, but they did not want a strong new state there, once
+they had found that neither of them could control the country while it
+was in Yakub Beg's hands. In 1881 Russia occupied the Ili region,
+Yakub's first conquest. In the end the two great powers considered it
+better for Turkestan to return officially into the hands of the weakened
+China, hoping that in practice they would be able to bring Turkestan
+more and more under their control. Consequently, when in 1880, three
+years after the removal of Yakub Beg, China sent a mission to Russia
+with the request for the return of the Ili region to her, Russia gave
+way, and the Treaty of Ili was concluded, ending for the time the
+Russian penetration of Turkestan. In 1882 the Manchu government raised
+Turkestan to a "new frontier" (Sinkiang) with a special administration.
+
+This process of colonial penetration of Turkestan continued. Until the
+end of the first world war there was no fundamental change in the
+situation in the country, owing to the rivalry between Great Britain and
+Russia. But after 1920 a period began in which Turkestan became almost
+independent, under a number of rulers of parts of the country. Then,
+from 1928 onward, a more and more thorough penetration by Russia began,
+so that by 1940 Turkestan could almost be called a Soviet Republic. The
+second world war diverted Russian attention to the West, and at the same
+time compelled the Chinese to retreat into the interior from the
+Japanese, so that by 1943 the country was more firmly held by the
+Chinese government than it had been for seventy years. After the
+creation of the People's Democracy mass immigration into Sinkiang began,
+in connection with the development of oil fields and of many new
+industries in the border area between Sinkiang and China proper. Roads
+and air communications opened Sinkiang. Yet, the differences between
+immigrant Chinese and local, Muslim Turks, continue to play a role.
+
+
+9 _Collision with Japan; further Capitulations_
+
+The reign of Wen Tsung (reign name Hsien-feng 1851-1861) was marked
+throughout by the T'ai P'ing and other rebellions and by wars with the
+Europeans, and that of Mu Tsung (reign name T'ung-chih: 1862-1874) by
+the great Mohammedan disturbances. There began also a conflict with
+Japan which lasted until 1945. Mu Tsung came to the throne as a child of
+five, and never played a part of his own. It had been the general rule
+for princes to serve as regents for minors on the imperial throne, but
+this time the princes concerned won such notoriety through their
+intrigues that the Peking court circles decided to entrust the regency
+to two concubines of the late emperor. One of these, called Tzu Hsi
+(born 1835), of the Manchu tribe of the Yehe-Nara, quickly gained the
+upper hand. The empress Tzu Hsi was one of the strongest personalities
+of the later nineteenth century who played an active part in Chinese
+political life. She played a more active part than any emperor had
+played for many decades.
+
+Meanwhile great changes had taken place in Japan. The restoration of the
+Meiji had ended the age of feudalism, at least on the surface. Japan
+rapidly became Westernized, and at the same time entered on an
+imperialist policy. Her aims from 1868 onward were clear, and remained
+unaltered until the end of the second World War: she was to be
+surrounded by a wide girdle of territories under Japanese domination, in
+order to prevent the approach of any enemy to the Japanese homeland.
+This girdle was divided into several zones--(1) the inner zone with the
+Kurile Islands, Sakhalin, Korea, the Ryukyu archipelago, and Formosa;
+(2) the outer zone with the Marianne, Philippine, and Caroline Islands,
+eastern China, Manchuria, and eastern Siberia; (3) the third zone, not
+clearly defined, including especially the Netherlands Indies,
+Indo-China, and the whole of China, a zone of undefined extent. The
+outward form of this subjugated region was to be that of the Greater
+Japanese Empire, described as the Imperium of the Yellow Race (the main
+ideas were contained in the Tanaka Memorandum 1927 and in the Tada
+Interview of 1936). Round Japan, moreover, a girdle was to be created of
+producers of raw materials and purchasers of manufactures, to provide
+Japanese industry with a market. Japan had sent a delegation of amity to
+China as early as 1869, and a first Sino-Japanese treaty was signed in
+1871; from then on, Japan began to carry out her imperialistic plans. In
+1874 she attacked the Ryukyu islands and Formosa on the pretext that
+some Japanese had been murdered there. Under the treaty of 1874 Japan
+withdrew once more, only demanding a substantial indemnity; but in 1876,
+in violation of the treaty and without a declaration of war, she annexed
+the Ryukyu Islands. In 1876 began the Japanese penetration into Korea;
+by 1885 she had reached the stage of a declaration that Korea was a
+joint sphere of interest of China and Japan; until then China's
+protectorate over Korea had been unchallenged. At the same time (1876)
+Great Britain had secured further Capitulations in the Chefoo
+Convention; in 1862 France had acquired Cochin China, in 1864 Cambodia,
+in 1874 Tongking, and in 1883 Annam. This led in 1884 to war between
+France and China, in which the French did not by any means gain an
+indubitable victory; but the Treaty of Tientsin left them with their
+acquisitions.
+
+Meanwhile, at the beginning of 1875, the young Chinese emperor died of
+smallpox, without issue. Under the influence of the two empresses, who
+still remained regents, a cousin of the dead emperor, the three-year-old
+prince Tsai T'ien was chosen as emperor Te Tsung (reign name Kuang-hsue:
+1875-1909). He came of age in 1889 and took over the government of the
+country. The empress Tzu Hsi retired, but did not really relinquish the
+reins.
+
+In 1894 the Sino-Japanese War broke out over Korea, as an outcome of the
+undefined position that had existed since 1885 owing to the
+imperialistic policy of the Japanese. China had created a North China
+squadron, but this was all that can be regarded as Chinese preparation
+for the long-expected war. The Governor General of Chihli (now
+Hopei--the province in which Peking is situated), Li Hung-chang, was a
+general who had done good service, but he lost the war, and at
+Shimonoseki (1895) he had to sign a treaty on very harsh terms, in which
+China relinquished her protectorate over Korea and lost Formosa. The
+intervention of France, Germany, and Russia compelled Japan to content
+herself with these acquisitions, abandoning her demand for South
+Manchuria.
+
+
+10 _Russia in Manchuria_
+
+After the Crimean War, Russia had turned her attention once more to the
+East. There had been hostilities with China over eastern Siberia, which
+were brought to an end in 1858 by the Treaty of Aigun, under which China
+ceded certain territories in northern Manchuria. This made possible the
+founding of Vladivostok in 1860. Russia received Sakhalin from Japan in
+1875 in exchange for the Kurile Islands. She received from China the
+important Port Arthur as a leased territory, and then tried to secure
+the whole of South Manchuria. This brought Japan's policy of expansion
+into conflict with Russia's plans in the Far East. Russia wanted
+Manchuria in order to be able to pursue a policy in the Pacific; but
+Japan herself planned to march into Manchuria from Korea, of which she
+already had possession. This imperialist rivalry made war inevitable:
+Russia lost the war; under the Treaty of Portsmouth in 1905 Russia gave
+Japan the main railway through Manchuria, with adjoining territory. Thus
+Manchuria became Japan's sphere of influence and was lost to the Manchus
+without their being consulted in any way. The Japanese penetration of
+Manchuria then proceeded stage by stage, not without occasional
+setbacks, until she had occupied the whole of Manchuria from 1932 to
+1945. After the end of the second world war, Manchuria was returned to
+China, with certain reservations in favour of the Soviet Union, which
+were later revoked.
+
+
+11 _Reform and reaction: the Boxer Rising_
+
+China had lost the war with Japan because she was entirely without
+modern armament. While Japan went to work at once with all her energy to
+emulate Western industrialization, the ruling class in China had shown a
+marked repugnance to any modernization; and the centre of this
+conservatism was the dowager empress Tzu Hsi. She was a woman of strong
+personality, but too uneducated--in the modern sense--to be able to
+realize that modernization was an absolute necessity for China if it was
+to remain an independent state. The empress failed to realize that the
+Europeans were fundamentally different from the neighbouring tribes or
+the pirates of the past; she had not the capacity to acquire a general
+grasp of the realities of world politics. She felt instinctively that
+Europeanization would wreck the foundations of the power of the Manchus
+and the gentry, and would bring another class, the middle class and the
+merchants, into power.
+
+There were reasonable men, however, who had seen the necessity of
+reform--especially Li Hung-chang, who has already been mentioned. In
+1896 he went on a mission to Moscow, and then toured Europe. The
+reformers were, however, divided into two groups. One group advocated
+the acquisition of a certain amount of technical knowledge from abroad
+and its introduction by slow reforms, without altering the social
+structure of the state or the composition of the government. The others
+held that the state needed fundamental changes, and that superficial
+loans from Europe were not enough. The failure in the war with Japan
+made the general desire for reform more and more insistent not only in
+the country but in Peking. Until now Japan had been despised as a
+barbarian state; now Japan had won! The Europeans had been despised; now
+they were all cutting bits out of China for themselves, extracting from
+the government one privilege after another, and quite openly dividing
+China into "spheres of interest", obviously as the prelude to annexation
+of the whole country.
+
+In Europe at that time the question was being discussed over and over
+again, why Japan had so quickly succeeded in making herself a modern
+power, and why China was not succeeding in doing so; the Japanese were
+praised for their capacity and the Chinese blamed for their lassitude.
+Both in Europe and in Chinese circles it was overlooked that there were
+fundamental differences in the social structures of the two countries.
+The basis of the modern capitalist states of the West is the middle
+class. Japan had for centuries had a middle class (the merchants) that
+had entered into a symbiosis with the feudal lords. For the middle class
+the transition to modern capitalism, and for the feudal lords the way to
+Western imperialism, was easy. In China there was only a weak middle
+class, vegetating under the dominance of the gentry; the middle class
+had still to gain the strength to liberate itself before it could become
+the support for a capitalistic state. And the gentry were still strong
+enough to maintain their dominance and so to prevent a radical
+reconstruction; all they would agree to were a few reforms from which
+they might hope to secure an increase of power for their own ends.
+
+In 1895 and in 1898 a scholar, K'ang Yo-wei, who was admitted into the
+presence of the emperor, submitted to him memoranda in which he called
+for radical reform. K'ang was a scholar who belonged to the empiricist
+school of philosophy of the early Manchu period, the so-called Han
+school. He was a man of strong and persuasive personality, and had such
+an influence on the emperor that in 1898 the emperor issued several
+edicts ordering the fundamental reorganization of education, law, trade,
+communications, and the army. These laws were not at all bad in
+themselves; they would have paved the way for a liberalization of
+Chinese society. But they aroused the utmost hatred in the conservative
+gentry and also in the moderate reformers among the gentry. K'ang Yo-wei
+and his followers, to whom a number of well-known modern scholars
+belonged, had strong support in South China. We have already mentioned
+that owing to the increased penetration of European goods and ideas,
+South China had become more progressive than the north; this had added
+to the tension already existing for other reasons between north and
+south. In foreign policy the north was more favourable to Russia and
+radically opposed to Japan and Great Britain; the south was in favour of
+co-operation with Britain and Japan, in order to learn from those two
+states how reform could be carried through. In the north the men of the
+south were suspected of being anti-Manchu and revolutionary in feeling.
+This was to some extent true, though K'ang Yo-wei and his friends were
+as yet largely unconscious of it.
+
+When the empress Tzu Hsi saw that the emperor was actually thinking
+about reforms, she went to work with lightning speed. Very soon the
+reformers had to flee; those who failed to make good their escape were
+arrested and executed. The emperor was made a prisoner in a palace near
+Peking, and remained a captive until his death; the empress resumed her
+regency on his behalf. The period of reforms lasted only for a few
+months of 1898. A leading part in the extermination of the reformers was
+played by troops from Kansu under the command of a Mohammedan, Tung
+Fu-hsiang. General Yuean Shih-k'ai, who was then stationed at Tientsin in
+command of 7,000 troops with modern equipment, the only ones in China,
+could have removed the empress and protected the reformers; but he was
+already pursuing a personal policy, and thought it safer to give the
+reformers no help.
+
+There now began, from 1898, a thoroughly reactionary rule of the dowager
+empress. But China's general situation permitted no breathing-space. In
+1900 came the so-called Boxer Rising, a new popular movement against the
+gentry and the Manchus similar to the many that had preceded it. The
+Peking government succeeded, however, in negotiations that brought the
+movement into the service of the government and directed it against the
+foreigners. This removed the danger to the government and at the same
+time helped it against the hated foreigners. But incidents resulted
+which the Peking government had not anticipated. An international army
+was sent to China, and marched from Tientsin against Peking, to liberate
+the besieged European legations and to punish the government. The
+Europeans captured Peking (1900); the dowager empress and her prisoner,
+the emperor, had to flee; some of the palaces were looted. The peace
+treaty that followed exacted further concessions from China to the
+Europeans and enormous war indemnities, the payment of which continued
+into the 1940's, though most of the states placed the money at China's
+disposal for educational purposes. When in 1902 the dowager empress
+returned to Peking and put the emperor back into his palace-prison, she
+was forced by what had happened to realize that at all events a certain
+measure of reform was necessary. The reforms, however, which she
+decreed, mainly in 1904, were very modest and were never fully carried
+out. They were only intended to make an impression on the outer world
+and to appease the continually growing body of supporters of the reform
+party, especially numerous in South China. The south remained,
+nevertheless, a focus of hostility to the Manchus. After his failure in
+1898, K'ang Yo-wei went to Europe, and no longer played any important
+political part. His place was soon taken by a young Chinese physician
+who had been living abroad, Sun Yat-sen (1866-1925), who turned the
+reform party into a middle-class revolutionary party.
+
+
+12 _End of the dynasty_
+
+Meanwhile the dowager empress held her own. General Yuean Shih-k'ai, who
+had played so dubious a part in 1898, was not impeccably loyal to her,
+and remained unreliable. He was beyond challenge the strongest man in
+the country, for he possessed the only modern army; but he was still
+biding his time.
+
+In 1908 the dowager empress fell ill; she was seventy-four years old.
+When she felt that her end was near, she seems to have had the captive
+emperor Te Tsung assassinated (at 5 p.m. on November 14th); she herself
+died next day (November 15th, 2 p.m.): she was evidently determined that
+this man, whom she had ill-treated and oppressed all his life, should
+not regain independence. As Te Tsung had no children, she nominated on
+the day of her death the two-year-old prince P'u Yi as emperor (reign
+name Hsuean-t'ung, 1909-1911).
+
+The fact that another child was to reign and a new regency to act for
+him, together with all the failures in home and foreign policy, brought
+further strength to the revolutionary party. The government believed
+that it could only maintain itself if it allowed Yuean Shih-k'ai, the
+commander of the modern troops, to come to power. The chief regent,
+however, worked against Yuean Shih-k'ai and dismissed him at the
+beginning of 1909; Yuean's supporters remained at their posts. Yuean
+himself now entered into relations with the revolutionaries, whose
+centre was Canton, and whose undisputed leader was now Sun Yat-sen. At
+this time Sun and his supporters had already made attempts at
+revolution, but without success, as his following was as yet too small.
+It consisted mainly of young intellectuals who had been educated in
+Europe and America; the great mass of the Chinese people remained
+unconvinced: the common people could not understand the new ideals, and
+the middle class did not entirely trust the young intellectuals.
+
+The state of China in 1911 was as lamentable as could be: the European
+states, Russia, America, and Japan regarded China as a field for their
+own plans, and in their calculations paid scarcely any attention to the
+Chinese government. Foreign capital was penetrating everywhere in the
+form of loans or railway and other enterprises. If it had not been for
+the mutual rivalries of the powers, China would long ago have been
+annexed by one of them. The government needed a great deal of money for
+the payment of the war indemnities, and for carrying out the few reforms
+at last decided on. In order to get money from the provinces, it had to
+permit the viceroys even more freedom than they already possessed. The
+result was a spectacle altogether resembling that of the end of the
+T'ang dynasty, about A.D. 900: the various governors were trying to make
+themselves independent. In addition to this there was the revolutionary
+movement in the south.
+
+The government made some concession to the progressives, by providing
+the first beginnings of parliamentary rule. In 1910 a national assembly
+was convoked. It had a Lower House with representatives of the provinces
+(provincial diets were also set up), and an Upper House, in which sat
+representatives of the imperial house, the nobility, the gentry, and
+also the protectorates. The members of the Upper House were all
+nominated by the regent. It very soon proved that the members of the
+Lower House, mainly representatives of the provincial gentry, had a much
+more practical outlook than the routineers of Peking. Thus the Lower
+House grew in importance, a fact which, of course, brought grist to the
+mills of the revolutionary movement.
+
+In 1910 the first risings directed actually against the regency took
+place, in the province of Hunan. In 1911 the "railway disturbances"
+broke out in western China as a reply of the railway shareholders in the
+province of Szechwan to the government decree of nationalization of all
+the railways. The modernist students, most of whom were sons of
+merchants who owned railway shares, supported the movement, and the
+government was unable to control them. At the same time a great
+anti-Manchu revolution began in Wuch'ang, one of the cities of which
+Wuhan, on the Yangtze, now consists. The revolution was the result of
+government action against a group of terrorists. Its leader was an
+officer named Li Yuean-hung. The Manchus soon had some success in this
+quarter, but the other provincial governors now rose in rapid
+succession, repudiated the Manchus, and declared themselves independent.
+Most of the Manchu garrisons in the provinces were murdered. The
+governors remained at the head of their troops in their provinces, and
+for the moment made common cause with the revolutionaries, from whom
+they meant to break free at the first opportunity. The Manchus
+themselves failed at first to realize the gravity of the revolutionary
+movement; they then fell into panic-stricken desperation. As a last
+resource, Yuean Shih-k'ai was recalled (November 10th, 1911) and made
+prime minister.
+
+Yuean's excellent troops were loyal to his person, and he could have made
+use of them in fighting on behalf of the dynasty. But a victory would
+have brought no personal gain to him; for his personal plans he
+considered that the anti-Manchu side provided the springboard he needed.
+The revolutionaries, for their part, had no choice but to win over Yuean
+Shih-k'ai for the sake of his troops, since they were not themselves
+strong enough to get rid of the Manchus, or even to wrest concessions
+from them, so long as the Manchus were defended by Yuean's army. Thus
+Yuean and the revolutionaries were forced into each other's arms. He then
+began negotiations with them, explaining to the imperial house that the
+dynasty could only be saved by concessions. The revolutionaries--apart
+from their desire to neutralize the prime minister and general, if not
+to bring him over to their side--were also readier than ever to
+negotiate, because they were short of money and unable to obtain loans
+from abroad, and because they could not themselves gain control of the
+individual governors. The negotiations, which had been carried on at
+Shanghai, were broken off on December 18th, 1911, because the
+revolutionaries demanded a republic, but the imperial house was only
+ready to grant a constitutional monarchy.
+
+Meanwhile the revolutionaries set up a provisional government at Nanking
+(December 29th, 1911), with Sun Yat-sen as president and Li Yuean-hung as
+vice-president. Yuean Shih-k'ai now declared to the imperial house that
+the monarchy could no longer be defended, as his troops were too
+unreliable, and he induced the Manchu government to issue an edict on
+February 12th, 1912, in which they renounced the throne of China and
+declared the Republic to be the constitutional form of state. The young
+emperor of the Hsuean-t'ung period, after the Japanese conquest of
+Manchuria in 1931, was installed there. He was, however, entirely
+without power during the melancholy years of his nominal rule, which
+lasted until 1945.
+
+In 1912 the Manchu dynasty came in reality to its end. On the news of
+the abdication of the imperial house, Sun Yat-sen resigned in Nanking,
+and recommended Yuean Shih-k'ai as president.
+
+
+
+
+Chapter Eleven
+
+THE REPUBLIC (1912-1948)
+
+
+1 _Social and intellectual position_
+
+In order to understand the period that now followed, let us first
+consider the social and intellectual position in China in the period
+between 1911 and 1927. The Manchu dynasty was no longer there, nor were
+there any remaining real supporters of the old dynasty. The gentry,
+however, still existed. Alongside it was a still numerically small
+middle class, with little political education or enlightenment.
+
+The political interests of these two groups were obviously in conflict.
+But after 1912 there had been big changes. The gentry were largely in a
+process of decomposition. They still possessed the basis of their
+existence, their land, but the land was falling in value, as there were
+now other opportunities of capital investment, such as export-import,
+shareholding in foreign enterprises, or industrial undertakings. It is
+important to note, however, that there was not much fluid capital at
+their disposal. In addition to this, cheaper rice and other foodstuffs
+were streaming from abroad into China, bringing the prices for Chinese
+foodstuffs down to the world market prices, another painful business
+blow to the gentry. Silk had to meet the competition of Japanese silk
+and especially of rayon; the Chinese silk was of very unequal quality
+and sold with difficulty. On the other hand, through the influence of
+the Western capitalistic system, which was penetrating more and more
+into China, land itself became "capital", an object of speculation for
+people with capital; its value no longer depended entirely on the rents
+it could yield but, under certain circumstances, on quite other
+things--the construction of railways or public buildings, and so on.
+These changes impoverished and demoralized the gentry, who in the course
+of the past century had grown fewer in number. The gentry were not in a
+position to take part fully in the capitalist manipulations, because
+they had never possessed much capital; their wealth had lain entirely
+in their land, and the income from their rents was consumed quite
+unproductively in luxurious living.
+
+Moreover, the class solidarity of the gentry was dissolving. In the
+past, politics had been carried on by cliques of gentry families, with
+the emperor at their head as an unchangeable institution. This edifice
+had now lost its summit; the struggles between cliques still went on,
+but entirely without the control which the emperor's power had after all
+exercised, as a sort of regulative element in the play of forces among
+the gentry. The arena for this competition had been the court. After the
+destruction of the arena, the field of play lost its boundaries: the
+struggles between cliques no longer had a definite objective; the only
+objective left was the maintenance or securing of any and every hold on
+power. Under the new conditions cliques or individuals among the gentry
+could only ally themselves with the possessors of military power, the
+generals or governors. In this last stage the struggle between rival
+groups turned into a rivalry between individuals. Family ties began to
+weaken and other ties, such as between school mates, or origin from the
+same village or town, became more important than they had been before.
+For the securing of the aim in view any means were considered
+justifiable. Never was there such bribery and corruption among the
+officials as in the years after 1912. This period, until 1927, may
+therefore be described as a period of dissolution and destruction of the
+social system of the gentry.
+
+Over against this dying class of the gentry stood, broadly speaking, a
+tripartite opposition. To begin with, there was the new middle class,
+divided and without clear political ideas; anti-dynastic of course, but
+undecided especially as to the attitude it should adopt towards the
+peasants who, to this day, form over 80 per cent of the Chinese
+population. The middle class consisted mainly of traders and bankers,
+whose aim was the introduction of Western capitalism in association with
+foreign powers. There were also young students who were often the sons
+of old gentry families and had been sent abroad for study with grants
+given them by their friends and relatives in the government; or sons of
+businessmen sent away by their fathers. These students not always
+accepted the ideas of their fathers; they were influenced by the
+ideologies of the West, Marxist or non-Marxist, and often created clubs
+or groups in the University cities of Europe or the United States. Such
+groups of people who had studied together or passed the exams together,
+had already begun to play a role in politics in the nineteenth century.
+Now, the influence of such organizations of usually informal character
+increased. Against the returned students who often had difficulties in
+adjustment, stood the students at Chinese Universities, especially the
+National University in Peking (Peita). They represented people of the
+same origin, but of the lower strata of the gentry or of business; they
+were more nationalistic and politically active and often less influenced
+by Western ideologies.
+
+In the second place, there was a relatively very small genuine
+proletariat, the product of the first activities of big capitalists in
+China, found mainly in Shanghai. Thirdly and finally, there was a
+gigantic peasantry, uninterested in politics and uneducated, but ready
+to give unthinking allegiance to anyone who promised to make an end of
+the intolerable conditions in the matter of rents and taxes, conditions
+that were growing steadily worse with the decay of the gentry. These
+peasants were thinking of popular risings on the pattern of all the
+risings in the history of China--attacks on the towns and the killing of
+the hated landowners, officials, and money-lenders, that is to say of
+the gentry.
+
+Such was the picture of the middle class and those who were ready to
+support it, a group with widely divergent interests, held together only
+by its opposition to the gentry system and the monarchy. It could not
+but be extremely difficult, if not impossible, to achieve political
+success with such a group. Sun Yat-sen (1866-1925), the "Father of the
+Republic", accordingly laid down three stages of progress in his many
+works, of which the best-known are _San-min chu-i_, ("The Three
+Principles of the People"), and _Chien-kuo fang-lueeh_ ("Plans for the
+Building up of the Realm"). The three phases of development through
+which republican China was to pass were: the phase of struggle against
+the old system, the phase of educative rule, and the phase of truly
+democratic government. The phase of educative rule was to be a sort of
+authoritarian system with a democratic content, under which the people
+should be familiarized with democracy and enabled to grow politically
+ripe for true democracy.
+
+Difficult as was the internal situation from the social point of view,
+it was no less difficult in economic respects. China had recognized that
+she must at least adopt Western technical and industrial progress in
+order to continue to exist as an independent state. But the building up
+of industry demanded large sums of money. The existing Chinese banks
+were quite incapable of providing the capital needed; but the acceptance
+of capital from abroad led at once, every time, to further political
+capitulations. The gentry, who had no cash worth mention, were violently
+opposed to the capitalization of their properties, and were in favour of
+continuing as far as possible to work the soil in the old style. Quite
+apart from all this, all over the country there were generals who had
+come from the ranks of the gentry, and who collected the whole of the
+financial resources of their region for the support of their private
+armies. Investors had little confidence in the republican government so
+long as they could not tell whether the government would decide in
+favour of its right or of its left wing.
+
+No less complicated was the intellectual situation at this time.
+Confucianism, and the whole of the old culture and morality bound up
+with it, was unacceptable to the middle-class element. In the first
+place, Confucianism rejected the principle, required at least in theory
+by the middle class, of the equality of all people; secondly, the
+Confucian great-family system was irreconcilable with middle-class
+individualism, quite apart from the fact that the Confucian form of
+state could only be a monarchy. Every attempt to bolster up Confucianism
+in practice or theory was bound to fail and did fail. Even the gentry
+could scarcely offer any real defence of the Confucian system any
+longer. With Confucianism went the moral standards especially of the
+upper classes of society. Taoism was out of the question as a
+substitute, because of its anarchistic and egocentric character.
+Consequently, in these years, part of the gentry turned to Buddhism and
+part to Christianity. Some of the middle class who had come under
+European influence also turned to Christianity, regarding it as a part
+of the European civilization they had to adopt. Others adhered to modern
+philosophic systems such as pragmatism and positivism. Marxist doctrines
+spread rapidly.
+
+Education was secularized. Great efforts were made to develop modern
+schools, though the work of development was continually hindered by the
+incessant political unrest. Only at the universities, which became foci
+of republican and progressive opinion, was any positive achievement
+possible. Many students and professors were active in politics,
+organizing demonstrations and strikes. They pursued a strong national
+policy, often also socialistic. At the same time real scientific work
+was done; many young scholars of outstanding ability were trained at the
+Chinese universities, often better than the students who went abroad.
+There is a permanent disagreement between these two groups of young men
+with a modern education: the students who return from abroad claim to be
+better educated, but in reality they often have only a very superficial
+knowledge of things modern and none at all of China, her history, and
+her special circumstances. The students of the Chinese universities have
+been much better instructed in all the things that concern China, and
+most of them are in no way behind the returned students in the modern
+sciences. They are therefore a much more serviceable element.
+
+The intellectual modernization of China goes under the name of the
+"Movement of May Fourth", because on May 4th, 1919, students of the
+National University in Peking demonstrated against the government and
+their pro-Japanese adherents. When the police attacked the students and
+jailed some, more demonstrations and student strikes and finally a
+general boycott of Japanese imports were the consequence. In these
+protest actions, professors such as Ts'ai Yuean-p'ei, later president of
+the Academia Sinica (died 1940), took an active part. The forces which
+had now been mobilized, rallied around the journal "New Youth" (_Hsin
+Ch'ing-nien_), created in 1915 by Ch'en Tu-hsiu. The journal was
+progressive, against the monarchy, Confucius, and the old traditions.
+Ch'en Tu-hsiu who put himself strongly behind the students, was more
+radical than other contributors but at first favoured Western democracy
+and Western science; he was influenced mainly by John Dewey who was
+guest professor in Peking in 1919-20. Similarly tending towards
+liberalism in politics and Dewey's ideas in the field of philosophy were
+others, mainly Hu Shih. Finally, some reformers criticized
+conservativism purely on the basis of Chinese thought. Hu Shih (born
+1892) gained greatest acclaim by his proposal for a "literary
+revolution", published in the "New Youth" in 1917. This revolution was
+the logically necessary application of the political revolution to the
+field of education. The new "vernacular" took place of the old
+"classical" literary language. The language of the classical works is so
+remote from the language of daily life that no uneducated person can
+understand it. A command of it requires a full knowledge of all the
+ancient literature, entailing decades of study. The gentry had
+elaborated this style of speech for themselves and their dependants; it
+was their monopoly; nobody who did not belong to the gentry and had not
+attended its schools could take part in literary or in administrative
+life. The literary revolution introduced the language of daily life, the
+language of the people, into literature: newspapers, novels, scientific
+treatises, translations, appeared in the vernacular, and could thus be
+understood by anyone who could read and write, even if he had no
+Confucianist education.
+
+It may be said that the literary revolution has achieved its main
+objects. As a consequence of it, a great quantity of new literature has
+been published. Not only is every important new book that appears in the
+West published in translation within a few months, but modern novels and
+short stories and poems have been written, some of them of high literary
+value.
+
+At the same time as this revolution there took place another fundamental
+change in the language. It was necessary to take over a vast number of
+new scientific and technical terms. As Chinese, owing to the character
+of its script, is unable to write foreign words accurately and can do no
+more than provide a rather rough paraphrase, the practice was started of
+expressing new ideas by newly formed native words. Thus modern Chinese
+has very few foreign words, and yet it has all the new ideas. For
+example, a telegram is a "lightning-letter"; a wireless telegram is a
+"not-have-wire-lightning-communication"; a fountain-pen is a
+"self-flow-ink-water-brush"; a typewriter is a "strike-letter-machine".
+Most of these neologisms are similar in the modern languages of China
+and Japan.
+
+There had been several proposals in recent decades to do away with the
+Chinese characters and to introduce an alphabet in their place. They
+have all proved to be unsatisfactory so far, because the character of
+the Chinese language, as it is at this moment, is unsuited to an
+alphabetical script. They would also destroy China's cultural unity:
+there are many dialects in China that differ so greatly from each other
+that, for instance, a man from Canton cannot understand a man from
+Shanghai. If Chinese were written with letters, the result would be a
+Canton literature and another literature confined to Shanghai, and China
+would break up into a number of areas with different languages. The old
+Chinese writing is independent of pronunciation. A Cantonese and a
+Pekinger can read each other's newspapers without difficulty. They
+pronounce the words quite differently, but the meaning is unaltered.
+Even a Japanese can understand a Chinese newspaper without special study
+of Chinese, and a Chinese with a little preparation can read a Japanese
+newspaper without understanding a single word of Japanese.
+
+The aim of modern education in China is to work towards the
+establishment of "High Chinese", the former official (Mandarin)
+language, throughout the country, and to set limits to the use of the
+various dialects. Once this has been done, it will be possible to
+proceed to a radical reform of the script without running the risk of
+political separatist movements, which are always liable to spring up,
+and also without leading, through the adoption of various dialects as
+the basis of separate literatures, to the break-up of China's cultural
+unity. In the last years, the unification of the spoken language has
+made great progress. Yet, alphabetic script is used only in cases in
+which illiterate adults have to be enabled in a short time to read very
+simple informations. More attention is given to a simplification of the
+script as it is; Japanese had started this some forty years earlier.
+Unfortunately, the new Chinese abbreviated forms of characters are not
+always identical with long-established Japanese forms, and are not
+developed in such a systematic form as would make learning of Chinese
+characters easier.
+
+
+2 _First period of the Republic: The warlords_
+
+The situation of the Republic after its foundation was far from hopeful.
+Republican feeling existed only among the very small groups of students
+who had modern education, and a few traders, in other words, among the
+"middle class". And even in the revolutionary party to which these
+groups belonged there were the most various conceptions of the form of
+republican state to be aimed at. The left wing of the party, mainly
+intellectuals and manual workers, had in view more or less vague
+socialistic institutions; the liberals, for instance the traders,
+thought of a liberal democracy, more or less on the American pattern;
+and the nationalists merely wanted the removal of the alien Manchu rule.
+The three groups had come together for the practical reason that only so
+could they get rid of the dynasty. They gave unreserved allegiance to
+Sun Yat-sen as their leader. He succeeded in mobilizing the enthusiasm
+of continually widening circles for action, not only by the integrity of
+his aims but also because he was able to present the new socialistic
+ideology in an alluring form. The anti-republican gentry, however, whose
+power was not yet entirely broken, took a stand against the party. The
+generals who had gone over to the republicans had not the slightest
+intention of founding a republic, but only wanted to get rid of the rule
+of the Manchus and to step into their place. This was true also of Yuean
+Shih-k'ai, who in his heart was entirely on the side of the gentry,
+although the European press especially had always energetically defended
+him. In character and capacity he stood far above the other generals,
+but he was no republican.
+
+Thus the first period of the Republic, until 1927, was marked by
+incessant attempts by individual generals to make themselves
+independent. The Government could not depend on its soldiers, and so was
+impotent. The first risings of military units began at the outset of
+1912. The governors and generals who wanted to make themselves
+independent sabotaged every decree of the central government; especially
+they sent it no money from the provinces and also refused to give their
+assent to foreign loans. The province of Canton, the actual birthplace
+of the republican movement and the focus of radicalism, declared itself
+in 1912 an independent republic.
+
+Within the Peking government matters soon came to a climax. Yuean
+Shih-k'ai and his supporters represented the conservative view, with the
+unexpressed but obvious aim of setting up a new imperial house and
+continuing the old gentry system. Most of the members of the parliament
+came, however, from the middle class and were opposed to any reaction of
+this sort. One of their leaders was murdered, and the blame was thrown
+upon Yuean Shih-k'ai; there then came, in the middle of 1912, a new
+revolution, in which the radicals made themselves independent and tried
+to gain control of South China. But Yuean Shih-k'ai commanded better
+troops and won the day. At the end of October 1912 he was elected,
+against the opposition, as president of China, and the new state was
+recognized by foreign countries.
+
+China's internal difficulties reacted on the border states, in which the
+European powers were keenly interested. The powers considered that the
+time had come to begin the definitive partition of China. Thus there
+were long negotiations and also hostilities between China and Tibet,
+which was supported by Great Britain. The British demanded the complete
+separation of Tibet from China, but the Chinese rejected this (1912);
+the rejection was supported by a boycott of British goods. In the end
+the Tibet question was left undecided. Tibet remained until recent years
+a Chinese dependency with a good deal of internal freedom. The Second
+World War and the Chinese retreat into the interior brought many Chinese
+settlers into Eastern Tibet which was then separated from Tibet proper
+and made a Chinese province (Hsi-k'ang) in which the native Khamba will
+soon be a minority. The communist regime soon after its establishment
+conquered Tibet (1950) and has tried to change the character of its
+society and its system of government which lead to the unsuccessful
+attempt of the Tibetans to throw off Chinese rule (1959) and the flight
+of the Dalai Lama to India. The construction of highways, air and
+missile bases and military occupation have thus tied Tibet closer to
+China than ever since early Manchu times.
+
+In Outer Mongolia Russian interests predominated. In 1911 there were
+diplomatic incidents in connection with the Mongolian question. At the
+end of 1911 the Hutuktu of Urga declared himself independent, and the
+Chinese were expelled from the country. A secret treaty was concluded in
+1912 with Russia, under which Russia recognized the independence of
+Outer Mongolia, but was accorded an important part as adviser and helper
+in the development of the country. In 1913 a Russo-Chinese treaty was
+concluded, under which the autonomy of Outer Mongolia was recognized,
+but Mongolia became a part of the Chinese realm. After the Russian
+revolution had begun, revolution was carried also into Mongolia. The
+country suffered all the horrors of the struggles between White Russians
+(General Ungern-Sternberg) and the Reds; there were also Chinese
+attempts at intervention, though without success, until in the end
+Mongolia became a Soviet Republic. As such she is closely associated
+with Soviet Russia. China, however, did not quickly recognize Mongolia's
+independence, and in his work _China's Destiny_ (1944) Chiang Kai-shek
+insisted that China's aim remained the recovery of the frontiers of
+1840, which means among other things the recovery of Outer Mongolia. In
+spite of this, after the Second World War Chiang Kai-shek had to
+renounce _de jure_ all rights in Outer Mongolia. Inner Mongolia was
+always united to China much more closely; only for a time during the war
+with Japan did the Japanese maintain there a puppet government. The
+disappearance of this government went almost unnoticed.
+
+At the time when Russian penetration into Mongolia began, Japan had
+entered upon a similar course in Manchuria, which she regarded as her
+"sphere of influence". On the outbreak of the first world war Japan
+occupied the former German-leased territory of Tsingtao, at the
+extremity of the province of Shantung, and from that point she occupied
+the railways of the province. Her plan was to make the whole province a
+protectorate; Shantung is rich in coal and especially in metals. Japan's
+plans were revealed in the notorious "Twenty-one Demands" (1915).
+Against the furious opposition especially of the students of Peking,
+Yuean Shih-k'ai's government accepted the greater part of these demands.
+In negotiations with Great Britain, in which Japan took advantage of the
+British commitments in Europe, Japan had to be conceded the predominant
+position in the Far East.
+
+Meanwhile Yuean Shih-k'ai had made all preparations for turning the
+Republic once more into an empire, in which he would be emperor; the
+empire was to be based once more on the gentry group. In 1914 he secured
+an amendment of the Constitution under which the governing power was to
+be entirely in the hands of the president; at the end of 1914 he secured
+his appointment as president for life, and at the end of 1915 he induced
+the parliament to resolve that he should become emperor.
+
+This naturally aroused the resentment of the republicans, but it also
+annoyed the generals belonging to the gentry, who had had the same
+ambition. Thus there were disturbances, especially in the south, where
+Sun Yat-sen with his followers agitated for a democratic republic. The
+foreign powers recognized that a divided China would be much easier to
+penetrate and annex than a united China, and accordingly opposed Yuean
+Shih-k'ai. Before he could ascend the throne, he died suddenly--and
+this terminated the first attempt to re-establish monarchy.
+
+Yuean was succeeded as president by Li Yuean-hung. Meanwhile five
+provinces had declared themselves independent. Foreign pressure on China
+steadily grew. She was forced to declare war on Germany, and though this
+made no practical difference to the war, it enabled the European powers
+to penetrate further into China. Difficulties grew to such an extent in
+1917 that a dictatorship was set up and soon after came an interlude,
+the recall of the Manchus and the reinstatement of the deposed emperor
+(July 1st-8th, 1917).
+
+This led to various risings of generals, each aiming simply at the
+satisfaction of his thirst for personal power. Ultimately the victorious
+group of generals, headed by Tuan Ch'i-jui, secured the election of Feng
+Kuo-chang in place of the retiring president. Feng was succeeded at the
+end of 1918 by Hsue Shih-ch'ang, who held office until 1922. Hsue, as a
+former ward of the emperor, was a typical representative of the gentry,
+and was opposed to all republican reforms.
+
+The south held aloof from these northern governments. In Canton an
+opposition government was set up, formed mainly of followers of Sun
+Yat-sen; the Peking government was unable to remove the Canton
+government. But the Peking government and its president scarcely counted
+any longer even in the north. All that counted were the generals, the
+most prominent of whom were: (1) Chang Tso-lin, who had control of
+Manchuria and had made certain terms with Japan, but who was ultimately
+murdered by the Japanese (1928); (2) Wu P'ei-fu, who held North China;
+(3) the so-called "Christian general", Feng Yue-hsiang, and (4) Ts'ao
+K'un, who became president in 1923.
+
+At the end of the first world war Japan had a hold over China amounting
+almost to military control of the country. China did not sign the Treaty
+of Versailles, because she considered that she had been duped by Japan,
+since Japan had driven the Germans out of China but had not returned the
+liberated territory to the Chinese. In 1921 peace was concluded with
+Germany, the German privileges being abolished. The same applied to
+Austria. Russia, immediately after the setting up of the Soviet
+government, had renounced all her rights under the Capitulations. This
+was the first step in the gradual rescinding of the Capitulations; the
+last of them went only in 1943, as a consequence of the difficult
+situation of the Europeans and Americans in the Pacific produced by the
+Second World War.
+
+At the end of the first world war the foreign powers revised their
+attitude towards China. The idea of territorial partitioning of the
+country was replaced by an attempt at financial exploitation; military
+friction between the Western powers and Japan was in this way to be
+minimized. Financial control was to be exercised by an international
+banking consortium (1920). It was necessary for political reasons that
+this committee should be joined by Japan. After her Twenty-one Demands,
+however, Japan was hated throughout China. During the world war she had
+given loans to the various governments and rebels, and in this way had
+secured one privilege after another. Consequently China declined the
+banking consortium. She tried to secure capital from her own resources;
+but in the existing political situation and the acute economic
+depression internal loans had no success.
+
+In an agreement between the United States and Japan in 1917, the United
+States, in consequence of the war, had had to give their assent to
+special rights for Japan in China. After the war the international
+conference at Washington (November 1921-February 1922) tried to set
+narrower limits to Japan's influence over China, and also to
+re-determine the relative strength in the Pacific of the four great
+powers (America, Britain, France, Japan). After the failure of the
+banking plan this was the last means of preventing military conflicts
+between the powers in the Far East. This brought some relief to China,
+as Japan had to yield for the time to the pressure of the western
+powers.
+
+The years that followed until 1927 were those of the complete collapse
+of the political power of the Peking government--years of entire
+dissolution. In the south Sun Yat-sen had been elected generalissimo in
+1921. In 1924 he was re-elected with a mandate for a campaign against
+the north. In 1924 there also met in Canton the first general congress
+of the Kuomintang ("People's Party"). The Kuomintang (in 1929 it had
+653,000 members, or roughly 0.15 per cent of the population) is the
+continuation of the Komingtang ("Revolutionary Party") founded by Sun
+Yat-sen, which as a middle-class party had worked for the removal of the
+dynasty. The new Kuomintang was more socialistic, as is shown by its
+admission of Communists and the stress laid upon land reform.
+
+At the end of 1924 Sun Yat-sen with some of his followers went to
+Peking, to discuss the possibility of a reunion between north and south
+on the basis of the programme of the People's Party. There, however, he
+died at the beginning of 1925, before any definite results had been
+attained; there was no prospect of achieving anything by the
+negotiations, and the south broke them off. But the death of Sun Yat-sen
+had been followed after a time by tension within the party between its
+right and left wings. The southern government had invited a number of
+Russian advisers in 1923 to assist in building up the administration,
+civil and military, and on their advice the system of government had
+been reorganized on lines similar to those of the soviet and commissar
+system. This change had been advocated by an old friend of Sun Yat-sen,
+Chiang Kai-shek, who later married Sun's sister-in-law. Chiang Kai-shek,
+who was born in 1886, was the head of the military academy at Whampoa,
+near Canton, where Russian instructors were at work. The new system was
+approved by Sun Yat-sen's successor, Hu Han-min (who died in 1936), in
+his capacity of party leader. It was opposed by the elements of the
+right, who at first had little influence. Chiang Kai-shek soon became
+one of the principal leaders of the south, as he had command of the
+efficient troops of Canton, who had been organized by the Russians.
+
+The People's Party of the south and its governments, at that time fairly
+radical in politics, were disliked by the foreign powers; only Japan
+supported them for a time, owing to the anti-British feeling of the
+South Chinese and in order to further her purpose of maintaining
+disunion in China. The first serious collision with the outer world came
+on May 30th, 1925, when British soldiers shot at a crowd demonstrating
+in Shanghai. This produced a widespread boycott of British goods in
+Canton and in British Hong Kong, inflicting a great loss on British
+trade with China and bringing considerable advantages in consequence to
+Japanese trade and shipping: from the time of this boycott began the
+Japanese grip on Chinese coastwise shipping.
+
+The second party congress was held in Canton in 1926. Chiang Kai-shek
+already played a prominent part. The People's Party, under Chiang
+Kai-shek and with the support of the communists, began the great
+campaign against the north. At first it had good success: the various
+provincial governors and generals and the Peking government were played
+off against each other, and in a short time one leader after another was
+defeated. The Yangtze was reached, and in 1926 the southern government
+moved to Hankow. All over the southern provinces there now came a
+genuine rising of the masses of the people, mainly the result of
+communist propaganda and of the government's promise to give land to the
+peasants, to set limits to the big estates, and to bring order into the
+taxation. In spite of its communist element, at the beginning of 1927
+the southern government was essentially one of the middle class and the
+peasantry, with a socialistic tendency.
+
+
+3 _Second period of the Republic: Nationalist China_
+
+With the continued success of the northern campaign, and with Chiang
+Kai-shek's southern army at the gates of Shanghai (March 21st, 1927), a
+decision had to be taken. Should the left wing be allowed to gain the
+upper hand, and the great capitalists of Shanghai be expropriated as it
+was proposed to expropriate the gentry? Or should the right wing
+prevail, an alliance be concluded with the capitalists, and limits be
+set to the expropriation of landed estates? Chiang Kai-shek, through his
+marriage with Sun Yat-sen's wife's sister, had become allied with one of
+the greatest banking families. In the days of the siege of Shanghai
+Chiang, together with his closest colleagues (with the exception of Hu
+Han-min and Wang Chying-wei, a leader who will be mentioned later),
+decided on the second alternative. Shanghai came into his hands without
+a struggle, and the capital of the Shanghai financiers, and soon foreign
+capital as well, was placed at his disposal, so that he was able to pay
+his troops and finance his administration. At the same time the Russian
+advisers were dismissed or executed.
+
+The decision arrived at by Chiang Kai-shek and his friends did not
+remain unopposed, and he parted from the "left group" (1927) which
+formed a rival government in Hankow, while Chiang Kai-shek made Nanking
+the seat of his government (April 1927). In that year Chiang not only
+concluded peace with the financiers and industrialists, but also a sort
+of "armistice" with the landowning gentry. "Land reform" still stood on
+the party programme, but nothing was done, and in this way the
+confidence and cooperation of large sections of the gentry was secured.
+The choice of Nanking as the new capital pleased both the industrialists
+and the agrarians: the great bulk of China's young industries lay in the
+Yangtze region, and that region was still the principal one for
+agricultural produce; the landowners of the region were also in a better
+position with the great market of the capital in their neighbourhood.
+
+Meanwhile the Nanking government had succeeded in carrying its dealings
+with the northern generals to a point at which they were largely
+out-manoeuvred and became ready for some sort of collaboration (1928).
+There were now four supreme commanders--Chiang Kai-shek, Feng Yue-hsiang
+(the "Christian general"), Yen Hsi-shan, the governor of Shansi, and the
+Muslim Li Chung-yen. Naturally this was not a permanent solution; not
+only did Chiang Kai-shek's three rivals try to free themselves from his
+ever-growing influence and to gain full power themselves, but various
+groups under military leadership rose again and again, even in the home
+of the Republic, Canton itself. These struggles, which were carried on
+more by means of diplomacy and bribery than at arms, lasted until 1936.
+Chiang Kai-shek, as by far the most skilful player in this game, and at
+the same time the man who had the support of the foreign governments
+and of the financiers of Shanghai, gained the victory. China became
+unified under his dictatorship.
+
+As early as 1928, when there seemed a possibility of uniting China, with
+the exception of Manchuria, which was dominated by Japan, and when the
+European powers began more and more to support Chiang Kai-shek, Japan
+felt that her interests in North China were threatened, and landed
+troops in Shantung. There was hard fighting on May 3rd, 1928. General
+Chang Tso-lin, in Manchuria, who was allied to Japan, endeavoured to
+secure a cessation of hostilities, but he fell victim to a Japanese
+assassin; his place was taken by his son, Chang Hsueeh-liang, who pursued
+an anti-Japanese policy. The Japanese recognized, however, that in view
+of the international situation the time had not yet come for
+intervention in North China. In 1929 they withdrew their troops and
+concentrated instead on their plans for Manchuria.
+
+Until the time of the "Manchurian incident" (1931), the Nanking
+government steadily grew in strength. It gained the confidence of the
+western powers, who proposed to make use of it in opposition to Japan's
+policy of expansion in the Pacific sphere. On the strength of this
+favourable situation in its foreign relations, the Nanking government
+succeeded in getting rid of one after another of the Capitulations.
+Above all, the administration of the "Maritime Customs", that is to say
+of the collection of duties on imports and exports, was brought under
+the control of the Chinese government: until then it had been under
+foreign control. Now that China could act with more freedom in the
+matter of tariffs, the government had greater financial resources, and
+through this and other measures it became financially more independent
+of the provinces. It succeeded in building up a small but modern army,
+loyal to the government and superior to the still existing provincial
+armies. This army gained its military experience in skirmishes with the
+Communists and the remaining generals.
+
+It is true that when in 1931 the Japanese occupied Manchuria, Nanking
+was helpless, since Manchuria was only loosely associated with Nanking,
+and its governor, Chang Hsueeh-liang, had tried to remain independent of
+it. Thus Manchuria was lost almost without a blow. On the other hand,
+the fighting with Japan that broke out soon afterwards in Shanghai
+brought credit to the young Nanking army, though owing to its numerical
+inferiority it was unsuccessful. China protested to the League of
+Nations against its loss of Manchuria. The League sent a commission (the
+Lytton Commission), which condemned Japan's action, but nothing further
+happened, and China indignantly broke away from her association with
+the Western powers (1932-1933). In view of the tense European situation
+(the beginning of the Hitler era in Germany, and the Italian plans of
+expansion), the Western powers did not want to fight Japan on China's
+behalf, and without that nothing more could be done. They pursued,
+indeed, a policy of playing off Japan against China, in order to keep
+those two powers occupied with each other, and so to divert Japan from
+Indo-China and the Pacific.
+
+China had thus to be prepared for being involved one day in a great war
+with Japan. Chiang Kai-shek wanted to postpone war as long as possible.
+He wanted time to establish his power more thoroughly within the
+country, and to strengthen his army. In regard to external relations,
+the great powers would have to decide their attitude sooner or later.
+America could not be expected to take up a clear attitude: she was for
+peace and commerce, and she made greater profits out of her relations
+with Japan than with China; she sent supplies to both (until 1941). On
+the other hand, Britain and France were more and more turning away from
+Japan, and Russo-Japanese relations were at all times tense. Japan tried
+to emerge from her isolation by joining the "axis powers", Germany and
+Italy (1936); but it was still doubtful whether the Western powers would
+proceed with Russia, and therefore against Japan, or with the Axis, and
+therefore in alliance with Japan.
+
+Japan for her part considered that if she was to raise the standard of
+living of her large population and to remain a world power, she must
+bring into being her "Greater East Asia", so as to have the needed raw
+material sources and export markets in the event of a collision with the
+Western powers; in addition to this, she needed a security girdle as
+extensive as possible in case of a conflict with Russia. In any case,
+"Greater East Asia" must be secured before the European conflict should
+break out.
+
+
+4 _The Sino-Japanese war_ (1937-1945)
+
+Accordingly, from 1933 onward Japan followed up her conquest of
+Manchuria by bringing her influence to bear in Inner Mongolia and in
+North China. She succeeded first, by means of an immense system of
+smuggling, currency manipulation, and propaganda, in bringing a number
+of Mongol princes over to her side, and then (at the end of 1935) in
+establishing a semi-dependent government in North China. Chiang Kai-shek
+took no action.
+
+The signal for the outbreak of war was an "incident" by the Marco Polo
+Bridge, south of Peking (July 7th, 1937). The Japanese government
+profited by a quite unimportant incident, undoubtedly provoked by the
+Japanese, in order to extend its dominion a little further. China still
+hesitated; there were negotiations. Japan brought up reinforcements and
+put forward demands which China could not be expected to be ready to
+fulfil. Japan then occupied Peking and Tientsin and wide regions between
+them and south of them. The Chinese soldiers stationed there withdrew
+almost without striking a blow, but formed up again and began to offer
+resistance. In order to facilitate the planned occupation of North
+China, including the province of Shantung, Japan decided on a
+diversionary campaign against Shanghai. The Nanking government sent its
+best troops to the new front, and held it for nearly three months
+against superior forces; but meanwhile the Japanese steadily advanced in
+North China. On November 9th Nanking fell into their hands. By the
+beginning of January 1938, the province of Shantung had also been
+conquered.
+
+Chiang Kai-shek and his government fled to Ch'ung-k'ing (Chungking), the
+most important commercial and financial centre of the interior after
+Hankow, which was soon threatened by the Japanese fleet. By means of a
+number of landings the Japanese soon conquered the whole coast of China,
+so cutting off all supplies to the country; against hard fighting in
+some places they pushed inland along the railways and conquered the
+whole eastern half of China, the richest and most highly developed part
+of the country. Chiang Kai-shek had the support only of the
+agriculturally rich province of Szechwan, and of the scarcely developed
+provinces surrounding it. Here there was as yet no industry. Everything
+in the way of machinery and supplies that could be transported from the
+hastily dismantled factories was carried westwards. Students and
+professors went west with all the contents of their universities, and
+worked on in small villages under very difficult conditions--one of the
+most memorable achievements of this war for China. But all this was by
+no means enough for waging a defensive war against Japan. Even the
+famous Burma Road could not save China.
+
+By 1940-1941 Japan had attained her war aim: China was no longer a
+dangerous adversary. She was still able to engage in small-scale
+fighting, but could no longer secure any decisive result. Puppet
+governments were set up in Peking, Canton, and Nanking, and the Japanese
+waited for these governments gradually to induce supporters of Chiang
+Kai-shek to come over to their side. Most was expected of Wang
+Ching-wei, who headed the new Nanking government. He was one of the
+oldest followers of Sun Yat-sen, and was regarded as a democrat. In
+1925, after Sun Yat-sen's death, he had been for a time the head of the
+Nanking government, and for a short time in 1930 he had led a government
+in Peking that was opposed to Chiang Kai-shek's dictatorship. Beyond any
+question Wang still had many followers, including some in the highest
+circles at Chungking, men of eastern China who considered that
+collaboration with Japan, especially in the economic field, offered good
+prospects. Japan paid lip service to this policy: there was talk of
+sister peoples, which could help each other and supply each other's
+needs. There was propaganda for a new "Greater East Asian" philosophy,
+_Wang-tao_, in accordance with which all the peoples of the East could
+live together in peace under a thinly disguised dictatorship. What
+actually happened was that everywhere Japanese capitalists established
+themselves in the former Chinese industrial plants, bought up land and
+securities, and exploited the country for the conduct of their war.
+
+After the great initial successes of Hitlerite Germany in 1939-1941,
+Japan became convinced that the time had come for a decisive blow
+against the positions of the Western European powers and the United
+States in the Far East. Lightning blows were struck at Hong Kong and
+Singapore, at French Indo-China, and at the Netherlands East Indies. The
+American navy seemed to have been eliminated by the attack on Pearl
+Harbour, and one group of islands after another fell into the hands of
+the Japanese. Japan was at the gates of India and Australia. Russia was
+carrying on a desperate defensive struggle against the Axis, and there
+was no reason to expect any intervention from her in the Far East.
+Greater East Asia seemed assured against every danger.
+
+The situation of Chiang Kai-shek's Chungking government seemed hopeless.
+Even the Burma Road was cut, and supplies could only be sent by air;
+there was shortage of everything. With immense energy small industries
+were begun all over western China, often organized as co-operatives;
+roads and railways were built--but with such resources would it ever be
+possible to throw the Japanese into the sea? Everything depended on
+holding out until a new page was turned in Europe. Infinitely slow
+seemed the progress of the first gleams of hope--the steady front in
+Burma, the reconquest of the first groups of inlands; the first bomb
+attacks on Japan itself. Even in May, 1945, with the war ended in
+Europe, there seemed no sign of its ending in the Far East. Then came
+the atom bomb, bringing the collapse of Japan; the Japanese armies
+receded from China, and suddenly China was free, mistress once more in
+her own country as she had not been for decades.
+
+
+
+
+Chapter Twelve
+
+PRESENT-DAY CHINA
+
+
+1 _The growth of communism_
+
+In order to understand today's China, we have to go back in time to
+report events which were cut short or left out of our earlier discussion
+in order to present them in the context of this chapter.
+
+Although socialism and communism had been known in China long ago, this
+line of development of Western philosophy had interested Chinese
+intellectuals much less than liberalistic, democratic Western ideas. It
+was widely believed that communism had no real prospects for China, as a
+dictatorship of the proletariat seemed to be relevant only in a highly
+industrialized and not in an agrarian society. Thus, in its beginning
+the "Movement of May Fourth" of 1919 had Western ideological traits but
+was not communistic. This changed with the success of communism in
+Russia and with the theoretical writings of Lenin. Here it was shown
+that communist theories could be applied to a country similar to China
+in its level of development. Already from 1919 on, some of the leaders
+of the Movement turned towards communism: the National University of
+Peking became the first centre of this movement, and Ch'en Tu-hsiu, then
+dean of the College of Letters, from 1920 on became one of its leaders.
+Hu Shih did not move to the left with this group; he remained a liberal.
+But another well-known writer, Lu Hsuen (1881-1936), while following Hu
+Shih in the "Literary Revolution," identified politically with Ch'en.
+There was still another man, the Director of the University Library, Li
+Ta-chao, who turned towards communism. With him we find one of his
+employees in the Library, Mao Tse-tung. In fact, the nucleus of the
+Communist Party, which was officially created as late as 1921, was a
+student organization including some professors in Peking. On the other
+hand, a student group in Paris had also learned about communism and had
+organized; the leaders of this group were Chou En-lai and Li Li-san. A
+little later, a third group organized in Germany; Chu Te belonged to
+this group. The leadership of Communist China since 1949 has been in the
+hands of men of these three former student groups.
+
+After 1920, Sun Yat-sen, too, became interested in the developments in
+Soviet Russia. Yet, he never actually became a communist; his belief
+that the soil should belong to the tiller cannot really be combined with
+communism, which advocates the abolition of individual landholdings.
+Yet, Soviet Russia found it useful to help Sun Yat-sen and advised the
+Chinese Communist Party to collaborate with the KMT (Kuo-min-tang). This
+collaboration, not always easy, continued until the fall of Shanghai in
+1927.
+
+In the meantime, Mao Tse-tung had given up his studies in Peking and had
+returned to his home in Hunan. Here, he organized his countrymen, the
+farmers of Hunan. It is said that at the verge of the northern
+expedition of Chiang Kai-shek, Mao's adherents in Hunan already numbered
+in the millions; this made the quick and smooth advance of the
+communist-advised armies of Chiang Kai-shek possible. Mao developed his
+ideas in written form in 1927; he showed that communism in China could
+be successful only if it was based upon farmers. Because of this
+unorthodox attitude, he was for years severely attacked as a
+deviationist.
+
+When Chiang Kai-shek separated from the KMT in 1927, the main body of
+the KMT remained in Hankow as the legal government. But now, while
+Chiang Kai-shek executed all leftists, union leaders, and communists who
+fell into his hands, tensions in Hankow increased between the Chinese
+Communist Party and the rest of the KMT. Finally, the KMT turned against
+the communists and reunited with Chiang Kai-shek. The remaining
+communists retreated to the Hunan-Kiangsi border area, the centre of
+Mao's activities; even the orthodox communist wing, which had condemned
+Mao, now had to come to him for protection from the KMT. A small
+communist state began to develop in Kiangsi, in spite of pressure and,
+later, attacks of the KMT against them. By 1934, this pressure became so
+strong that Kiangsi had to be abandoned, and in the epic "Long March"
+the rest of the communists and their army fought their way through all
+of western and northwestern China into the sparsely inhabited,
+underdeveloped northern part of Shensi, where a new socialistic state
+was created with Yen-an as its capital.
+
+After the fall of the communist enclave in Kiangsi, the prospects for
+the Nationalist regime were bright; indeed, the unification of China was
+almost achieved. At this moment a new Japanese invasion threatened and
+demanded the full attention of the regime. Thus, in spite of talk about
+land reform and other reforms which might have led to a liberalization
+of the government, no attention was given to internal and social
+problems except to the suppression of communist thought. Although all
+leftist publications were prohibited, most historians and sociologists
+succeeded in writing Marxist books without using Marxist terminology, so
+that they escaped Chiang's censors. These publications contributed
+greatly to preparing China's intellectuals and youth for communism.
+
+When the Japanese War began, the communists in Yen-an and the
+Nationalists under Chiang Kai-shek agreed to cooperate against the
+invaders. Yet, each side remembered its experiences in 1927 and
+distrusted the other. Chiang's resistance against the invaders became
+less effective after the Japanese occupied all of China's ports;
+supplies could reach China only in small quantities by airlift or via
+the Burma Road. There was also the belief that Japan could be defeated
+only by an attack on Japan itself and that this would have to be
+undertaken by the Western powers, not by China. The communists, on their
+side, set up a guerilla organization behind the Japanese lines, so that,
+although the Japanese controlled the cities and the lines of
+communication, they had little control over the countryside. The
+communists also attempted to infiltrate the area held by the
+Nationalists, who in turn were interested in preventing the communists
+from becoming too strong; so, Nationalist troops guarded also the
+borders of communist territory.
+
+American politicians and military advisers were divided in their
+opinions. Although they recognized the internal weakness of the
+Nationalist government, the fighting between cliques within the
+government, and the ever-increasing corruption, some advocated more help
+to the Nationalists and a firm attitude against the communists. Others,
+influenced by impressions gained during visits to Yen-an, and believing
+in the possibility of honest cooperation between a communist regime and
+any other, as Roosevelt did, attempted to effect a coalition of the
+Nationalists with the communists.
+
+At the end of the war, when the Nationalist government took over the
+administration, it lacked popular support in the areas liberated from
+the Japanese. Farmers who had been given land by the communists, or who
+had been promised it, were afraid that their former landlords, whether
+they had remained to collaborate with the Japanese or had fled to West
+China, would regain control of the land. Workers hoped for new social
+legislation and rights. Businessmen and industrialists were faced with
+destroyed factories, worn-out or antiquated equipment, and an unchecked
+inflation which induced them to shift their accounts into foreign banks
+or to favor short-term gains rather than long-term investments. As in
+all countries which have suffered from a long war and an occupation,
+the youth believed that the old regime had been to blame, and saw
+promise and hope on the political left. And, finally, the Nationalist
+soldiers, most of whom had been separated for years from their homes and
+families, were not willing to fight other Chinese in the civil war now
+well under way; they wanted to go home and start a new life. The
+communists, however, were now well organized militarily and well equiped
+with arms surrendered by the Japanese to the Soviet armies as well as
+with arms and ammunition sold to them by KMT soldiers; moreover, they
+were constantly strengthened by deserters from the KMT. The civil war
+witnessed a steady retreat by the KMT armies, which resisted only
+sporadically. By the end of 1948, most of mainland China was in the
+hands of the communists, who established their new capital in Peking.
+
+
+2 _Nationalist China in Taiwan_
+
+The Nationalist government retreated to Taiwan with those soldiers who
+remained loyal. This island was returned to China after the defeat of
+Japan, though final disposition of its status had not yet been
+determined.
+
+Taiwan's original population had been made up of more than a dozen
+tribes who are probably distant relatives of tribes in the Philippines.
+These are Taiwan's "aborigines," altogether about 200,000 people in
+1948.
+
+At about the time of the Sung dynasty, Chinese began to establish
+outposts on the island; these developed into regular agricultural
+settlements toward the end of the Ming dynasty. Immigration increased in
+the eighteenth and especially the nineteenth centuries. These Chinese
+immigrants and their descendants are the "Taiwanese," Taiwan's main
+population of about eight million people as of 1948.
+
+Taiwan was at first a part of the province of Fukien, whence most of its
+Chinese settlers came; there was also a minority of Hakka, Chinese from
+Kuangtung province. When Taiwan was ceded to Japan, it was still a
+colonial area with much lawlessness and disorder, but with a number of
+flourishing towns and a growing population. The Japanese, who sent
+administrators but no settlers, established law and order, protected the
+aborigines from land-hungry Chinese settlers, and attempted to abolish
+headhunting by the aborigines and to raise the cultural level in
+general. They built a road and railway system and strongly stressed the
+production of sugar cane and rice. During the Second World War, the
+island suffered from air attacks and from the inability of the Japanese
+to protect its industries.
+
+After Chiang Kai-shek and the remainder of his army and of his
+government officials arrived in Taiwan, they were followed by others
+fleeing from the communist regime, mainly from Chekiang, Kiangsu, and
+the northern provinces of the mainland. Eventually, there were on Taiwan
+about two million of these "mainlanders," as they have sometimes been
+called.
+
+When the Chinese Nationalists took over from the Japanese, they assumed
+all the leading positions in the government. The Taiwanese nationals who
+had opposed the Japanese were disappointed; for their part, the
+Nationalists felt threatened because of their minority position. The
+next years, especially up to 1952, were characterized by terror and
+bloodshed. Tensions persisted for many years, but have lessened since
+about 1960.
+
+The new government of Taiwan resembled China's pre-war government under
+Chiang Kai-shek. First, to maintain his claim to the legitimate rule of
+all of China, Chiang retained--and controlled through his party, the
+KMT--his former government organization, complete with cabinet
+ministers, administrators, and elected parliament, under the name
+"Central Government of China." Secondly, the actual government of
+Taiwan, which he considered one of China's provinces, was organized as
+the "Provincial Government of Taiwan," whose leading positions were at
+first in the hands of KMT mainlanders. There have since been elections
+for the provincial assembly, for local government councils and boards,
+and for various provincial and local positions. Thirdly, the military
+forces were organized under the leadership and command of mainlanders.
+And finally, the education system was set up in accordance with former
+mainland practices by mainland specialists. However, evolutionary
+changes soon occurred.
+
+The government's aim was to make Mandarin Chinese the language of all
+Chinese in Taiwan, as it had been in mainland China long before the War,
+and to weaken the Taiwanese dialects. Soon almost every child had a
+minimum of six years of education (increased in 1968 to nine years),
+with Mandarin Chinese as the medium of instruction. In the beginning few
+Taiwanese qualified as teachers because, under Japanese rule, Japanese
+had been the medium of instruction. As the children of Taiwanese and
+mainland families went to school together, the Taiwanese children
+quickly learned Mandarin, while most mainland children became familiar
+with the Taiwan dialect. For the generation in school today, the
+difference between mainlander and Taiwanese has lost its importance. At
+the same time, more teachers of Taiwanese origin, but with modern
+training, have begun to fill first the ranks of elementary, later of
+high-school, and now even of university instructors, so that the end of
+mainland predominance in the educational system is foreseeable.
+
+The country is still ruled by the KMT, but although at first hardly any
+Taiwanese belonged to the Party, many of the elective jobs and almost
+all positions in the provincial government are at present (1969) in the
+hands of Taiwanese independents, or KMT members, more of whom are
+entering the central government as well. Because military service is
+compulsory, the majority of common soldiers are Taiwanese: as career
+officers grow older and their sons show little interest in an army
+career, more Taiwan-Chinese are occupying higher army positions. Foreign
+policy and major political decisions still lie in the hands of mainland
+Chinese, but economic power, once monopolized by them, is now held by
+Taiwan-Chinese.
+
+This shift gained impetus with the end of American economic aid, which
+had tied local businessmen to American industry and thus worked to the
+advantage of mainland Chinese, for these had contacts in the United
+States, whereas the Taiwan-Chinese had contacts only in Japan. After the
+termination of American economic aid, Taiwanese trade with Japan, the
+Philippines, and Korea grew in importance and with it the economic
+strength of Taiwan-Chinese businessmen. After 1964, Taiwan became a
+strong competitor of Hong Kong and Japan in some export industries, such
+as electronics and textiles. We can regard Taiwan from 1964 on as
+occupying the "take-off" stage, to use Rostow's terminology--a stage of
+rapid development of new, principally light and consumer, industries.
+There has been a rapid rise of industrial towns around the major cities,
+and there are already many factories in the countryside, even in some
+villages. Electrification is essentially completed, and heavy
+industries, such as fertilizer and assembly plants and oil refineries,
+now exist.
+
+This rapid industrialization was accompanied by an unusually fast
+development of agriculture. A land-reform program limited land
+ownership, reduced rents, and redistributed formerly Japanese-owned
+land. This was the program that the Nationalist government had attempted
+unsuccessfully to enforce in liberated China after the Pacific War. It
+is well known that the abolition of landlordism and the distribution of
+land to small farmers do not in themselves improve or enlarge
+production. The Joint Council on Rural Reconstruction, on which American
+advisers worked with Chinese specialists to devise a system comparable
+to American agricultural extension services but possessing added
+elements of community development, introduced better seeds, more and
+better fertilizers, and numerous other innovations which the farmers
+quickly adopted, with the result that the island became
+self-supporting, in spite of a steadily growing population (thirteen
+million in 1968).
+
+At the same time, the government succeeded in stabilizing the currency
+and in eliminating corruption, thus re-establishing public confidence
+and security. Good incomes from farming as well as from industries were
+invested on the island instead of flowing into foreign banks. In
+addition, the population had enough surplus money to buy the products of
+the new domestic industries as these appeared. Thus, the
+industrialization of Taiwan may be called "industrialization without
+tears," without the suffering, that is, of proletarian masses who
+produce objects which they cannot afford for themselves. Today, even
+lower middle-class families have television consoles which cost the
+equivalent of US $200; they own electric fans and radios; they are
+buying Taiwan-produced refrigerators and air conditioners; and more and
+more think of buying Taiwan-assembled cars. They encourage their
+children to finish high school and to attend college if at all possible;
+competition for admission is very strong in spite of the continuous
+building of new schools and universities. Education to the level of the
+B. A. is of good quality, but for most graduate study students are still
+sent abroad. Taiwan complains about the "brain drain," as about 93 per
+cent of its students who go overseas do not return, but in many fields
+it has sufficient trained manpower to continue its development, and in
+any case there would not be enough jobs available if all the students
+returned. Most of these expatriates would be available to develop
+mainland China, if conditions there were to change in a way that would
+make them compatible with the values with which these expatriates grew
+up on Taiwan, or with the Western democratic values which they absorbed
+abroad.
+
+Chiang Kai-shek's government still hopes that one day its people will
+return to the mainland. This hope has changed from hope of victory in a
+civil war to hope of revolutionary developments within Communist China
+which might lead to the creation of a more liberal government in which
+men with KMT loyalties could find a place. Because they are Chinese, the
+present government and, it is believed, the majority of the people,
+consider themselves a part of China from which they are temporarily
+separated. Therefore they reject the idea, proposed by some American
+politicians, that Taiwan should become an independent state. There are,
+mainly in the United States and Japan, groups of Taiwan-Chinese who
+favor an independent Taiwan, which naturally would be close to Japan
+politically and economically. One may agree with their belief that
+Taiwan, now larger than many European countries, could exist and
+flourish as an independent country; yet few Chinese will wish to divorce
+themselves from the world's largest society.
+
+
+3 _Communist China_
+
+Both Taiwan and mainland China have developed extremely quickly. The
+reasons do not seem to lie solely in the form of government, for the
+pre-conditions for a "take-off" existed in China as early as the 1920's,
+if not earlier. That is, the quick development of China could have
+started forty years ago but was prevented, primarily for political
+reasons. One of the main pre-conditions for quick development is that a
+large part of the population is inured to hard and repetitive work. The
+Chinese farmer was accustomed to such work; he put more time and energy
+into his land than any other farmer. He and his fellows were the
+industrial workers of the future: reliable, hard-working, tractable,
+intelligent. To train them was easy, and absenteeism was never a serious
+problem, as it is in other developing nations. Another pre-condition is
+the existence of sufficient trained people to manage industry. Forty
+years ago China had enough such men to start modernization; foreign
+assistance would have been necessary in some fields, but only briefly.
+
+Another requirement (at least in the period before radio and television)
+is general literacy. Meaningful statistical data on literacy in China
+before 1937 are lacking. Some authors remark that before 1800 probably
+all upper-class sons and most daughters were educated, and that men in
+the middle and even in the lower classes often had some degree of
+literacy. In this context "educated" means that these persons could read
+classical poetry and essays written in literary Chinese, which was not
+the language of daily conversation. "Literacy," however, might mean only
+that a person could read and write some 600 characters, enough to
+conduct a business and to read simple stories. Although newspapers today
+have a stock of about 6,000 characters, only some 600 characters are
+commonly used, and a farmer or worker can manage well with a knowledge
+of about 100 characters. Statements to the effect that in 1935 some 70
+per cent of all men and 95 per cent of all women were illiterate must
+include the last category in these figures. In any case, the literacy
+program of the Nationalist government had penetrated the countryside and
+had reached even outlying villages before the Pacific War.
+
+The transportation system in China before the war was not highly
+developed, but numerous railroads connecting the main industrial centers
+did exist, and bus and truck services connected small towns with the
+larger centers. What were missing in the pre-war years were laws to
+protect the investor, efficient credit facilities, an insurance system
+supported by law, and a modern tax structure. In addition, the monetary
+system was inflation-prone. Although sufficient capital probably could
+have been mobilized within the country, the available resources either
+went into foreign banks or were invested in enterprises providing a
+quick return.
+
+The failure to capitalize on existing means of development before the
+War resulted from the chronic unrest caused by warlordism,
+revolutionaries and foreign invaders, which occupied the energies of the
+Nationalist government from its establishment to its fall. Once a stable
+government free from internal troubles arose, national development,
+whether private or socialist, could proceed at a rapid pace.
+
+Thus, the development of Communist China is not a miracle, possible only
+because of its form of government. What is unusual about Communist China
+is the fact that it is the only nation possessing a highly developed
+culture of its own to have jettisoned it in favor of a foreign one. What
+missionaries had dreamed of for centuries and knew they would never
+accomplish, Mao Tse-tung achieved; he imposed an ideology created by
+Europeans and understandable only in the context of Central Europe in
+the nineteenth century. How long his success will last is uncertain. One
+school of analysts believes that the friction between Soviet Russia and
+Communist China indicates that China's communism has become Chinese.
+These men point out that Communist Chinese practices are often direct
+continuations of earlier Chinese practices, customs, and attitudes. And
+they predict that this trend will continue, resulting in a form of
+socialism or communism distinctly different from that found in any other
+country. Another school, however, believes that communism precedes
+"Sinism," and that the regime will slowly eliminate traits which once
+were typical of China and replace them with institutions developed out
+of Marxist thinking. In any case, for the present, although the
+Communist government's aim is to impose communist thought and
+institutions in the country, typically Chinese traits are still
+omnipresent.
+
+Soon after the establishment of the Peking regime, a pact of friendship
+and alliance with the Soviet Union was concluded (February 1950), and
+Soviet specialists and civil and military products poured into China to
+speed its development. China had to pay for this assistance as well as
+for the loans it received from Russia, but the application of Russian
+experience, often involving the duplication of whole factories, was
+successful. In a few years, China developed its heavy industry, just as
+Russia had done. It should not be forgotten that Manchuria, as well as
+other parts of China, had had modern heavy industries long before 1949.
+The Manchurian factories ceased production because, when the Russians
+invaded Manchuria at the end of the war, they removed the machinery to
+Russia.
+
+Russian aid to Communist China continued to 1960. Its termination slowed
+development briefly but was not disastrous. Russian assistance was a
+"shot in the arm," as stimulating and about as lasting as American aid
+to Taiwan or to European countries. The stress laid upon heavy industry,
+in imitation of Russia, increased China's military strength quickly, but
+the consumer had to wait for goods which would make his life more
+enjoyable. One cause of friction in China today concerns the relative
+desirability of heavy industry versus consumer industry, a problem which
+arose in Russia after the death of Stalin.
+
+China's military strength was first demonstrated in the Korean War when
+Chinese armies entered Korea (October 1950). Their successes contributed
+to the prestige of the Peking regime at home and abroad, but they also
+foreshadowed a conflict with Soviet Russia, which regarded North Korea
+as lying within its own sphere of influence.
+
+In the same year, China invaded and conquered Tibet. Tibet, under Manchu
+rule until 1911, had achieved a certain degree of independence
+thereafter: no republican Chinese regime ever ruled Lhasa. The military
+conquest of Tibet is regarded by many as an act of Chinese imperialism,
+or colonialism, as the Tibetans certainly did not want to belong to
+China or be forced to change their traditional form of government.
+Having regarded themselves as subjects of the Manchu but not of the
+Chinese, they rose against the communist rulers in March 1959, but
+without success.
+
+Chinese control of Tibet, involving the construction of numerous roads,
+airstrips, and military installations, as well as differences concerning
+the international border, led in 1959 to conflicts with India, a country
+which had previously sided with the new China in international affairs.
+Indeed, the borders were uncertain and looked different depending on
+whether one used Manchu or Indian maps. China's other border problem was
+with Burma. Early in 1960 the two countries concluded a border agreement
+which ended disputes dating from British colonial times.
+
+Very early in its existence Communist China assumed control of Sinkiang,
+Chinese Central Asia, a large area originally inhabited by Turkish and
+Mongolian tribes and states, later conquered by the Manchu, and then
+integrated into China in the early nineteenth century. The communist
+action was to be expected, although after the Revolution of 1911 Chinese
+rule over this area had been spotty, and during the Pacific War some
+Soviet-inspired hope had existed that Sinkiang might gain independence,
+following the example of Outer Mongolia, another country which had been
+attached to the Manchu until 1911 and which, with Russian assistance,
+had gained its independence from China. Sinkiang is of great importance
+to Communist China as the site of large sources of oil and of atomic
+industries and testing grounds. The government has stimulated and often
+forced Chinese immigration into Sinkiang, so that the erstwhile Turkish
+and Mongolian majorities have become minorities, envious of their ethnic
+brothers in Soviet Central Asia who enjoy a much higher standard of
+living and more freedom.
+
+Inner Mongolia had a brief dream of independence under Japanese
+protection during the war. But the majority of the population were
+Chinese, and already before the Pacific War, the country had been
+divided into three Chinese provinces, of which the Chinese Communists
+gained control without delay.
+
+In general, when the Chinese Communists discuss territorial claims, they
+appear to seek the restoration of borders that China claimed in the
+eighteenth century. Thus, they make occasional remarks about the Ili
+area and parts of Eastern Siberia, which the Manchu either lost to the
+Russians or claimed as their territory. North Vietnam is probably aware
+that Imperial China exercised political rights over Tongking and Annam
+(the present-day North and part of South Vietnam). And, treaty or no,
+the Sino-Burmese question may be reopened one day, for Burma was
+semi-dependent on China under the Manchu.
+
+The build-up of heavy industry enabled China to conduct an aggressive
+policy towards the countries surrounding her, but industrialization had
+to be paid for, and, as in other countries, it was basically agriculture
+that had to create the necessary capital. Therefore, in June 1950 a
+land-reform law was promulgated. By October 1952 it had been implemented
+at an estimated cost of two million human lives: the landlords. The next
+step, socialization of the land, began in 1953.
+
+The cooperative farms were supposed to achieve higher production than
+small individual farms. It may be that any farmer, but particularly the
+Chinese, is emotionally involved in his crop, in contrast to the
+industrial worker, who often is alienated from the product he makes.
+Thus the farmer is unwilling to put unlimited energy and time into
+working on a farm that does not belong to him. But it may also be that
+the application of principles of industrial operation to agriculture
+fails because emergencies often occur in farming and are followed by
+periods of leisure, whereas in industry steady work is possible.
+
+In any case, in 1956 strains began to appear in China's economy. In
+early 1958 the "Great Leap Forward" was promoted in an attempt to speed
+production in all sectors. Soon after, the first communes were created,
+against the advise of Russian specialists. The objective of the communes
+seems to have been not only the creation of a new organizational form
+which would allow the government to exercise more pressure upon farmers
+to increase production, but also the correlation of labor and other
+needs of industry with agriculture. The communes may have represented an
+attempt to set up an organization which could function independently,
+even in the event of a governmental breakdown in wartime. At the same
+time, the decentralization of industries began and a people's militia
+was created. The "back-yard furnaces," which produced high-cost iron of
+low quality, seem to have had a similar purpose: to teach citizens how
+to produce iron for armaments in case of war and enemy occupation, when
+only guerrilla resistance would be possible. In the same year,
+aggressive actions against offshore, Nationalist-held islands increased.
+China may have believed that war with the United States was imminent.
+Perhaps as a result of Russian talks with China, a detente followed in
+1959, but so too did increased tension between Russia and China, while
+the results of the Great Leap and its policies proved catastrophic. The
+years 1961-64 provided a needed respite from the failures of the Great
+Leap. Farmers regained limited rights to income from private efforts,
+and improved farm techniques such as better seed and the use of
+fertilizer began to produce results. China can now feed her population
+in normal years.
+
+Chinese leaders realize that an improved level of living is difficult to
+attain while the birth rate remains high. They have hesitated to adopt a
+family-planning policy, which would fly in the face of Marxist doctrine,
+although for a short period family planning was openly recommended.
+Their most efficient method of limiting the birth rate has been to
+recommend postponement of marriage.
+
+First the limitation of private enterprise and business and then the
+nationalization of all important businesses following the completion of
+land reform deprived many employers as well as small shopkeepers of an
+occupation. But the new industries could not absorb all of the labor
+that suddenly became available. When rural youth inundated the cities in
+search of employment, the government returned the excess urban
+population to the countryside and recruited students and other urban
+youth to work on farms. Re-education camps in outlying areas also
+provided cheap farm labor.
+
+The problem facing China or any nation that modernizes and
+industrializes in the twentieth century can be simply stated.
+Nineteenth-century industry needed large masses of workers which only
+the rural areas could supply; and, with the development of farming
+methods, the countryside could afford to send its youth to the cities.
+Twentieth-century industry, on the other hand, needs technicians and
+highly qualified personnel, often with college degrees, but few
+unskilled workers. China has traditionally employed human labor where
+machines would have been cheaper and more efficient, simply because
+labor was available and capital was not. But since, with the growth of
+modern industry and modern farming, the problem will arise again, the
+policy of employing urban youth on farms is shortsighted.
+
+The labor force also increased as a result of the "liberation" of women,
+in which the marriage law of April 1950 was the first step. Nationalist
+China had earlier created a modern and liberal marriage law; moreover,
+women were never the slaves that they have sometimes been painted. In
+many parts of China, long before the Pacific War, women worked in the
+fields with their husbands. Elsewhere they worked in secondary
+agricultural industries (weaving, preparation of food conserves, home
+industries, and even textile factories) and provided supplementary
+income for their families. All that "liberation" in 1950 really meant
+was that women had to work a full day as their husbands did, and had, in
+addition, to do house work and care for their children much as before.
+The new marriage law did, indeed, make both partners equal; it also made
+it easier for men to divorce their wives, political incompatibility
+becoming a ground for divorce.
+
+The ideological justification for a new marriage law was the
+desirability of destroying the traditional Chinese family and its
+economic basis because a close family, and all the more an extended
+family or a clan, could obviously serve as a center of resistance. Land
+collectivization and the nationalization of business destroyed the
+economic basis of families. The "liberation" of women brought them out
+of the house and made it possible for the government to exploit
+dissention between husband and wife, thereby increasing its control over
+the family. Finally, the new education system, which indoctrinated all
+children from nursery to the end of college, separated children from
+parents, thus undermining parental control and enabling the state to
+intimidate parents by encouraging their children to denounce their
+"deviations." Sporadic efforts to dissolve the family completely by
+separating women from men in communes--recalling an attempt made almost
+a century earlier by the T'ai-p'ing--were unsuccessful.
+
+The best formula for a revolution seems to involve turning youth against
+its elders, rather than turning one class against another. Not all
+societies have a class system so clear-cut that class antagonism is
+effective. On the other hand, Chinese youth, in its opposition to the
+"establishment," to conservatism, to traditional religion, to blind
+emulation of Western customs and institutions, to the traditional family
+structure and the position of women, had hopes that communism would
+eradicate the specific "evil" which each individual wanted abolished.
+Mao and his followers had once been such rebellious youths, but by the
+1960's they were mostly old men and a new youth had appeared, a
+generation of revolutionaries for whom the "old regime" was dim history,
+not reality. In the struggle between Mao and Liu Shao-ch'i, which became
+increasingly apparent in 1966, Mao tried to retain his power by
+mobilizing young people as "Red Guards" and by inciting them to make the
+"Great Proletarian Revolution." The motives behind the struggle are
+diverse. It is on the one hand a conflict of persons contending for
+power, but there are also disagreements over theory: for example, should
+China's present generation toil to make possible a better life only for
+the next generation, or should it enjoy the fruits of its labor, after
+its many years of suffering? Mao opposes such "weakening" and favors a
+new generation willing to endure hardships, as he did in his youth.
+There is also a question whether the Chinese Communist Party under the
+banner of Maoism should replace the Russian party, establish Mao as the
+fourth founder after Marx, Lenin, and Stalin, and become the leader of
+world communism, or whether it should collaborate with the Russian
+party, at least temporarily, and thus ensure China Russian support.
+When, however, Chinese youth was summoned to take up the fight for Mao
+and his group, forces were loosed which could not be controlled.
+Following independent action by youth groups similar in nature to youth
+revolts in Western countries, the power and prestige of older leaders
+suffered. Even now (1969) it is impossible to re-establish unity and
+order; the Mao and Liu groups still oppose each other, and local
+factions have arisen. Violent confrontations, often resulting in
+hundreds of deaths, occur in many provinces. The regime is no longer so
+strong and unified as it was before 1966, although its end is not in
+sight. Quite possibly far-reaching changes may occur in the future.
+
+Three factors will probably influence the future of China. First, the
+emergence of neo-communism, as in Czechoslovakia in 1968, in an attempt
+to soften traditional communist practice. Second, the outcome of the war
+in Vietnam. Will China be able to continue its eighteenth-century dream
+of direct or indirect domination of Southeast Asia? Will North Vietnam
+detach itself from China and attach itself more closely to Russia? Will
+Russia and China continue to create separate spheres of influence in
+Asia, Africa, and South America? The first factor depends on
+developments inside China, the second on events outside, and at least in
+part on decisions in the United States, Japan, and Europe.
+
+The third factor has to do with human nature. One may justifiably ask
+whether the change in human personality which Chinese communism has
+attempted to achieve is possible, let alone desirable. Studies of
+animals and of human beings have demonstrated a tendency to identify
+with a territory, with property, and with kin. Can the Chinese eradicate
+this tendency? The Chinese have been family-centered and accustomed to
+subordinating their individual inclinations to the requirements of
+family and neighborhood. But beyond these established frameworks they
+have been individualistic and highly idiosyncratic at all times. Under
+the communist regime, however, the government is omnipresent, and people
+must toe the official line. One senses the tragedy that affects
+well-known scholars, writers and poets, who must degrade themselves,
+their work, their past and their families in order to survive. They may
+hope for comprehension of their actions, but nonetheless they must
+suffer shame. Will the present government change the minds of these men
+and eradicate their feelings?
+
+Communist China has made great progress, no doubt. Soon it may equal
+other developed nations. But its progress has been achieved at an
+unnecessary cost in human lives and happiness.
+
+That the regime is no longer so strong and unified as it was before 1966
+does not mean that its end is in sight. Far-reaching changes may occur
+in the near future. Public opinion is impressed with mainland China's
+progress, as the world usually is with strong nations. And public
+opinion is still unimpressed by the achievements of Taiwan and has
+hardly begun to change its attitude toward the government of the
+"Republic of China." To the historian and the sociologist, the
+experience of Taiwan indicates that China, if left alone and freed from
+ideological pressures, could industrialize more quickly than any other
+presently underdeveloped nation. Taiwan offers a model with which to
+compare mainland China.
+
+
+
+
+NOTES AND REFERENCES
+
+
+The following notes and references are intended to help the interested
+reader. They draw his attention to some more specialized literature in
+English, and occasionally in French and German. They also indicate for
+the more advanced reader the sources for some of the interpretations of
+historical events. As such sources are most often written in Chinese or
+Japanese and, therefore, inaccessible to most readers, only brief hints
+and not full bibliographical data are given. The specialists know the
+names and can easily find details in the standard bibliographies. The
+general reader will profit most from the bibliography on Chinese history
+published each year in the _Journal of Asian Studies_. These Notes do
+not mention the original Chinese sources which are the factual basis of
+this book.
+
+
+_Chapter One_
+
+p. 7: Reference is made here to the _T'ung-chien kang-mu_ and its
+translation by de Mailla (1777-85). Criticism by O. Franke, Ku
+Chieh-kang and his school, also by G. Haloun.
+
+p. 8: For the chronology, I rely here upon Ijima Tadao and my own
+research. Excavations at Chou-k'ou-tien still continue and my account
+should be taken as very preliminary. An earlier analysis is given by E.
+von Eickstedt (_Rassendynamik von Ostasien_, Berlin 1944). For the
+following periods, the best general study is still J. G. Andersson,
+_Researches into the Prehistory of the Chinese_, Stockholm 1943. A great
+number of new findings has been made recently, but no comprehensive
+analysis in a Western language is available.
+
+p. 9: Comparison with Ainu has been made by Weidenreich. The theory of
+desiccation of Asia is not the Huntington theory, but I rely here upon
+arguments by J. G. Andersoon and Sven Hedin.
+
+p. 10: The earlier theories of R. Heine-Geldern have been used here.
+
+p. 11: This is a summary of my own theories. Concerning the Tungus
+tribes, K. Jettmar (_Wiener Beitraege zur Kulturgeschichte_, vol. 9,
+1952, p. 484f and later studies) has proposed a more refined theory;
+other parts of the theory, as far as it is concerned with conditions in
+Central Asia, have been modified by F. Kussmaul (in: _Tribus_, vol.
+1952-3, pp. 305-60). Archaeological data from Central Asia have been
+analysed again by K. Jettmar (in: _The Museum of Far Eastern
+Antiquities, Bulletin_ No. 23, 1951). The discussion on domestication of
+large animals relies on the studies by C. O. Sauer, H. von Wissmann,
+Menghin, Amschler, Flohr and, most recently, F. Hancar (in: _Saeculum_,
+vol. 10, 1959, pp. 21-37 with further literature), and also on my own
+research.
+
+p. 12: An analysis of the situation in the South according to Western
+and Chinese studies is found in H. J. Wiens, _China's March toward the
+Tropics_, Hamden 1954. Much further work is now published by Ling
+Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best
+analysis of denshiring in the Far East is still the book by K. J. Pelzer,
+_Population and Land Utilization_, New York 1941. The anthropological
+theories on this page are my own, influenced by ideas of R.
+Heine-Geldern and Gordon Luce.
+
+p. 14: Sociological theory, as developed by R. Thurnwald and others, has
+been used as a theoretical tool here, together with observations by A.
+Credner and H. Bernatzik. Concerning rice in Yang-shao see R.
+Heine-Geldern in _Anthropos_, vol. 27, p. 595.
+
+p. 15: Wu Chin-ting defended the local origin of Yang-shao; T. J. Arne,
+J. G. Andersson and many others suggested Western influences. Most
+recently R. Heine-Geldern elaborated this theory. The allusion to
+Indo-Europeans refers to the studies by G. Haloun and others concerning
+the Ta-Hsia, the later Yueeh-chih, and the Tocharian problem.
+
+p. 16: R. Heine-Geldern proposed a "Pontic migration". Yin Huan-chang
+discussed most recently Lung-shan culture and the mound-dwellers.
+
+p. 17: The original _Chu-shu chi-nien_ version of the stories about Yao
+has been accepted here, together with my own research and the studies by
+B. Karlgren, M. Loehr, G. Haloun, E. H. Minns and others concerning the
+origin and early distribution of bronze and the animal style. Smith
+families or tribes are well known from Central Asia, but also from India
+and Africa (see W. Ruben, _Eisenschmiede und Daemonen in Indien_, Leiden
+1939, for general discussion).--For a discussion of the Hsia see E.
+Erkes.
+
+
+_Chapter Two_
+
+p. 19: The discussion in this chapter relies mainly upon the An-yang
+excavation reports and the studies by Tung Tso-pin and, most strongly,
+Ch'en Meng-chia. In English, the best work is still H. G. Creel, _The
+Birth of China_, London 1936 and his more specialized _Studies in Early
+Chinese Culture_, Baltimore 1937.
+
+p. 20: The possibility of a "megalithic" culture in the Far East has
+often been discussed, by O. Menghin, R. Heine-Geldern, Cheng Te-k'un,
+Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia,
+southern China, Korea and Japan.--Teng Ch'u-min and others believe that
+silk existed already in the time of Yang-shao.
+
+p. 21: Kuo Mo-jo believes, that the Shang already used a real plough
+drawn by animals. The main discussion on ploughs in China is by Hsue
+Chung-shu; for general anthropological discussion see E. Werth and H.
+Kothe.
+
+p. 22: For the discussion of the T'ao-t'ieh see the research by B.
+Karlgren and C. Hentze.
+
+p. 23: I follow here mainly Ch'en Meng-chia, but work by B. Schindler,
+C. Hentze, H. Maspero and also my own research has been considered.
+
+p. 24: I am accepting here a narrow definition of feudalism (see my
+_Conquerors and Rulers_, Leiden 1952).--The division of armies into
+"right" and "left" is interesting in the light of the theories
+concerning the importance of systems of orientation (Fr. Roeck and
+others).
+
+p. 25: Here, the work by W. Koppers, O. Spengler, F. Hancar, V. G. Childe
+and many others, concerning the domestication of the horse and the
+introduction of the war-chariot in general, and work by Shih Chang-ju,
+Ch'en Meng-chia, O. Maenchen, Uchida Gimpu and others concerning
+horses, riding and chariots in China has been used, in addition to my
+own research.
+
+p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia,
+Hsue Chung-shu and Tung Tso-pin.--The discussion as to whether there was
+a period of "slave society" (as postulated by Marxist theory) in China,
+and when it florished, is still going on under the leadership of Kuo
+Mo-jo and his group. I prefer to differentiate between slaves and serfs,
+and relied for factual data upon texts from oracle bones, not upon
+historical texts.--The problem of Shang chronology is still not solved,
+in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many
+Japanese and Western scholars. The old chronology, however, seems to be
+rejected by most scholars now.
+
+
+_Chapter Three_
+
+p. 29: Discussing the early script and language, I refer to the great
+number of unidentified Shang characters and, especially, to the
+composite characters which have been mentioned often by C. Hentze in his
+research; on the other hand, the original language of the Chou may have
+been different from classical Chinese, if we can judge from the form of
+the names of the earliest Chou ancestors. Problems of substrata
+languages enter at this stage. Our first understanding of Chou language
+and dialects seems to come through the method applied by P. Serruys,
+rather than through the more generally accepted theories and methods of
+B. Karlgren and his school.
+
+p. 30: I reject here the statement of classical texts that the last
+Shang ruler was unworthy, and accept the new interpretation of Ch'en
+Meng-chia which is based upon oracle bone texts.--The most recent
+general study on feudalism, and on feudalism in China, is in R.
+Coulborn, _Feudalism in History_, Princeton 1956. Stimulating, but in
+parts antiquated, is M. Granet, _La Feodalite Chinoise_, Oslo 1952. I
+rely here on my own research. The instalment procedure has been
+described by H. Maspero and Ch'i Szu-ho.
+
+p. 31: The interpretation of land-holding and clans follows my own
+research which is influenced by Niida Noboru, Kato Shigeru and other
+Japanese scholars, as well as by G. Haloun.--Concerning the origin of
+family names see preliminarily Yang Hsi-mei; much further research is
+still necessary. The general development of Chinese names is now studied
+by Wolfgang Bauer.--The spread of cities in this period has been studied
+by Li Chi, _The Formation of the Chinese People_, Cambridge 1928. My
+interpretation relies mainly upon a study of the distribution of
+non-Chinese tribes and data on early cities coming from excavation
+reports (see my "Data on the Structure of the Chinese City" in _Economic
+Development and Cultural Change_, 1956, pp. 253-68, and "The Formation
+of Chinese Civilization" in _Sociologus_ 7, 1959, pp. 97-112).
+
+p. 32: The work on slaves by T. Pippon, E. Erkes, M. Wilbur, Wan
+Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been
+consulted; the interpretation by E. G. Pulleyblank, however, was not
+accepted.
+
+p. 33: This interpretation of the "well-field" system relies in part
+upon the work done by Hsue Ti-shan, in part upon M. Granet and H.
+Maspero, and attempts to utilize insight from general anthropological
+theory and field-work mainly in South-East Asia. Other interpretations
+have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Szu-ho P.
+Demieville, Hu Shih, Chi Ch'ao-ting, K. A. Wittfogel, and others. Some
+authors, such as Kuo Mo-jo, regard the whole system as an utopia, but
+believe in an original "village community".--The characterization of the
+_Chou-li_ relies in part upon the work done by Hsue Chung-shu and Ku
+Chieh-kang on the titles of nobility, research by Yang K'uan and textual
+criticism by B. Karlgren, O. Franke, and again Ku Chieh-kang and his
+school.--The discussion on twin cities is intended to draw attention to
+its West Asian parallels, the "acropolis" or "ark" city, as well as to
+the theories on the difference between Western and Asian cities (M.
+Weber) and the specific type of cities in "dual societies" (H. Boeke).
+
+p. 34: This is a modified form of the Hu Shih theory.--The problem of
+nomadic agrarian inter-action and conflict has been studied for a later
+period mainly by O. Lattimore. Here, general anthropological research as
+well as my own have been applied.
+
+p. 36: The supra-stratification theory as developed by R. Thurnwald has
+been used as analytic tool here.
+
+p. 38: For this period, a novel interpretation is presented by R. L.
+Walker, _The Multi-State System of China_, Hamden 1953. For the concepts
+of sovereignty, I have used here the _Chou-li_ text and interpretations
+based upon this text.
+
+p. 40: For the introduction of iron and the importance of Ch'i, see Chu
+Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.--Some scholars (G.
+Haloun) tend to interpret attacks such as the one of 660 B. C. as attacks
+from outside the borders of China.
+
+p. 41: For Confucius see H. G. Creel, _Confucius_, New York 1949. I do
+not, however, follow his interpretation, but rather the ideas of Hu
+Shih, O. Franke and others.
+
+p. 42: For "chuen-tzu" and its counterpart "hsiao-jen" see D. Bodde and
+Ch'en Meng-chia.
+
+p. 43: I rely strongly here upon O. Franke and Ku Chieh-kang and upon my
+own work on eclipses.
+
+p. 44: I regard the Confucian traditions concerning the model emperors
+of early time as such a falsification. The whole concept of "abdication"
+has been analysed by M. Granet. The later ceremony of abdication was
+developed upon the basis of the interpretations of Confucius and has
+been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius'
+disciple Meng Tzu, and later Chuang Tzu and Han Fei Tzu were against
+this theory.--As a general introduction to the philosophy of this
+period, Y. L. Feng's _History of Chinese Philosophy_, London 1937 has
+still to be recommended, although further research has made many
+advances.--My analysis of the role of Confucianism in society is
+influenced by theories in the field of Sociology of religion.
+
+p. 45: The temple in Turkestan was in Khotan and is already mentioned in
+the _Wei-shu_ chapter 102. The analysis of the famous "Book on the
+transfiguration of Lao Tzu into a Western Barbarian" by Wang Wei-cheng
+is penetrating and has been used here. The evaluation of Lao Tzu and his
+pupils as against Confucius by J. Needham, in his _Science and
+Civilization in China_, Cambridge 1954 _et sqq._ (in volume 2) is very
+stimulating, though necessarily limited to some aspects only.
+
+p. 47: The concept of _wu-wei_ has often been discussed; some, such as
+Masaaki Matsumoto, interpreted the concept purely in social terms as
+"refusal of actions carrying wordly estimation".
+
+p. 49: Further literature concerning alchemy and breathing exercises is
+found in J. Needham's book.
+
+
+_Chapter Four_
+
+p. 51: I have used here the general frame-work of R. L. Walker, but more
+upon Yang K'uan's studies.
+
+p. 52: The interpretation of the change of myths in this period is based
+in part upon the work done by H. Maspero, G. Haloun, and Ku Chieh-kang.
+The analysis of legends made by B. Karlgren from a philological point of
+view ("Legends and Cults in Ancient China", _The Museum of Far Eastern
+Antiquities, Bulletin_ No. 18, 1946, pp. 199-365) follows another
+direction.
+
+p. 53: The discussion on riding involves the theories concerning
+horse-nomadic tribes and the period of this way of life. It also
+involves the problem of the invention of stirrup and saddle. The saddle
+seems to have been used in China already at the beginning of our period;
+the stirrup seems to be as late as the fifth century A.D. The article by
+A. Kroeber, _The Ancient Oikumene as an Historic Culture Aggregate_,
+Huxley Memorial Lecture for 1945, is very instructive for our problems
+and also for its theoretical approach.--The custom of attracting
+settlers from other areas in order to have more production as well as
+more man-power seems to have been known in India at the same time.
+
+p. 54: The work done by Kato Shigeru and Niida Noboru on property and
+family has been used here. For the later period, work done by Makino
+Tatsumi has also been incorporated.--Literature on the plough and on
+iron for implements has been mentioned above. Concerning the fallow
+system, I have incorporated the ideas of Kato Shigeru, Oshima Toshikaza,
+Hsue Ti-shan and Wan Kuo-ting. Hsue Ti-shan believes that a kind of
+3-field system had developed by this time. Traces of such a system have
+been observed in modern China (H. D. Scholz). For these questions, the
+translation by N. Lee Swann, _Food and Money in Ancient China_, 1959 is
+very important.
+
+p. 55: For all questions of money and credit from this period down to
+modern times, the best brief introduction is by Lien-sheng Yang, _Money
+and Credit in China_, Cambridge 1952. The _Introduction to the Economic
+History of China_, London 1954, by E. Stuart Kirby is certainly still
+the best brief introduction into all problems of Chinese Economic
+history and contains a bibliography in Western and Chinese-Japanese
+languages. Articles by Chinese authors on economic problems have been
+translated in E-tu Zen Sun and J. de Francis, _Chinese Social History_;
+Washington 1956.--Data on the size of early cities have been collected
+by T. Sekino and Kato Shigeru.
+
+p. 56: T. Sekino studied the forms of cities. G. Hentze believes that
+the city even in the Shang period normally had a square plan.--T. Sekino
+has also made the first research on city coins. Such a privilege and
+such independence of cities disappear later, but occasionally the
+privilege of minting was given to persons of high rank.--K. A. Wittfogel,
+_Oriental Despotism_, New Haven 1957 regards irrigation as a key
+economic and social factor and has built up his theory around this
+concept. I do not accept his theory here or later. Evidence seems to
+point towards the importance of transportation systems rather than of
+government-sponsored or operated irrigation systems.--Concerning steel,
+we follow Yang K'uan; a special study by J. Needham is under
+preparation. Centre of steel production at this time was Wan (later
+Nan-yang in Honan).--For early Chinese law, the study by A. F. P. Hulsewe,
+_Remnants of Han Law_, Leiden 1955 is the best work in English. He does
+not, however, regard Li K'ui as the main creator of Chinese law, though
+Kuo Mo-jo and others do. It is obvious, however, that Han law was not a
+creation of the Han Chinese alone and that some type of code must have
+existed before Han, even if such a code was not written by the man Li
+K'ui. A special study on Li was made by O. Franke.
+
+p. 57: In the description of border conditions, research by O. Lattimore
+has been taken into consideration.
+
+p. 59: For Shang Yang and this whole period, the classical work in
+English is still J. J. L. Duyvendak, _The Book of Lord Shang_, London
+1928; the translation by Ma Perleberg of _The Works of Kung-sun
+Lung-tzu_, Hongkong 1952 as well as the translation of the _Economic
+Dialogues in Ancient China: The Kuan-tzu_, edited by L. Maverick, New
+Haven 1954 have not found general approval, but may serve as
+introductions to the way philosophers of our period worked. Han Fei Tzu
+has been translated by W. K. Liao, _The Complete Works of Han Fei Tzu_,
+London 1939 (only part 1).
+
+p. 60: Needham does not have such a positive attitude towards Tsou Yen,
+and regards Western influences upon Tsou Yen as not too likely. The
+discussion on pp. 60-1 follows mainly my own researches.
+
+p. 61: The interpretation of secret societies is influenced by general
+sociological theory and detailed reports on later secret societies. S.
+Murayama and most modern Chinese scholars stress almost solely the
+social element in the so-called "peasant rebellions".
+
+
+_Chapter Five_
+
+p. 63: The analysis of the emergence of Ch'in bureaucracy has profitted
+from general sociological theory, especially M. Weber (see the new
+analysis by R. Bendix, _Max Weber, an Intellectual Portrait_, Garden
+City 1960, p. 117-157). Early administration systems of this type in
+China have been studied in several articles in the journal _Yue-kung_
+(vol. 6 and 7).
+
+p. 65: In the discussion of language, I use arguments which have been
+brought forth by P. Serruys against the previously generally accepted
+theories of B. Karlgren.--For weights and measures I have referred to T.
+Sekino, Liu Fu and Wu Ch'eng-lo.
+
+p. 66: For this period, D. Bodde's _China's First Unifier_, Leiden 1938
+and his _Statesman, Patriot, and General in Ancient China_, New Haven
+1940 remain valuable studies.
+
+
+_Chapter Six_
+
+p. 71: The basic historical text for this whole period, the _Dynastic
+History of the Han Dynasty_, is now in part available in English
+translation (H. H. Dubs, _The History of the Former Han Dynasty_,
+Baltimore 1938, 3 volumes).
+
+p. 72: The description of the gentry is based upon my own research.
+Other scholars define the word "gentry", if applied to China,
+differently (some of the relevant studies are discussed in my note in
+the _Bull. School of Orient. & African Studies_, 1955, p. 373 f.).
+
+p. 73: The theory of the cycle of mobility has been brought forth by Fr.
+L. K. Hsu and others. I have based my criticism upon a forthcoming study
+of _Social Mobility in Traditional Chinese Society_. The basic point is
+not the momentary economic or political power of such a family, but the
+social status of the family (_Li-shih yen-chiu_, Peking 1955, No. 4, p.
+122). The social status was, increasingly, defined and fixed by law
+(Ch'ue T'ung-tsu).--The difference in the size of gentry and other
+families has been pointed out by a number of scholars such as Fr. L. K.
+Hsu, H. T. Fei, O. Lang. My own research seems to indicate that gentry
+families, on the average, married earlier than other families.
+
+p. 74: The Han system of examinations or rather of selection has been
+studied by Yang Lien-sheng; and analysis of the social origin of
+candidates has been made in the _Bull. Chinese Studies_, vol. 2, 1941,
+and 3, 1942.--The meaning of the term "Hundred Families" has been
+discussed by W. Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by
+Hsue T'ung-hsin. It was later also a fiscal term.
+
+p. 75: The analysis of Hsiung-nu society is based mainly upon my own
+research. There is no satisfactory history of these northern federations
+available in English. The compilation of W. M. MacGovern, _The Early
+Empires of Central Asia_, Chapel Hill 1939, is now quite antiquated.--An
+attempt to construct a model of Central Asian nomadic social structure
+has been made by E. E. Bacon, _Obok, a Study of Social Structure in
+Eurasia_, New York 1958, but the model constructed by B. Vladimirtsov
+and modified by O. Lattimore remains valuable.--For origin and
+early-development of Hsiung-nu society see O. Maenchen, K. Jettmar, B.
+Bernstam, Uchida Gimpu and many others.
+
+p. 79: Material on the "classes" (_szu min_) will be found in a
+forthcoming book. Studies by Ch'ue T'ung-tsu and Tamai Korehiro are
+important here. An up-to-date history of Chinese education is still a
+desideratum.
+
+p. 80: For Tung Chung-shu, I rely mainly upon O. Franke.--Some scholars
+do not accept this "double standard", although we have clear texts which
+show that cases were evaluated on the basis of Confucian texts and not
+on the basis of laws. In fact, local judges probably only in exceptional
+cases knew the text of the law or had the code. They judged on the basis
+of "customary law".
+
+p. 81: Based mainly upon my own research. K. A. Wittfogel, _Oriental
+Despotism_, New Haven 1957, has a different interpretation.
+
+p. 82: Cases in which the Han emperors disregarded the law code were
+studied by Y. Hisamura.--I have used here studies published in the
+_Bull. of Chinese Studies_, vol. 2 and 3 and in _Toyo gakuho_, vol. 8
+and 9, in addition to my own research.
+
+p. 85: On local administration see Kato Shigeru and Yen Keng-wang's
+studies.
+
+p. 86: The problem of the Chinese gold, which will be touched upon later
+again, has gained theoretical interest, because it could be used as a
+test of M. Lombard's theories concerning the importance of gold in the
+West (_Annales, Economies, Societes, Civilisations_, vol. 12, Paris
+1957, No. 1, p. 7-28). It was used in China from _c._ 600 B.C. on in form
+of coins or bars, but disappeared almost completely from A.D. 200 on,
+i.e. the period of economic decline (see L. S. Yang, Kato Shigeru).--The
+payment to border tribes occurs many times again in Chinese history down
+to recent times; it has its parallel in British payments to tribes in
+the North-West Frontier Province in India which continued even after the
+Independence.
+
+p. 88: According to later sources, one third of the tributary gifts was
+used in the Imperial ancestor temples, one third in the Imperial
+mausolea, but one third was used as gifts to guests of the Emperor.--The
+trade aspect of the tributes was first pointed but by E. Parker, later
+by O. Lattimore, recently by J. K. Fairbank.--The importance of Chang
+Ch'ien for East-West contacts was systematically studied by B. Laufer;
+his _Sino-Iranica_, Chicago 1919 is still a classic.
+
+p. 89: The most important trait which points to foreign trade, is the
+occurrence of glass in Chinese tombs in Indo-China and of glass in China
+proper from the fifth century B.C. on; it is assumed that this glass was
+imported from the Near East, possibly from Egypt (O. Janse, N. Egami,
+Seligman).
+
+p. 91: Large parts of the "Discussions" have been translated by Esson M.
+Gale, _Discourses on Salt and Iron_, Leiden 1931; the continuation of
+this translation is in _Jour. Royal As. Society, North-China Branch_
+1934.--The history of eunuchs in China remains to be written. They were
+known since at least the seventh century B.C. The hypothesis has been
+made that this custom had its origin in Asia Minor and spread from there
+(R. F. Spencer in _Ciba Symposia_, vol. 8, No. 7, 1946 with references).
+
+p. 92: The main source on Wang Mang is translated by C. B. Sargent, _Wang
+Mang, a translation_, Shanghai 1950 and H. H. Dubs, _History of the
+Former Han Dynasty_, vol, 3, Baltimore 1955.
+
+p. 93: This evaluation of the "Old character school" is not generally
+accepted. A quite different view is represented by Tjan Tjoe Som and
+R. P. Kramers and others who regard the differences between the schools
+as of a philological and not a political kind. I follow here most
+strongly the Chinese school as represented by Ku Chieh-kang and his
+friends, and my own studies.
+
+p. 93: Falsification of texts refers to changes in the Tso-chuan. My
+interpretation relies again upon Ku Chieh-kang, and Japanese
+astronomical studies (Ijima Tadao), but others, too, admit
+falsifications (H. H. Dubs); B. Karlgren and others regard the book as in
+its main body genuine. The other text mentioned here is the _Chou-li_
+which is certainly not written by Wang Mang (_Jung-chai Hsue-pi_ 16), but
+heavily mis-used by him (in general see S. Uno).
+
+p. 94: I am influenced here by some of H. H. Dubs's studies. For this and
+the following period, the work by H. Bielenstein, _The Restoration of
+the Han Dynasty_, Stockholm 1953 and 1959 is the best monograph.--The
+"equalization offices" and their influence upon modern United States has
+been studied by B. Bodde in the _Far Eastern Quarterly_, vol. 5, 1946.
+
+p. 95: H. Bielenstein regards a great flood as one of the main reasons
+for the breakdown of Wang Mang's rule.
+
+p. 98: For the understanding of Chinese military colonies in Central
+Asia as well as for the understanding of military organization, civil
+administration and business, the studies of Lao Kan on texts excavated
+in Central Asia and Kansu are of greatest importance.
+
+p. 101: Mazdaistic elements in this rebellion have been mentioned mainly
+by H. H. Dubs. Zoroastrism (Zoroaster born 569 B.C.) and Mazdaism were
+eminently "political" religions from their very beginning on. Most
+scholars admit the presence of Mazdaism in China only from 519 on
+(Ishida Mikinosuke, O. Franke). Dubs's theory can be strengthened by
+astronomical material.--The basic religious text of this group, the
+"Book of the Great Peace" has been studied by W. Eichhron, H. Maspero
+and Ho Ch'ang-ch'uen.
+
+p. 102: For the "church" I rely mainly upon H. Maspero and W. Eichhorn.
+
+p. 103: I use here concepts developed by Cheng Chen-to and especially by
+Jung Chao-tsu.
+
+p. 104: Wang Ch'ung's importance has recently been mentioned again by J.
+Needham.
+
+p. 105: These "court poets" have their direct parallel in Western Asia.
+This trend, however, did not become typical in China.--On the general
+history of paper read A. Kroeber, _Anthropology_, New York 1948, p.
+490f., and Dard Hunter, _Paper Making_, New York 1947 (2nd ed.).
+
+
+_Chapter Seven_
+
+p. 109: The main historical sources for this period have been translated
+by Achilles Fang, _The Chronicle of the Three Kingdoms_, Cambridge,
+Mass. 1952; the epic which describes this time is C. H. Brewitt-Taylor,
+_San Kuo, or Romance of the Three Kingdoms_, Shanghai 1925.
+
+p. 112: For problems of migration and settlement in the South, we relied
+in part upon research by Ch'en Yuean and Wang Yi-t'ung.
+
+p. 114: For the history of the Hsiung-nu I am relying mainly upon my own
+studies.
+
+p. 117: This analysis of tribal structure is based mainly upon my own
+research; it differs in detail from the studies by E. Bacon, _Obok, a
+Study of Social Structure in Eurasia_, New York 1958, B. Vladimirtsov,
+O. Lattimore's _Inner Asian Frontiers of China_, New York 1951 (2nd
+edit.) and the studies by L. M. J. Schram, _The Monguors of the
+Kansu-Tibetan Frontier_, Philadelphia 1954 and 1957.
+
+p. 118: The use of the word "Huns" does not imply that we identify the
+early or the late Hsiung-nu with the European Huns. This question is
+still very much under discussion (O. Maenchen, W. Haussig, W. Henning,
+and others).
+
+p. 119: For the history of the early Hsien-pi states see the monograph
+by G. Schreiber, "The History of the Former Yen Dynasty", in _Monomenta
+Serica_, vol. 14 and 15 (1949-56). For all translations from Chinese
+Dynastic Histories of the period between 220 and 960 the _Catalogue of
+Translations from the Chinese Dynastic Histories for the Period
+220-960_, by Hans H. Frankel, Berkeley 1957, is a reliable guide.
+
+p. 125: For the description of conditions in Turkestan, especially in
+Tunhuang, I rely upon my own studies, but studies by A. von Gabein, L.
+Ligeti, J. R. Ware, O. Franke and Tsukamoto Zenryu have been used, too.
+
+p. 133: These songs have first been studied by Hu Shih, later by Chinese
+folklorists.
+
+p. 134: For problems of Chinese Buddhism see Arthur F. Wright, _Buddhism
+in Chinese History_, Stanford 1959, with further bibliography. I have
+used for this and later periods, in addition to my own sociological
+studies, R. Michihata, J. Gernet, and Tamai Korehiro.--It is interesting
+that the rise of land-owning temples in India occurred at exactly the
+same time (R. S. Sharma in _Journ. Econ. and Soc. Hist. Orient_, vol. 1,
+1958, p. 316). Perhaps even more interesting, but still unstudied, is
+the existence of Buddhist temples in India which owned land and villages
+which were donated by contributions from China.--For the use of foreign
+monks in Chinese bureaucracies, I have used M. Weber's theory as an
+interpretative tool.
+
+p. 135: The important deities of Khotan Buddhism are Vaisramana and
+Kubera, (research by P. Demieville, R. Stein and others).--Where, how,
+and why Hinayana and Mahayana developed as separate sects, is not yet
+studied. Also, a sociological analysis of the different Buddhist sects
+in China has not even been attempted yet.
+
+p. 136: Such public religious disputations were known also in India.
+
+p. 137: Analysis of the tribal names has been made by L. Bazin.
+
+p. 138-9: The personality type which was the ideal of the Toba
+corresponded closely to the type described by G. Geesemann, _Heroische
+Lebensform_, Berlin 1943.
+
+p. 142: The Toba occur in contemporary Western sources as Tabar, Tabgac,
+Tafkac and similar names. The ethnic name also occurs as a title (O.
+Pritsak, P. Pelliot, W. Haussig and others).--On the _chuen-t'ien_ system
+cf. the article by Wan Kuo-ting in E-tu Zen Sun, _Chinese Social
+History_, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and
+T'ang Ch'ang-ju.--Census fragments from Tunhuang have been published by
+L. Giles, Niida Noboru and other Japanese scholars.
+
+p. 143: On slaves for the earlier time see M. Wilbur, _Slavery in China
+during the Former Han Dynasty_, Chicago 1943. For our period Wang
+Yi-t'ung and especially Niida Noboru and Ch'ue T'ung-tsu. I used for this
+discussion Niida, Ch'ue and Tamai Korehiro.--For the _pu-ch'ue_ I used in
+addition Yang Chung-i, H. Maspero, E. Balazs, W. Eichhorn. Yang's
+article is translated in E-tu Zen Sun's book, _Chinese Social History_,
+pp. 142-56.--The question of slaves and their importance in Chinese
+society has always been given much attention by Chinese Communist
+authors. I believe that a clear distinction between slaves and serfs is
+very important.
+
+p. 145: The political use of Buddhism has been asserted for Japan as
+well as for Korea and Tibet (H. Hoffmann, _Quellen zur Geschichte der
+tibetischen Bon-Religion_, Mainz 1950, p. 220 f.). A case could be made
+for Burma. In China, Buddhism was later again used as a tool by rulers
+(see below).
+
+p. 146: The first text in which such problems of state versus church are
+mentioned is Mou Tzu (P. Pelliot transl.). More recently, some of the
+problems have been studied by R. Michihata and E. Zuercher. Michihata
+also studied the temple slaves. Temple families were slightly different.
+They have been studied mainly by R. Michihata, J. Gernet and Wang
+Yi-t'ung. The information on T'an-yao is mainly in _Wei-shu_ 114
+(transl. J. Ware).--The best work on Yuen-kang is now Seiichi Mizuno and
+Toshio Nagahiro, _Yuen-kang. The Buddhist Cave-Temples of the Fifth
+Century A.D. in North China_, Kyoto 1951-6, thus far 16 volumes. For
+Chinese Buddhist art, the work by Tokiwa Daijo and Sekino Tadashi,
+_Chinese Buddhist Monuments_, Tokyo 1926-38, 5 volumes, is most
+profusely illustrated.--As a general reader for the whole of Chinese
+art, Alexander Soper and L. Sickman's _The Art and Architecture of
+China_, Baltimore 1956 may be consulted.
+
+p. 147: Zenryu Tsukamoto has analysed one such popular, revolutionary
+Buddhist text from the fifth century A.D. I rely here for the whole
+chapter mainly upon my own research.
+
+p. 150: On the Ephtalites (or Hephtalites) see R. Ghirshman and
+Enoki.--The carpet ceremony has been studied by P. Boodberg, and in a
+comparative way by L. Olschki, _The Myth of Felt_, Berkeley 1949.
+
+p. 151: For Yang Chien and his time see now A. F. Wright, "The Formation
+of Sui Ideology" in John K. Fairbank, _Chinese Thought and
+Institutions_, Chicago 1957, pp. 71-104.
+
+p. 153: The processes described here, have not yet been thoroughly
+analysed. A preliminary review of literature is given by H. Wiens,
+_China's March towards the Tropics_, Hamden 1954. I used Ch'en Yuean,
+Wang Yi-t'ung and my own research.
+
+p. 154: It is interesting to compare such hunting parks with the
+"_paradeisos_" (Paradise) of the Near East and with the "Garden of
+Eden".--Most of the data on gardens and manors have been brought
+together and studied by Japanese scholars, especially by Kato Shigeru,
+some also by Ho Tzu-ch'uean.--The disappearance of "village commons" in
+China should be compared with the same process in Europe; both
+processes, however, developed quite differently. The origin of manors
+and their importance for the social structure of the Far East (China as
+well as Japan) is the subject of many studies in Japan and in modern
+China. This problem is connected with the general problem of feudalism
+East and West. The manor (_chuang_: Japanese _sho_) in later periods has
+been studied by Y. Sudo. H. Maspero also devotes attention to this
+problem. Much more research remains to be done.
+
+p. 158: This popular rebellion by Sun En has been studied by W.
+Eichhorn.
+
+p. 163: On foreign music in China see L. C. Goodrich and Ch'ue T'ung-tsu,
+H. G. Farmer, S. Kishibe and others.--Niida Noboru pointed out that
+musicians belonged to one of the lower social classes, but had special
+privileges because of their close relations to the rulers.
+
+p. 164: Meditative or _Ch'an_ (Japanese: _Zen_) Buddhism in this period
+has been studied by Hu Shih, but further analysis is necessary.--The
+philosophical trends of this period have been analysed by E.
+Balazs.--Mention should also be made of the aesthetic-philosophical
+conversation which was fashionable in the third century, but in other
+form still occurred in our period, the so-called "pure talk"
+(_ch'ing-t'an_) (E. Balazs, H. Wilhelm and others).
+
+
+_Chapter Eight_
+
+p. 167: For genealogies and rules of giving names, I use my own research
+and the study by W. Bauer.
+
+p. 168: For Emperor Wen Ti, I rely mainly upon A. F. Wright's
+above-mentioned article, but also upon O. Franke.
+
+p. 169: The relevant texts concerning the T'u-chueeh are available in
+French (E. Chavannes) and recently also in German translation (Liu
+Mau-tsai, _Die chinesischen Nachrichten zur Geschichte der Ost-Turken_,
+Wiesbaden 1958, 2 vol.).--The Toeloes are called T'e-lo in Chinese
+sources; the T'u-yue-hun are called Aza in Central Asian sources (P.
+Pelliot, A. Minorsky, F. W. Thomas, L. Hambis, _et al._). The most
+important text concerning the T'u-yue-hun had been translated by Th. D.
+Caroll, _Account of the T'u-yue-hun in the History of the Chin Dynasty_,
+Berkeley 1953.
+
+p. 171: The transcription of names on this and on the other maps could
+not be adjusted to the transcription of the text for technical reasons.
+
+p. 172: It is possible that I have underestimated the role of Li Yuean. I
+relied here mainly upon O. Franke and upon W. Bingham's _The Founding of
+the T'ang Dynasty_, Baltimore 1941.
+
+p. 173: The best comprehensive study of T'ang economy in a Western
+language is still E. Balazs's work. I relied, however, strongly upon Wan
+Kuo-ting, Yang Chung-i, Kato Shigeru, J. Gernet, T. Naba, Niida Noboru,
+Yoshimi Matsumoto.
+
+p. 173-4: For the description of the administration I used my own
+studies and the work of R. des Rotours; for the military organization I
+used Kikuehi Hideo. A real study of Chinese army organization and
+strategy does not yet exist. The best detailed study, but for the Han
+period, is written by H. Maspero.
+
+p. 174: For the first occurrence of the title _tu-tu_ we used W.
+Eichhorn; in the form _tutuq_ the title occurs since 646 in Central Asia
+(J. Hamilton).
+
+p. 177: The name T'u-fan seems to be a transcription of Tuepoet which, in
+turn, became our Tibet. (J. Hamilton).--The Uigurs are the Hui-ho or
+Hui-hu of Chinese sources.
+
+p. 179: On relations with Central Asia and the West see Ho Chien-min and
+Hsiang Ta, whose classical studies on Ch'ang-an city life have recently
+been strongly criticized by Chinese scholars.--Some authors (J. K.
+Rideout) point to the growing influence of eunuchs in this period.--The
+sources paint the pictures of the Empress Wu in very dark colours. A
+more detailed study of this period seems to be necessary.
+
+p. 180: The best study of "family privileges" (_yin_) in general is by
+E. A. Kracke, _Civil Service in Early Sung China_, Cambridge, Mass. 1953.
+
+p. 180-1: The economic importance of organized Buddhism has been studied
+by many authors, especially J. Gernet, Yang Lien-sheng, Ch'uean
+Han-sheng, K. Tamai and R. Michihata.
+
+p. 182: The best comprehensive study on T'ang prose in English is still
+E. D. Edwards, _Chinese Prose Literature of the T'ang Period_, London
+1937-8, 2 vol. On Li T'ai-po and Po Chue-i we have well-written books by
+A. Waley, _The Poetry and Career of Li Po_, London 1951 and _The Life
+and Times of Po Chue-i_, London 1950.--On the "free poem" (_tz'u_), which
+technically is not a free poem, see A. Hoffmann and Hu Shih. For the
+early Chinese theatre, the classical study is still Wang Kuo-wei's
+analysis, but there is an almost unbelievable number of studies
+constantly written in China and Japan, especially on the later theatre
+and drama.
+
+p. 184: Conditions at the court of Hsuean Tsung and the life of Yang
+Kui-fei have been studied by Howard Levy and others, An Lu-shan's
+importance mainly by E. G. Pulleyblank, _The Background of the Rebellion
+of An Lu-shan_, London 1955.
+
+p. 187: The tax reform of Yang Yen has been studied by K. Hino; the most
+important figures in T'ang economic history are Liu Yen (studied by Chue
+Ch'ing-yuean) and Lu Chih (754-805; studied by E. Balazs and others).
+
+p. 187-8: The conditions at the time of this persecution are well
+described by E. O. Reischauer, _Ennin's Travels in T'ang China_, New York
+1955, on the basis of his _Ennin's Diary. The Record of a Pilgrimage to
+China_, New York 1955. The persecution of Buddhism has been analysed in
+its economic character by Niida Noboru and other Japanese
+scholars.--Metal statues had to be delivered to the Salt and Iron Office
+in order to be converted into cash; iron statues were collected by local
+offices for the production of agricultural implements; figures in gold,
+silver or other rare materials were to be handed over to the Finance
+Office. Figures made of stone, clay or wood were not affected
+(Michihata).
+
+p. 189: It seems important to note that popular movements are often not
+led by simple farmers or members of the lower classes. There are other
+salt merchants and persons of similar status known as leaders.
+
+p. 190: For the Sha-t'o, I am relying upon my own research. Tatars are
+the Ta-tan of the Chinese sources. The term is here used in a narrow
+sense.
+
+p. 195: Many Chinese and Japanese authors have a new period begin with
+the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li
+Chien-nung), while others prefer a cut already in the Middle of the
+T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the
+period which we called "Modern Times" is at best a sub-period within a
+larger period which really started with what we called "Medieval China".
+
+p. 196: For the change in the composition of the gentry, I am using my
+own research.--For clan rules, clan foundations, etc., I used D. C.
+Twitchett, J. Fischer, Hu Hsien-chin, Ch'ue T'ung-tsu, Niida Noboru and
+T. Makino. The best analysis of the clan rules is by Wang Hui-chen in
+D. S. Nivison, _Confucianism in Action_, Stanford 1959, p. 63-96.--I do
+not regard such marriage systems as "survivals" of ancient systems which
+have been studied by M. Granet and systematically analysed by C.
+Levy-Strauss in his _Les structures elementaires de la parente_, Paris
+1949, pp. 381-443. In some cases, the reasons for the establishment of
+such rules can still be recognized.--A detailed study of despotism in
+China still has to be written. K. A. Wittfogel's _Oriental Despotism_,
+New Haven 1957 does not go into the necessary detailed work.
+
+p. 197: The problem of social mobility is now under study, after
+preliminary research by K. A. Wittfogel, E. Kracke, myself and others. E.
+Kracke, Ho Ping-ti, R. M. Marsh and I are now working on this topic.--For
+the craftsmen and artisans, much material has recently been collected by
+Chinese scholars. I have used mainly Li Chien-nung and articles in
+_Li-shih yen-chiu_ 1955, No. 3 and in _Mem. Inst. Orient. Cult._
+1956.--On the origin of guilds see Kato Shigeru; a general study of
+guilds and their function has not yet been made (preliminary work by P.
+Maybon, H. B. Morse, J. St. Burgess, K. A. Wittfogel and others).
+Comparisons with Near-Eastern guilds on the one hand and with Japanese
+guilds on the other, are quite interesting but parallels should not be
+over-estimated. The _tong_ of U. S. Chinatowns (_tang_ in Mandarin) are
+late and organizations of businessmen only (S. Yokoyama and Laai
+Yi-faai). They are not the same as the _hui-kuan_.
+
+p. 198: For the merchants I used Ch'ue T'ung-tsu, Sung Hsi and Wada
+Kiyoshi.--For trade, I used extensively Ch'uean Han-sheng and J.
+Kuwabara.--On labour legislation in early modern times I used Ko
+Ch'ang-chi and especially Li Chien-nung, also my own studies.--On
+strikes I used Kato Shigeru and modern Chinese authors.--The problem of
+"vagrants" has been taken up by Li Chien-nung who always refers to the
+original sources and to modern Chinese research.--The growth of cities,
+perhaps the most striking event in this period, has been studied for the
+earlier part of our period by Kato Shigeru. Li Chien-nung also deals
+extensively with investments in industry and agriculture. The problem as
+to whether China would have developed into an industrial society without
+outside stimulus is much discussed by Marxist authors in China.
+
+p. 199: On money policy see Yang Lien-sheng, Kato Shigeru and others.
+
+p. 200: The history of one of the Southern Dynasties has been translated
+by Ed. H. Schafer, _The Empire of Min_, Tokyo 1954; Schafer's
+annotations provide much detail for the cultural and economic conditions
+of the coastal area.--For tea and its history, I use my own research;
+for tea trade a study by K. Kawakami and an article in the _Frontier
+Studies_, vol. 3, 1943.--Salt consumption according to H. T. Fei,
+_Earthbound China_, 1945, p. 163.
+
+p. 201: For salt I used largely my own research. For porcelain
+production Li Chien-nung and other modern articles.--On paper, the
+classical study is Th. F. Carter, _The Invention of Printing in China_,
+New York 1925 (a revised edition now published by L. C. Goodrich).
+
+p. 202: For paper money in the early period, see Yang Lien-sheng, _Money
+and Credit in China_, Cambridge, Mass., 1952. Although the origin of
+paper money seems to be well established, it is interesting to note that
+already in the third century A.D. money made of paper was produced and
+was burned during funeral ceremonies to serve as financial help for the
+dead. This money was, however, in the form of coins.--On iron money see
+Yang Lien-sheng; I also used an article in _Tung-fang tsa-chih_, vol.
+35, No. 10.
+
+p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K. A.
+Wittfogel and Feng Chia-sheng, _History of Chinese Society. Liao_,
+Philadelphia 1949.
+
+p. 204: For these dynasties, I rely upon my own research.--Niida Noboru
+and Kato Shigeru have studied adoption laws; our specific case has in
+addition been studied by M. Kurihara. This system of adoptions is
+non-Chinese and has its parallels among Turkish tribes (A. Kollantz,
+Abdulkadir Inan, Osman Turan).
+
+p. 207: For the persecution I used K. Tamai and my own research.
+
+p. 211: This is based mainly upon my own research.--The remark on tax
+income is from Ch'uean Han-sheng.
+
+p. 212: Fan Chung-yen has been studied recently by J. Fischer and D.
+Twitchett, but these notes on price policies are based upon my own
+work.--I regard the statement, that it was the gentry which prevented
+the growth of an industrial society--a statement which has often been
+made before--as preliminary, and believe that further research,
+especially in the growth of cities and urban institutions may lead to
+quite different explanations.--On estate management I relied on Y.
+Sudo's work.
+
+p. 213: Research on place names such as mentioned here, has not yet been
+systematically done.--On _i-chuang_ I relied upon the work by T. Makino
+and D. Twitchett.--This process of tax-evasion has been used by K. A.
+Wittfogel (1938) to construct a theory of a crisis cycle in China. I do
+not think that such far-reaching conclusions are warranted.
+
+p. 214: This "law" was developed on the basis of Chinese materials from
+different periods as well as on materials from other parts of Asia.--In
+the study of tenancy, cases should be studied in which wealthier farmers
+rent additional land which gets cultivated by farm labourers. Such cases
+are well known from recent periods, but have not yet been studied in
+earlier periods. At the same time, the problem of farm labourers should
+be investigated. Such people were common in the Sung time. Research
+along these lines could further clarify the importance of the so-called
+"guest families" (_k'o-hu_) which were alluded to in these pages. They
+constituted often one third of the total population in the Sung period.
+The problem of migration and mobility might also be clarified by
+studying the _k'o-hu._
+
+p. 215: For Wang An-shih, the most comprehensive work is still H.
+Williamson's _Wang An-shih_, London 1935, 3 vol., but this work in no
+way exhausts the problems. We have so much personal data on Wang that a
+psychological study could be attempted; and we have since Williamson's
+time much deeper insight into the reforms and theories of Wang. I used,
+in addition to Williamson, O. Franke, and my own research.
+
+p. 216: Based mainly upon Ch'ue T'ung-tsu.--For the social legislation
+see Hsue I-t'ang; for economic problems I used Ch'uean Han-sheng, Ts'en
+Chung-mien and Liu Ming-shu.--Most of these relief measures had their
+precursors in the T'ang period.
+
+p. 217: It is interesting to note that later Buddhism gave up its
+"social gospel" in China. Buddhist circles in Asian countries at the
+present time attempt to revive this attitude.
+
+p. 218: For slaughtering I used A. Hulsewe; for greeting R. Michihata;
+on law Ch'ue T'ung-tsu; on philosophy I adapted ideas from Chan
+Wing-sit.
+
+p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus
+far, we have in English mainly the essays by Feng Yu-lan (transl. and
+annotated by D. Bodde) in the _Harvard Journal of Asiat. Stud._, vol. 7,
+1942. T. Makino emphasized Chu's influence upon the Far East, J. Needham
+his interest in science.
+
+p. 220: For Su Tung-p'o as general introduction see Lin Yutang, _The Gay
+Genius. The Life and Times of Su Tungpo_, New York 1947.--For painting,
+I am using concepts of A. Soper here.
+
+p. 222: For this period the standard work is K. A. Wittfogel and Feng
+Chia-sheng, _History of Chinese Society, Liao_, Philadelphia
+1949.--Po-hai had been in tributary relations with the dynasties of
+North China before its defeat, and resumed these from 932 on; there were
+even relations with one of the South Chinese states; in the same way,
+Kao-li continuously played one state against the other (M. Rogers _et
+al._).
+
+p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.
+
+p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia
+Ssu-tao upon H. Franke.
+
+p. 229: The Ju-chen (Jurchen) are also called Nue-chih and Nue-chen, but
+Ju-chen seems to be correct (_Studia Serica_, vol. 3, No. 2).
+
+
+_Chapter Ten_
+
+p. 233: I use here mainly Meng Ssu-liang, but also others, such as Chue
+Ch'ing-yuean and Li Chien-nung.--The early political developments are
+described by H. D. Martin, _The Rise of Chingis Khan and his Conquest of
+North China_, Baltimore 1950.
+
+p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao
+(Sun K'o-k'uan and especially the study in _Kita Aziya gakuho_, vol. 2).
+
+pp. 236-7: For taxation and all other economic questions I have relied
+upon Wan Kuo-ting and especially upon H. Franke. The first part of the
+main economic text is translated and annotated by H. F. Schurmann,
+_Economic Structure of the Yuean Dynasty_, Cambridge, Mass., 1956.
+
+p. 237: On migrations see T. Makino and others.--For the system of
+communications during the Mongol time and the privileges of merchants, I
+used P. Olbricht.
+
+p. 238: For the popular rebellions of this time, I used a study in the
+_Bull. Acad. Sinica_, vol. 10, 1948, but also Meng Ssu-liang and others.
+
+p. 239: On the White Lotos Society (Pai-lien-hui) see note to previous
+page and an article by Hagiwara Jumpei.
+
+p. 240: H. Serruys, _The Mongols in China during the Hung-wu Period_,
+Bruges 1959, has studied in this book and in an article the fate of
+isolated Mongol groups in China after the breakdown of the dynasty.
+
+pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A.
+Waley, _The Travels of an Alchemist_, London 1931.
+
+p. 242: _Hsi-hsiang-chi_ has been translated by S. I. Hsiung. _The
+Romance of the Western Chamber_, London 1935. All important analytic
+literature on drama and theatre is written by Chinese and Japanese
+authors, especially by Yoshikawa Kojiro.--For Bon and early Lamaism, I
+used H. Hoffmann.
+
+p. 243: Lamaism in Mongolia disappeared later, however, and was
+re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the
+sixteenth century. See R. J. Miller, _Monasteries and Culture Change in
+Inner Mongolia_, Wiesbaden 1959.
+
+p. 245: Much more research is necessary to clarify Japanese-Chinese
+relations in this period, especially to determine the size of trade.
+Good material is in the article by S. Iwao. Important is also S. Sakuma
+and an article in _Li-shih yen-chiu_ 1955, No. 3. For the loss of coins,
+I relied upon D. Brown.
+
+p. 246: The necessity of transports of grain and salt was one of the
+reasons for the emergence of the Hsin-an and Hui-chou merchants. The
+importance of these developments is only partially known (studies mainly
+by H. Fujii and in _Li-shih-yen-chiu_ 1955, No. 3). Data are also in an
+unpublished thesis by Ch. Mac Sherry, _The Impairment of the Ming
+Tributary System_, and in an article by Wang Ch'ung-wu.
+
+p. 247: The tax system of the Ming has been studied among others by
+Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in
+the periods before the reform. For the land grants, I used Wan
+Kuo-ting's data.
+
+p. 248: Based mainly upon my own research. On the progress of
+agriculture wrote Li Chien-nung and also Kato Shigeru and others.
+
+p. 250: I believe that further research would discover that the
+"agrarian revolution" was a key factor in the economic and social
+development of China. It probably led to another change in dietary
+habits; it certainly led to a greater labour input per person, i.e. a
+higher number of full working days per year than before. It may be--but
+only further research can try to show this--that the "agrarian
+revolution" turned China away from technology and industry.--On cotton
+and its importance see the studies by M. Amano, and some preliminary
+remarks by P. Pelliot.
+
+p. 250-1: Detailed study of Central Chinese urban centres in this time
+is a great desideratum. My remarks here have to be taken as very
+preliminary. Notice the special character of the industries
+mentioned!--The porcelain centre of Ching-te-chen was inhabited by
+workers and merchants (70-80 per cent of population); there were more
+than 200 private kilns.--On indented labour see Li Chien-nung, H. Iwami
+and Y. Yamane.
+
+p. 253: On _pien-wen_ I used R. Michihata, and for this general
+discussion R. Irvin, _The Evolution of a Chinese Novel_, Cambridge,
+Mass., 1953, and studies by J. Jaworski and J. Prusek. Many texts of
+_pien-wen_ and related styles have been found in Tunhuang and have been
+recently republished by Chinese scholars.
+
+p. 254: _Shui-hu-chuan_ has been translated by Pearl Buck, _All Men are
+Brothers_. Parts of _Hsi-yu-chi_ have been translated by A. Waley,
+_Monkey_, London 1946. _San-kuo yen-i_ is translated by C. H.
+Brewitt-Taylor, _San Kuo, or Romance of the Three Kingdoms_, Shanghai
+1925 (a new edition just published). A purged translation of
+Chin-p'ing-mei is published by Fr. Kuhn _Chin P'ing Mei_, New York 1940.
+
+p. 255: Even the "murder story" was already known in Ming time. An
+example is R. H. van Gulik, _Dee Gong An. Three Murder Cases solved by
+Judge Dee_, Tokyo 1949.
+
+p. 256: For a special group of block-prints see R. H. van Gulik, _Erotic
+Colour Prints of the Ming Dynasty_, Tokyo 1951. This book is also an
+excellent introduction into Chinese psychology.
+
+p. 257: Here I use work done by David Chan.
+
+p. 258: I use here the research of J. J. L. Duyvendak; the reasons for the
+end of such enterprises, as given here, may not exhaust the problem. It
+may not be without relevance that Cheng came from a Muslim family. His
+father was a pilgrim (_Bull. Chin. Studies_, vol. 3, pp. 131-70).
+Further research is desirable.--Concerning folk-tales, I use my own
+research. The main Buddhist tales are the _Jataka_ stories. They are
+still used by Burmese Buddhists in the same context.
+
+p. 260: The Oirat (Uyrat, Ojrot, Oeloet) were a confederation of four
+tribal groups: Khosud, Dzungar, Doerbet and Turgut.
+
+p. 261: I regard this analysis of Ming political history as
+unsatisfactory, but to my knowledge no large-scale analysis has been
+made.--For Wang Yang-ming I use mainly my own research.
+
+p. 262: For the coastal salt-merchants I used Lo Hsiang-lin's work.
+
+p. 263: On the rifles I used P. Pelliot. There is a large literature on
+the use of explosives and the invention of cannons, especially L. C.
+Goodrich and Feng Chia-sheng in _Isis_, vol. 36, 1946 and 39, 1948; also
+G. Sarton, Li Ch'iao-p'ing, J. Prusek, J. Needham, and M. Ishida; a
+comparative, general study is by K. Huuri, _Studia Orientalia_ vol. 9,
+1941.--For the earliest contacts of Wang with Portuguese, I used Chang
+Wei-hua's monograph.--While there is no satisfactory, comprehensive
+study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i,
+_Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher_, New
+Haven 1944, can be used.
+
+p. 264: For Tao-yen, I used work done by David Chan.--Large parts of the
+_Yung-lo ta-tien_ are now lost (Kuo Po-kung, Yuean T'ung-li studied this
+problem).
+
+p. 265: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the
+Tuemet. He is also responsible for the re-introduction of Lamaism into
+Mongolia (1574).--For the border trade I used Hou Jen-chih; for the
+Shansi bankers Ch'en Ch'i-t'ien and P. Maybon. For the beginnings of the
+Manchu see Fr. Michael, _The Origins of Manchu Rule in China_, Baltimore
+1942.
+
+p. 266: M. Ricci's diary (Matthew Ricci, _China in the Sixteenth
+Century_, The Journals of M. Ricci, transl. by L. J. Gallagher, New York
+1953) gives much insight into the life of Chinese officials in this
+period. Recently, J. Needham has tried to show that Ricci and his
+followers did not bring much which was not already known in China, but
+that they actually attempted to prevent the Chinese from learning about
+the Copernican theory.
+
+p. 267: For Coxinga I used M. Eder's study.--The Szechwan rebellion was
+led by Chang Hsien-chung (1606-1647); I used work done by James B.
+Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published
+the important documents concerning all late Ming peasant
+rebellions.--For the Tung-lin academy see Ch. O. Hucker in J. K.
+Fairbank, _Chinese Thought and Institutions_, Chicago 1957. A different
+interpretation is indicated by Shang Yueeh in _Li-shih yen-chiu_ 1955,
+No. 3.
+
+p. 268: Work on the "academies" (shu-yuean) in the earlier time is done
+by Ho Yu-shen.
+
+p. 273-4: Based upon my own, as yet unfinished research.
+
+p. 274: The population of 1953 as given here, includes Chinese outside
+of mainland China. The population of mainland China was 582.6 millions.
+If the rate of increase of about 2 per cent per year has remained the
+same, the population of mainland China in 1960 may be close to 680
+million. In general see P. T. Ho. _Studies on the Population of China,
+1368-1953_, Cambridge, Mass., 1960.
+
+p. 276: Based upon my own research.--A different view of the development
+of Chinese industry is found in Norman Jacobs, _Modern Capitalism and
+Eastern Asia_, Hong Kong 1958. Jacobs attempted a comparison of China
+with Japan and with Europe. Different again is Marion Levy and Shih
+Kuo-heng, _The Rise of the Modern Chinese Business Class_, New York
+1949. Both books are influenced by the sociological theories of T.
+Parsons.
+
+p. 277: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four Oeloet
+(Oirat) groups. I am here using studies by E. Haenisch and W. Fuchs.
+
+p. 278: Tibetan-Chinese relations have been studied by L. Petech, _China
+and Tibet in the Early 18th Century_, Leiden 1950. A collection of data
+is found in M. W. Fisher and L. E. Rose, _England, India, Nepal, Tibet,
+China, 1765-1958_, Berkeley 1959. For diplomatic relations and tributary
+systems of this period, I referred to J. K. Fairbank and Teng Ssu-yue.
+
+p. 279: For Ku Yen-wu, I used the work by H. Wilhelm.--A man who
+deserves special mention in this period is the scholar Huang Tsung-hsi
+(1610-1695) as the first Chinese who discussed the possibility of a
+non-monarchic form of government in his treatise of 1662. For him see
+Lin Mou-sheng, _Men and Ideas_, New York 1942, and especially W. T. de
+Bary in J. K. Fairbank, _Chinese Thought and Institutions_, Chicago 1957.
+
+p. 280-1: On Liang see now J. R. Levenson, _Liang Ch'i-ch'ao and the Mind
+of Modern China_, London 1959.
+
+p. 282: It should also be pointed out that the Yung-cheng emperor was
+personally more inclined towards Lamaism.--The Kalmuks are largely
+identical with the above-mentioned Oeloet.
+
+p. 286: The existence of _hong_ is known since 1686, see P'eng Tse-i and
+Wang Chu-an's recent studies. For details on foreign trade see H. B.
+Morse, _The Chronicles of the East India Company Trading to China
+1635-1834_, Oxford 1926, 4 vols., and J. K. Fairbank, _Trade and
+Diplomacy on the China Coast. The Opening of the Treaty Ports,
+1842-1854_, Cambridge, Mass., 1953, 2 vols.--For Lin I used G. W.
+Overdijkink's study.
+
+p. 287: On customs read St. F. Wright, _Hart and the Chinese Customs_,
+Belfast 1950.
+
+p. 288: For early industry see A. Feuerwerker, _China's Early
+Industrialization: Sheng Hsuan-huai (1844-1916)_, Cambridge, Mass.,
+1958.
+
+p. 289: The Chinese source materials for the Mohammedan revolts have
+recently been published, but an analysis of the importance of the
+revolts still remains to be done.--On T'ai-p'ing much has been
+published, especially in the last years in China, so that all documents
+are now available. I used among other studies, details brought out by Lo
+Hsiang-lin and Jen Yu-wen.
+
+p. 291: For Tseng Kuo-fan see W. J. Hail, _Tseng Kuo-fan and the
+T'ai-p'ing Rebellion_, Hew Haven 1927, but new research on him is about
+to be published.--The Nien-fei had some connection with the White Lotos,
+and were known since 1814, see Chiang Siang-tseh, _The Nien Rebellion_,
+Seattle 1954.
+
+p. 292: Little is known about Salars, Dungans and Yakub Beg's rebellion,
+mainly because relevant Turkish sources have not yet been studied. On
+Salars see L. Schram, _The Monguors of Kansu_, Philadelphia 1954, p. 23
+and P. Pelliot; on Dungans see I. Grebe.
+
+p. 293: On Tso Tsung-t'ang see G. Ch'en, _Tso Tung T'ang, Pioneer
+Promotor of the Modern Dockyard and Woollen Mill in China_, Peking 1938,
+and _Yenching Journal of Soc. Studies_, vol. 1.
+
+p. 294: For the T'ung-chih period, see now Mary C. Wright, _The Last
+Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874_,
+Stanford 1957.
+
+p. 295: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of
+this group.--Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese:
+Chao-hsien, Japanese: Chosen.
+
+p. 297: M. C. Wright has shown the advisers around the ruler before the
+Empress Dowager realized the severity of the situation.--Much research
+is under way to study the beginning of industrialization of Japan, and
+my opinions have changed greatly, due to the research done by Japanese
+scholars and such Western scholars as H. Rosovsky and Th. Smith. The
+eminent role of the lower aristocracy has been established. Similar
+research for China has not even seriously started. My remarks are
+entirely preliminary.
+
+p. 298: For K'ang Yo-wei, I use work done by O. Franke and others. See
+M. E. Cameron, _The Reform Movement in China, 1898-1921_, Stanford 1921.
+The best bibliography for this period is J. K. Fairbank and Liu
+Kwang-ching, _Modern China: A Bibliographical Guide to Chinese Works,
+1898-1937_, Cambridge, Mass., 1950. The political history of the time,
+as seen by a Chinese scholar, is found in Li Chien-nung, _The Political
+History of China 1840-1928_, Princeton 1956.--For the social history of
+this period see Chang Chung-li, _The Chinese Gentry_, Seattle 1955.--For
+the history of Tzu Hsi Bland-Backhouse, _China under the Empress
+Dowager_, Peking 1939 (Third ed.) is antiquated, but still used For some
+of K'ang Yo-wei's ideas, see now K'ang Yo-wei: _Ta T'ung Shu. The One
+World Philosophy of K'ang Yu Wei_, London 1957.
+
+
+_Chapter Eleven_
+
+p. 305: I rely here partly upon W. Franke's recent studies. For Sun
+Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P. Linebarger,
+_Sun Yat-sen and the Chinese Republic_, Cambridge, Mass., 1925 and his
+later _The Political Doctrines of Sun Yat-sen_, Baltimore
+1937.--Independently, Atatuerk in Turkey developed a similar theory of
+the growth of democracy.
+
+p. 306: On student activities see Kiang Wen-han, _The Ideological
+Background of the Chinese Student Movement_, New York 1948.
+
+p. 307: On Hu Shih see his own _The Chinese Renaissance_, Chicago 1934
+and J. de Francis, _Nationalism and Language Reform in China_, Princeton
+1950.
+
+p. 310: The declaration of Independence of Mongolia had its basis in the
+early treaty of the Mongols with the Manchus (1636): "In case the Tai
+Ch'ing Dynasty falls, you will exist according to previous basic laws"
+(R. J. Miller, _Monasteries and Culture Change in Inner Mongolia_,
+Wiesbaden 1959, p. 4).
+
+p. 315: For the military activities see F. F. Liu, _A Military History of
+Modern China, 1924-1949_, Princeton 1956. A marxist analysis of the 1927
+events is Manabendra Nath Roy, _Revolution and Counter-Revolution in
+China_, Calcutta 1946; the relevant documents are translated in C.
+Brandt, B. Schwartz, J. K. Fairbank, _A Documentary History of Chinese
+Communism_, Cambridge, Mass., 1952.
+
+
+_Chapter Twelve_
+
+For Mao Tse-tung, see B. Schwartz, _Chinese Communism and the Rise of
+Mao_, second ed., Cambridge, Mass., 1958. For Mao's early years; see
+J. E. Rue, _Mao Tse-tung in Opposition, 1927-1935_, Stanford 1966. For
+the civil war, see L. M. Chassin, _The Communist Conquest of China: A
+History of the Civil War, 1945-1949_, Cambridge, Mass., 1965. For
+brief information on communist society, see Franz Schurmann and Orville
+Schell, _The China Reader_, vol. 3, _Communist China_, New York 1967.
+For problems of organization, see Franz Schurmann, _Ideology and
+Organization in Communist China_, Berkeley 1966. For cultural and
+political problems, see Ho Ping-ti, _China in Crisis_, vol. 1, _China's
+Heritage and the Communist Political System_, Chicago 1968. For a
+sympathetic view of rural life in communist China, see J. Myrdal,
+_Report from a Chinese Village_, New York 1965; for Taiwanese village
+life, see Bernard Gallin, _Hsin Hsing, Taiwan: A Chinese Village in
+Change_, Berkeley 1966.
+
+
+
+
+INDEX
+
+
+Abahai, ruler, 269
+
+Abdication, 92-3, 182, 227, 302
+
+Aborigines, 323
+
+Absolutism, 196, 208, 210, 232 ff., 247
+  (_see_ Despotism, Dictator, Emperor,
+  Monarchy)
+
+Academia Sinica, 307
+
+Academies, 221, 255, 267-8, 272
+
+Administration, 64, 82-4, 138 ff, 142, 144, 154, 170, 173-4, 210;
+  provincial, 85
+  (_see_ Army, Feudalism, Bureaucracy)
+
+Adobe (Mud bricks), 16, 19, 32
+
+Adoptions, 204
+
+Afghanistan, 146-7
+
+Africa, 201, 259
+
+Agriculture, development, 54, 198 ff., 249-50, 275;
+  Origin of, 10, 11;
+  of Shang, 21;
+  shifting (denshiring), 32
+  (_see_ Wheat, Millet, Rice, Plough, Irrigation, Manure, Canals,
+  Fallow)
+
+An Ti, ruler of Han, 92
+
+Ainu, tribes, 9
+
+Ala-shan mountain range, 88
+
+Alchemy, 49, 104
+  (_see_) Elixir
+
+Alexander the Great, 146-7
+
+America, 276, 300
+  (_see_) United States
+
+Amithabha, god, 188
+
+Amur, river, 278
+
+An Chi-yeh, rebel, 293
+
+An Lu-shan, rebel, 184 ff., 189, 195
+
+Analphabetism, 65
+
+Anarchists, 47
+
+Ancestor, cult, 24, 32
+
+Aniko, sculptor, 243
+
+Animal style, 17
+
+Annam (Vietnam), 97, 160, 209, 219, 234, 258, 265, 295, 330
+
+Anyang (Yin-ch'ue), 19, 22
+
+Arabia, 258; Arabs, 104, 178, 183, 185, 266
+
+Architecture, 147, 256
+
+Aristocracy, 25, 26, 36, 122, 195
+  (_see_ Nobility, Feudalism)
+
+Army, cost of, 211;
+  organization of, 24, 118, 174, 236;
+  size of, 53;
+  Tibetan, 127
+  (_see_ War, Militia, tu-tu, pu-ch'ue)
+
+Art, Buddhist, 146-7
+  (_see_ Animal style, Architecture, Pottery, Painting, Sculpture,
+  Wood-cut)
+
+Arthashastra, book, attributed to Kautilya, 59
+
+Artisans, 19, 26, 31, 33, 56, 79;
+  Organizations of, 58
+  (_see_ Guilds, Craftsmen)
+
+Assimilation, 144, 152, 166, 244
+  (_see_ Colonization)
+
+Astronomy, 266
+
+Austroasiats, 10, 12
+
+Austronesians, 12
+
+Avars, tribe, 140
+  (_see_ Juan-juan)
+
+Axes, prehistoric, 10
+
+Axis, policy, 51
+
+
+Babylon, 65
+
+Baghdad, city, 201
+
+Balasagun, city, 224
+
+Ballads, 133
+
+Banks, 265, 305
+
+Banner organization, 268, 291
+
+Barbarians (Foreigners), 109, 122, 246, 278
+
+Bastards, 41
+
+Bath, 217
+
+Beg, title, 289
+
+Beggar, 239
+
+Bengal, 250, 283
+
+Boat festival, 23
+
+Bokhara (Bukhara), city, 46
+
+Bon, religion, 242
+
+Bondsmen, 31, 117, 143
+  (_see pu-ch'ue_, Serfs, Feudalism)
+
+Book, printing, 201; B burning, 66
+
+Boettger, inventor, 256
+
+Boxer rebellion, 299
+
+Boycott, 314
+
+Brahmans, Indian caste, 34, 106
+
+Brain drain, 326
+
+Bronze, 17, 20, 22, 29, 33, 40, 106, 180-1
+  (_see_ Metal, Copper)
+
+Brothel (Tea-house), 163, 217
+
+Buddha, 46; Buddhism, 20, 106, 108-9, 125, 127, 133 ff., 145 ff., 150,
+  161, 164, 168, 178, 179 ff., 188, 217, 218, 236, 257, 259, 266, 306
+  (_see_ Ch'an, Vinaya, Sects, Amithabha, Maitreya, Hinayana,
+Mahayana, Monasteries, Church, Pagoda, Monks, Lamaism)
+
+Budget, 168, 175, 209, 210, 215, 261
+  (_see_ Treasury, Inflation, Deflation)
+
+Bullfights, 182
+
+Bureaucracy, 24, 33, 63, 72;
+  religious B, 25
+  (_see_ Administration; Army)
+
+Burgher (_liang-min_), 143, 183, 216
+
+Burma, 12, 146, 234, 248, 265, 269, 283, 318, 319, 322, 329, 330
+
+Businessmen, 64
+  (_see_ Merchants, Trade)
+
+Byzantium, 177
+
+
+Calcutta, city, 283
+
+Caliph (Khaliph), 185
+
+Cambodia, 234, 295
+
+Canals, 170, 246; Imperial C, 168, 235-6
+  (_see_ Irrigation)
+
+Cannons, 232, 263
+
+Canton (Kuang-chou), city, 67, 77, 89, 97, 159, 190, 209, 237, 262, 266,
+  286, 287, 308, 309, 312, 314
+
+Capital of Empire, 144
+  (_see_ Ch'ang-an, Si-an, Lo-yang, etc.)
+
+Capitalism, 180-1, 212, 297, 303
+  (_see_ Investments, Banks, Money, Economy, etc.)
+
+Capitulations (privileges of foreign nations), 273, 287, 290, 312, 316
+
+Caravans, 86, 98, 121, 129, 181
+  (_see_ Silk road, Trade)
+
+Carpet, 243
+
+Castes, 106
+  (_see_ Brahmans)
+
+Castiglione, G., painter, 281
+
+Cattle, breeding, 155
+
+Cavalry, 53
+  (_see_ Horse)
+
+Cave temples, 146-7
+  (_see_ Lung-men, Yuen-kang, Tun-huang)
+
+Censorate, 84
+
+Censorship, 254
+
+Census, 143
+  (_see_ Population)
+
+Central Asia, 25, 87-88, 90, 113, 119, 135, 169, 179, 209, 259, 277, 330
+  (_see_ Turkestan, Sinkiang, Tarim, City States)
+
+Champa, State, 249
+
+Ch'an (Zen), meditative Buddhism, 164, 175, 218, 263
+
+Chan-kuo Period (Contending States), 51 ff.
+
+Chancellor, 82
+
+Ch'ang-an, capital of China, 123, 127, 129, 167, 172, 176, 184, 185,
+  190, 207
+  (_see_ Sian)
+
+Chang Ch'ien, ambassador, 88
+
+Chang Chue-chan, teacher, 265
+
+Chang Hsien-chung, rebel, 268, 271
+
+Chang Hsueeh-liang, war lord, 316
+
+Chang Ling, popular leader, 101, 136, 147, 264
+
+Chang Ti, ruler, 99
+
+Chang Tsai, philosopher, 218
+
+Chang Tso-lin, war lord, 312, 316
+
+Chao, state, 53, 63;
+  Earlier Chao, 124;
+  Later Chao, 124
+
+Chao K'uang-yin (T'ai Tsu), ruler, 208, 209
+
+Chao Meng-fu, painter, 243
+
+Charters, 30
+
+Chefoo Convention, 295
+
+Ch'en, dynasty, 162 ff.
+
+Ch'en Pa-hsien, ruler, 162
+
+Ch'en Tu-hsiu, intellectual, 307, 320
+
+Ch'eng Hao, philosopher, 219
+
+Cheng Ho, navy commander, 258
+
+Ch'eng I, philosopher, 219
+
+Cheng-i-chiao, religion, 263-4
+
+Ch'eng Ti, ruler of Han, 92;
+  ruler of Chin, 156
+
+Ch'eng Tsu, ruler of Manchu, 257
+
+Ch'eng-tu, city, 110, 120
+
+Ch'i, state, 40;
+  short dynasty, 190, 225;
+  Northern Ch'i, 148 ff., 149, 150 ff., 161, 162, 168
+
+Ch'i-fu, clan, 129 ff.
+
+Chi-nan, city, 55
+
+Ch'i-tan (_see_ Kitan)
+
+Ch'i Wan-nien, leader, 118
+
+Chia, clan, 120
+
+Chia-ch'ing, period, 285
+
+Chia Ssu-tao, politician, 228
+
+Ch'iang, tribes, 21, 118 (_see_ Tanguts)
+
+Chiang Kai-shek, president, 264, 311, 314, 315, 316, 317, 318, 321, 322,
+  324, 326
+
+Ch'ien-lung, period, 272, 282, 284, 285
+
+_ch'ien-min_ (commoners), 143
+
+Chin, dynasty, 229 ff.
+  (_see_ Juchen); dynasty, 114, 115 ff.;
+  Eastern Chin dynasty, 152 ff., 155 ff.;
+  Later Chin dynasty, 139
+
+Ch'in, state, 36;
+  Ch'in, dynasty, 53, 59, 60, 62 ff., 80;
+  Earlier Ch'in dynasty, 126, 157;
+  Later Ch'in dynasty, 129, 139, 159;
+  Western Ch'in dynasty, 129, 140
+
+Ch'in K'ui, politician, 226
+
+Chinese, origin of, 2, 8 ff.
+
+Ching Fang, scholar, 255
+
+Ching-te (-chen), city, 201, 256
+
+_ching-t'ien_ system, 33
+
+Ching Tsung, Manchu ruler, 260
+
+Ch'in Ying, painter, 255
+
+Chou, dynasty, 29 f., 76;
+  short Chou dynasty, 180;
+  Later Chou dynasty, 206;
+  Northern Chou dynasty, 148, 149, 150 ff., 169, 172
+
+Chou En-lai, politician, 320
+
+Chou-k'ou-tien, archaeological site, 8
+
+Chou-kung (Duke of Chou), 33, 93
+Chou-li, book, 33
+
+Chou Tun-i, philosopher, 218
+
+Christianity, 179, 266, 282, 290
+  (_see_ Nestorians, Jesuits, Missionaries)
+
+Chronology, 7, 335
+
+Ch'u, state, 38, 199 ff., 205
+
+Chu Ch'uean-chung, general and ruler, 190, 191, 203, 204
+
+Chu Hsi, philosopher, 219, 263, 279
+
+Chu-ko Liang, general, 111
+
+Chu Te general, 321
+
+Chu Tsai-yue, scholar, 255
+
+Chu Yuean-chang (T'ai Tsu), ruler, 239 ff., 243 ff., 246, 247, 256, 257
+
+_chuang_, 181, 212-13, 345
+  (_see_ Manors, Estates)
+
+Chuang Tzu;, philosopher, 47-8, 50
+
+Chuen-ch'en, ruler, 88
+
+Ch'un-ch'iu, book, 43, 80
+
+_chuen-t'ien_ system (land equalization system), 142-3, 173, 187
+
+_chuen-tzue_ (gentleman), 42, 44
+
+Chung-ch'ang T'ung, philosopher, 50
+
+Chungking (Ch'ung-ch'ing), city, 38, 110, 318
+
+Church, Buddhistic, 146, 147, 188, 218;
+  Taoistic, 136, 147
+  (_see_ Chang Ling)
+
+Cities, 36, 37;
+  spread and growth of cities, 31, 55-6, 175, 229, 250-1, 252;
+  origin of cities, 19;
+  twin cities, 33
+  (_see_ City states, Ch'ang-an, Sian, Lo-yang, Hankow, etc.)
+
+City States (of Central Asia), 97, 132, 177
+
+Clans, 31, 196
+
+Classes, social classes, 79, 143-4, 207, 216
+  (_see_ Castes, _ch'ien-min_, _liang-min_, Gentry, etc.)
+
+Climate, changes, 9
+
+Cliques, 91, 160, 197, 257, 261
+
+Cloisonne, 256
+
+Cobalt, 221, 256
+
+Coins, 78, 94, 116, 199, 209
+  (_see_ Money)
+
+Colonialism, 278, 283, 329
+  (_see_ Imperialism)
+
+Colonization, 97, 102, 111, 116, 153, 209, 248 ff.
+  (_see_ Migration, Assimilation)
+
+Colour prints, 256
+
+Communes, 331
+
+Communism, 314, 320 ff.
+  (_see_ Marxism, Socialism, Soviets)
+
+Concubines, 100, 227
+
+Confessions, 102
+
+Confucian ritual, 78-9;
+  Confucianism, 93, 136, 145, 150, 163-4, 168, 175, 183-4, 188, 306;
+  Confucian literature, 78;
+  false Confucian literature, 93-4;
+  Confucians, 40 ff., 134
+  (_see_ Neo-Confucianism)
+
+Conquests, 122, 270
+  (_see_ War, Colonialism)
+
+Conservatism, 219
+
+Constitution, 311
+
+Contending States, 40 ff.
+
+Co-operatives, 319
+
+Copper, 17, 211
+  (_see_ Bronze, Metal)
+
+Corruption, 51, 200
+
+Corvee (forced labour), 82, 173, 187, 196, 238
+  (_see_ Labour)
+
+Cotton, 250
+
+Courtesans, 182
+  (_see_ Brothel)
+
+Coxinga, rebel, 267, 271
+
+Craftsmen, 26, 105, 183, 197, 216, 247-8
+  (_see_ Artisans)
+
+Credits, 215
+
+Criminals, 146, 218, 248
+
+Crop rotation, 249
+
+
+Dalai Lama, religious ruler of Tibet, 278, 310
+
+Dance, 105
+
+Deflation, 215
+
+Deities, 23
+  (_see_ Tien, Shang Ti, Maitreya, Amithabha, etc.)
+
+Delft, city, 256
+
+Demands, the twenty-one, 311, 313
+
+Democracy, 305, 301
+
+Denshiring, 12
+
+Despotism, 81, 196
+  (_see_ Absolutism)
+
+Dewey, J., educator, 307
+
+Dialects, 64-5
+  (_see_ Language)
+
+Dialecticians, 59
+
+Dictators, 38, 47
+  (_see_ Despotism)
+
+Dictionaries, 65
+
+Diploma, for monks, 208
+
+Diplomacy, 223, 226
+
+Disarmament, 115, 120
+
+Discriminatory laws, 189, 233 ff., 270
+  (_see_ Double Standard)
+
+Dog, 54
+
+Dorgon, prince, 269
+
+Double standard, legal, 80
+
+Drama, 242, 255, 280
+
+Dress, changes, 53
+
+Dungan, tribes, 292
+
+Dynastic histories
+  (_see_ History), 2
+
+Dzungars, people, 277
+
+
+Eclipses, 43
+
+Economy, 53 ff., 94 ff., 100, 109, 112-13, 142 ff.;
+  Money economy, 198;
+  Natural economy, 107-8, 116
+  (_see_ Agriculture, Nomadism, Industry, Denshiring, Money, Trade,
+  etc.)
+
+Education, 73, 103, 201, 306, 326, 327
+  (_see_ Schools, Universities, Academies, Script, Examination
+  system, etc.)
+
+Elements, the five, 60
+
+Elephants, 26
+
+Elite, 73, 74, 196, 218
+  (_see_ Intellectuals, Students, Gentry)
+
+Elixir, 187 (_see_ Alchemy)
+
+Emperor, position of, 81, 92, 210, 304;
+  Emperor and church, 218
+  (_see_ Despotism, King, Absolutism, Monarchy, etc.)
+
+Empress (_see_ Lue, Wu, Wei, Tzu Hsi)
+
+Encyclopaedias, 219, 264, 279
+
+England, 265, 283, 285 (_see_ Great Britain)
+
+Ephtalites, tribe, 150
+
+Epics, 133
+
+Equalization Office, 91, 94 (_see chuen-t'ien_)
+
+Erotic literature, 254
+
+Estates (_chuang,_) 154, 175, 181, 212, 236
+
+Ethics, 45
+  (_see_ Confucianism)
+
+Eunuchs, 91, 100, 191, 253, 259-60, 261, 267, 272
+
+Europe, 143, 212; Europeans, 209, 233, 237, 246, 263, 272, 297, 299
+
+Examination system, 74, 78, 85-6, 91, 175, 197, 216, 252-3, 259, 280;
+  Examinations for Buddhists, 207
+
+
+Fables, 259
+
+Factories, 250, 251
+
+Fallow system, 54, 249
+
+Falsifications, 93
+  (_see_ Confucianism)
+
+Family structure, 24, 29, 31, 42, 54, 138-9, 196, 332;
+  Family ethics, 58;
+  Family planning, 331
+
+Fan Chung-yen, politician, 212, 213
+
+Fascism, 264
+
+Federations, tribal, 117
+
+Felt, 33
+
+Feng Kuo-chang, politician, 312
+
+Feng Meng-lung, writer, 254, 255
+
+Feng Tao, politician, 201
+
+Feng Yue-hsiang, war lord, 312, 315
+
+Ferghana, city, 88
+
+Fertility cults, 23;
+  differential fertility, 73
+
+Fertilizer, 54
+
+Feudalism, 24, 29, 30 ff., 37, 38, 40, 42, 44, 45, 85;
+  end of feudalism, 51, 59, 62-3;
+  late feudalism, 71-2, 77 ff.;
+  new feudalism, 81;
+  nomadic feudalism, 76, 131
+  (_see_ Serfs, Aristocracy, Fiefs, Bondsmen, etc.)
+
+Fiefs, 30, 54, 78, 82
+
+Finances, 209
+  (_see_ Budget, Inflation, Money, Coins)
+
+Fire-arms
+  (_see_ Rifles, Cannons)
+
+Fishing, 94
+
+Folk-tales, 254, 258
+
+Food habits, 54-5, 155
+
+Foreign relations, 84
+  (_see_ Diplomacy, Treaty, Tribute, War)
+
+Forests, 26
+
+Formosa (T'aiwan), 152, 267, 276, 277, 295, 296, 323 ff.
+
+France, 287, 295, 296, 313, 317
+
+Frontier, concept of, 38
+
+Frugality, 58
+
+Fu Chien, ruler, 126 ff., 130, 131, 136, 139, 157-8
+
+Fu-lan-chi (Franks), 263
+
+Fu-lin, Manchu ruler, 269
+
+Fu-yue, country, 141
+
+Fukien, province, 167, 228, 237, 248, 249, 250, 251, 276
+
+
+Galdan, leader, 277
+
+Gandhara, country, 146
+
+Gardens, 154
+
+Geisha (_see_ Courtesans), 217
+
+Genealogy, 52, 167, 196
+
+Genghiz Khan, ruler, 225, 230, 241
+
+Gentry (Upper class), 44, 78, 80, 101, 108, 133, 138, 143, 144, 166,
+  173, 174, 196, 197, 203, 209, 210, 214, 236, 239, 252 ff., 257, 268,
+  272, 297, 303-4, 307;
+  colonial gentry, 163;
+  definition of gentry, 72;
+  gentry state, 71 ff.,
+  southern gentry, 153
+
+Germany, 296, 311, 312, 317
+
+Goek Turks, 149 ff.
+
+Governors, role of, 184 ff.
+
+Grain
+  (_see_ Millet, Rice, Wheat)
+
+Granaries, 216, 290
+
+Great Britain, 285, 293, 294, 295, 310
+  (_see_ England)
+
+Great Leap Forward, 331
+
+Great Proletarian Cultural Revolution, 333
+
+Great Wall, 57
+
+Greeks, 59, 60
+
+Guilds, 58, 197
+
+
+Hakka, ethnic group, 228, 289, 323
+
+Hami, city state, 245
+
+Han, dynasty, 71 ff., 122;
+  Later Han dynasty, 206
+
+Han Fei Tzu, philosopher, 59
+
+Han T'o-wei, politician, 226-7
+
+Han Yue, philosopher, 182, 217, 218
+
+Hankow (Han-k'ou), city, 38, 156, 162, 251, 290, 314
+
+Hangchow (Hang-chou), city, 38, 225, 228
+
+Heaven, 42, 81
+  (_see_ Shang Ti, T'ien)
+
+Hermits, 46 ff.
+  (_see_ Monks, Sages)
+
+Hinayana, religion, 135
+
+Historians, 2
+
+Histories, dynastic, 2, 242;
+  falsification
+  of histories, 43, 52, 93;
+  Historiography, 43, 103-4
+Hitler, Adolf, dictator, 317, 319
+
+Hittites, ethnic group, 25
+
+Ho Ch'eng-t'ien, scholar, 255
+
+Ho-lien P'o-p'o, ruler, 139, 140, 159, 225
+
+Ho Ti, Han ruler, 99
+
+_hong_, association, 286
+
+Hong Kong, colony, 286, 319, 325
+
+Hopei, province, 296
+
+Horse, 11, 90, 186, 223, 237;
+  horse chariot, 25;
+  horse riding, 53;
+  horse trade, 63
+
+Hospitals, 216
+
+Hou Ching, ruler, 161-2
+
+Houses, 19, 33
+  (_see_ Adobe)
+
+Hsi-hsia, kingdom, 214, 221, 223, 224 ff., 231
+
+Hsi-k'ang, Tibet, 310
+
+Hsia, dynasty, 17-18, 21, 25;
+  Hunnic Hsia dynasty, 139
+  (_see_ Hsi-hsia)
+
+Hsia-hou, clan, 113
+
+Hsia Kui, painter, 221
+
+Hsiao Tao-ch'eng, general, 160
+
+Hsiao Wu Ti, Chin ruler, 158
+
+Hsieh, clan, 157
+
+Hsieh Hsuean, general, 128
+
+Hsien-feng, period, 294
+
+Hsien-pi, tribal federation, 98, 102, 114, 116, 117, 119, 120, 121, 123,
+  126, 127, 128 ff., 130, 131, 132, 136, 137, 138, 140, 148, 169
+
+Hsien Ti, Han ruler, 100
+
+Hsien-yuen, tribes, 21
+
+Hsin, dynasty, 92
+
+Hsin-an merchants, 251, 263
+
+_Hsin Ch'ing-nien_, journal, 307
+
+Hsiung-nu, tribal federation, 67 ff., 75 ff., 81, 86 ff., 90, 95, 96,
+  97 ff., 102, 108, 113, 114, 116, 117, 118, 224, 226
+  (_see_ Huns)
+
+Hsue Shih-ch'ang, president, 312
+
+Hsuean-te, period, 259
+
+Hsuean-tsang, Buddhist, 181
+
+Hsuean Tsung, T'ang ruler, 181;
+  Manchu ruler, 259, 288
+
+Hsuean-t'ung, period, 300
+
+Hsuen Tzu, philosopher, 57-8
+
+Hu, name of tribes, 118
+  (_see_ Huns)
+
+Hu Han-min, politician, 314-15
+
+Hu Shih, scholar and politician, 307, 320
+
+Hu Wei-yung, politician, 257
+
+Huai-nan Tzu, philosopher, 50, 104
+
+Huai, Ti, Chin ruler, 123, 124
+
+Huan Hsuean, general, 158, 159
+
+Huan Wen, general, 157-8
+
+Huang Ch'ao, leader of rebellion, 189 ff., 195, 203
+
+Huang Ti, ruler, 52
+
+Huang Tsung-hsi, philosopher, 247, 352
+
+Hui-chou merchants, 251, 254
+
+_hui-kuan_, association, 197
+
+Hui Ti, Chin ruler, 120;
+  Manchu ruler, 257
+
+Hui Tsung, Sung ruler, 221
+
+Hui Tzu, philosopher, 59
+
+Human sacrifice, 19, 23
+
+Hung Hsiu-ch'uean, leader of rebellion, 289 ff.
+
+Huns, 57, 118, 119, 120, 121, 124, 125, 126, 127, 130, 131, 136, 139,
+  140, 147, 148, 151, 278
+  (_see_ Hu, Hsiung-nu)
+
+Hunting, 25-6
+
+Hutuktu, religious ruler, 310
+
+Hydraulic society, 56
+
+
+_i-chuang_, clan manors, 213
+
+Ili, river, 282 ff., 293, 330
+
+Imperialism, 76, 265, 285 ff., 294, 295, 329
+  (_see_ Colonialism)
+
+India, 20, 26, 34, 45, 60, 89, 106, 111, 118, 125, 134-5, 145, 146, 164,
+  181, 182, 198, 243, 265, 287, 288, 310, 329
+  (_see_ Brahmans, Bengal, Gandhara, Calcutta, Buddhism)
+
+Indo-China, 234, 258
+  (_see_ Cambodia, Annam, Laos).
+
+Indo-Europeans, language group, 15, 25, 29, 150
+  (_see_ Yueeh-chih, Tocharians, Hittites)
+
+Indonesia, 10, 201, 209, 319
+  (_see_ Java)
+
+Industries, 198, 214, 250 ff.;
+  Industrialization, 275, 325-26, 327-28, 331-32;
+  Industrial society, 212
+  (_see_ Factories)
+
+Inflation, 20, 211, 215, 237
+
+Inheritance, laws of, 24, 54
+
+Intellectuals, 300, 309
+  (_see_ Elite, Students)
+
+Investments, 198, 212, 212-14
+
+Iran (Persia), 60, 61, 234
+
+Iron, 40, 55, 96, 198;
+  Cast iron, 56;
+  Iron money, 202
+  (_see_ Steel)
+
+Irrigation, 56, 62
+
+Islam, 179, 183, 202-3
+  (_see_ Muslims)
+
+Istanbul (Constantinople), 256, 259, 293
+
+Italy, 317
+
+
+Japan, 9, 10, 26, 44, 88, 106, 112, 114, 126, 144, 145, 170, 178, 179,
+  181, 196, 201, 234, 245-6, 254, 256, 258, 263, 264, 265, 275, 294 ff.,
+  297, 298, 300, 308, 309, 311, 312, 313, 314, 316, 317 ff., 322, 323,
+  324, 325
+  (_see_ Meiji, Tada, Tanaka)
+
+Java, 234
+
+Jedzgerd, ruler, 178
+
+Jehol, province, 11, 287
+Jen Tsung, Manchu ruler, 285
+
+Jesuits, 266, 278
+
+Jews, 179
+
+_Ju_ (scribes), 34, 41
+
+Ju-chen (Chin Dynasty, Jurchen), 221-2, 223, 225, 226, 227, 229 ff, 244,
+  265
+
+Juan-juan, tribal federation, 114, 140, 149
+
+Jurchen
+  (_see_ Ju-chen)
+
+
+K'ai-feng, city
+  (_see_ Yeh, Pien-liang), 203, 230
+
+Kalmuk, Mongol tribes, 282, 283, 284
+  (_see_ Oeloet)
+
+Kang-hsi, period, 272, 277, 279
+
+K'ang Yo-wei, politician and scholar, 298-99
+
+Kansu, province, 12, 14, 86, 87, 121, 124, 125, 129, 131, 132, 139, 140,
+  142, 159, 163, 225, 292, 293, 324
+  (_see_ Tun-huang)
+
+Kao-ch'ang, city state, 177
+
+Kao, clan, 148
+
+Kao-li, state, 126, 141, 222
+  (_see_ Korea)
+
+Kao Ming, writer, 242
+
+Kao Tsu, Han ruler, 71, 77
+
+Kao Tsung, T'ang ruler, 179, 180
+
+Kao Yang, ruler, 148
+
+Kapok, textile fibre, 250
+
+Kara Kitai, tribal federation, 223-4
+
+Kashgar, city, 99, 282, 292
+
+Kazak, tribal federation, 282, 283
+
+Khalif (_see_ Caliph), 293
+
+Khamba, Tibetans, 310
+
+Khan, Central Asian title, 149, 169, 176, 177, 186
+
+Khocho, city, 177
+
+Khotan, city, 99, 135, 174
+
+King, position of, 24, 34, 42, 43; first kings, 19;
+  religious character of kingship, 37
+  (_see_ Yao, Shun, Hsia dynasty, Emperor, Wang, Prince)
+
+Kitan (Ch'i-tan), tribal federation, 184, 186, 203, 204, 205, 206, 207,
+  208, 209, 221, 222 ff., 229, 241
+  (_see_ Liao dynasty)
+
+Ko-shu Han, general, 184-5
+
+Korea, 9, 88-89, 112, 126, 169 ff., 178, 181, 201, 219, 222, 265, 268,
+  295, 296, 324, 329
+  (_see_ Kao-li, Pai-chi, Sin-lo)
+
+K'ou Ch'ien-chih, Taoist, 147
+
+Kowloon, city, 287
+
+Ku Yen-wu, geographer, 279
+
+Kuan Han-ch'ing, writer, 242
+
+Kuang-hsue, period, 295 ff.
+
+Kuang-wu Ti, Han ruler, 96 ff.
+
+Kub(i)lai Khan, Mongol ruler, 234, 241
+
+Kung-sun Lung, philosopher, 59
+
+K'ung Tzu (Confucius), 40 ff.
+
+Kuo-min-tang (KMT), party, 313, 321, 323, 324, 325
+
+Kuo Wei, ruler, 206
+
+Kuo Tzu-hsing, rebel leader, 239
+
+Kuo Tzu-i, loyal general, 184, 186
+
+Kyakhta (Kiachta), city, 278
+
+
+Labour, forced, 235, 237
+  (_see_ Corvee);
+  Labour laws, 198;
+  Labour shortage, 251
+
+Lacquer, 256
+
+Lamaism, religion, 242-3
+
+Land ownership, 31, 32, 54
+  (_see_ Property);
+  Land reform, 94, 142-3, 172-3, 229, 290, 315, 325, 330
+  (_see chuen-t'ien, ching-t'ien_)
+
+Landlords, 54, 55, 154, 155, 198, 212, 213, 236-7, 251;
+  temples as landlords, 134
+
+Language, 36, 46;
+  dialects, 64-5, 167;
+  Language reform, 307-8, 324
+
+Lang Shih-ning, painter, 281
+
+La Tzu, philosopher, 45 ff., 101, 136
+
+Laos, country, 12
+
+Law codes, 56, 66, 80, 81-2, 93
+  (_see_ Li K'ui, Property law, Inheritance, Legalists)
+
+Leadership, 73-4
+
+League of Nations, 316
+
+Leibniz, philosopher, 281
+
+Legalists (_fa-chia_), 47, 63, 65, 66, 80, 81
+
+Legitimacy of rule, 44, 111
+  (_see_ Abdication)
+
+Lenin, V., 320, 333
+
+Lhasa, city, 278, 329
+
+Li An-shih, economist, 142
+
+Li Chung-yen, governor, 315
+
+Li Hung-chang, politician, 291, 296, 297
+
+Li K'o-yung, ruler, 190, 191, 203, 204
+
+Li Kuang-li, general, 88
+
+Li K'ui, law-maker, 56, 80
+
+Li Li-san, politician, 320
+
+Li Lin-fu, politician, 184
+
+Li Lung-mien, painter, 220
+
+Li Shih-min
+  (_see_ T'ai Tsung), T'ang ruler, 170, 172, 178
+
+Li Ssu, politician, 66
+
+Li Ta-chao, librarian, 320
+
+Li T'ai-po, poet, 182
+
+Li Tzu-ch'eng, rebel, 268, 269, 271
+
+Li Yu, writer, 280
+
+Li Yu-chen, writer, 280
+
+Li Yuean, ruler, 172
+
+Li Yuean-hung, politician, 301, 302, 312
+
+Liang dynasty, Earlier, 124, 130;
+  Later Liang, 130, 150, 162, 191, 203 ff., 207;
+  Northern Liang, 130 ff., 132, 133, 140;
+  Southern Liang, 132;
+  Western Liang, 131, 140
+
+Liang Ch'i-ch'ao, journalist, 280-1
+
+_liang-min_ (burghers), 143
+
+Liao, tribes, 12;
+  Liao dynasty (_see_ Kitan), 203, 208, 222 ff.;
+  Western Liao dynasty, 224
+
+_Liao-chai chih-i_, short-story collection, 280
+
+Libraries, 66, 201-2
+
+Lin-chin, city, 55
+
+Lin-ch'uan, city, 263
+
+Lin Shu, translator, 280
+
+Lin Tse-hsue, politician, 286
+
+Literati, 73
+  (_see_ Scholars, Confucianists)
+
+Literature, 66, 103 ff., 182 ff., 220, 253 ff.
+  (_see_ _pien-wen_, _pi-chi_, Poetry, Drama, Novels,
+  Epics, Theatre, ballads, Folk-tales, Fables, History, Confucians,
+  Writers, Scholars, Scribes)
+
+Literary revolution, 307, 320
+
+Liu Chi, Han ruler, 68, 71 ff.
+
+Liu Chih-yuean, ruler, 206
+
+Liu Chin, eunuch, 261
+
+Liu Hsiu
+  (_see_ Kuang-wu Ti), Han ruler, 96
+
+Liu Lao-chih, general, 158
+
+_liu-min_ (vagrants), 198
+
+Liu Pang
+  (_see_ Liu Chi)
+
+Liu Pei, general and ruler, 100, 101, 102
+
+Liu Shao-ch'i, political leader, 333
+
+Liu Sung, rebel, 284
+
+Liu Tsung-yuean, writer, 182
+
+Liu Ts'ung, ruler, 123, 124
+
+Liu Yao, ruler, 124
+
+Liu Yue, general, 158, 159;
+  emperor, 225
+
+Liu Yuean, sculptor, 243;
+  emperor, 119, 122, 123, 124, 126, 127, 131, 137, 139
+
+Lo Kuan-chung, writer, 254
+
+Loans, to farmers, 94;
+  foreign, 288
+
+Loess, soil formation, 9
+
+Logic, 46
+
+Long March, 321
+
+Lorcha War, 287, 291
+
+Loyang (Lo-yang), capital of China, 32, 33, 36, 37, 55, 97, 113, 122,
+  127, 142, 144, 145, 148, 149, 150, 160, 168, 176, 180, 184, 185, 215
+
+Lu, state, 41, 43
+
+Lue, empress, 77 ff.
+
+Lu Hsiang-shan, philosopher, 263
+
+Lu Hsuen, writer, 320
+
+Lue Kuang, ruler, 130
+
+Lue Pu, general, 100
+
+Lue Pu-wei, politician, 63, 103
+
+Lun, prince, 120
+
+_Lun-heng_, book, 104
+
+Lung-men, place, 150
+
+Lung-shan, excavation site, 14, 15 ff., 19
+
+Lytton Commission, 316
+
+
+Ma Yin, ruler, 199-200
+
+Ma Yuean, general, 97;
+  painter, 221
+
+Macchiavellism, 60, 164, 263-4
+
+Macao, Portuguese colony, 227, 266, 286
+
+Mahayana, Buddhist sect, 135, 145
+
+Maitreya, Buddhist deity, 147, 189
+  (_see_ Messianic movements)
+
+Malacca, state, 263
+
+Malaria, 249
+
+Managers, 212-13
+
+Manchu, tribal federation and dynasty, 76, 232, 265, 267, 270 ff., 301,
+  312, 329, 330
+
+Manchuria, 9, 11, 14, 111, 114, 137, 222, 246, 275, 277, 296, 311, 316,
+  317
+
+Manichaeism, Iranian religion, 46, 179, 187
+
+Manors (_chuang_, _see_ Estates), 154
+
+Mao Tun, Hsiung-nu ruler, 75, 76, 119, 122, 139, 170
+
+Mao Tse-tung, party leader, 320, 321, 333
+
+Marco Polo, businessman, 238, 317
+
+Market, 56;
+  Market control, 85
+
+Marriage systems, 73-5, 167, 196, 332
+
+Marxism, 304, 306, 322, 331, 333;
+  Marxist theory of history, 75
+  (_see_ Materialism, Communism, Lenin, Mao Tse-tung)
+
+Materialism, 58, 164
+
+Mathematics, 61
+
+Matrilinear societies, 24
+
+Mazdaism, Iranian religion, 101, 179, 187, 342
+
+May Fourth Movement, 307, 320
+
+Medicine, 219;
+  Medical doctors, 144, 216-17
+
+Meditation
+  (_see_ Ch'an)
+
+Megalithic culture, 20
+
+Meiji, Japanese ruler, 294
+
+Melanesia, 10
+
+Mencius (Meng Tzu), philosopher, 57
+
+Merchants, 31, 55, 56, 62, 63, 65, 79, 90-1, 104-5, 134, 160, 163, 179,
+  189, 198, 200, 201, 202, 212, 215-16, 247-8, 251, 276-7, 297;
+  foreign merchants, 190, 234, 237, 281-2
+  (_see_ Trade, Salt, Caravans, Businessmen)
+
+Messianic movements, 61, 147
+
+Metal, 15, 20
+  (_see_ Bronze, Copper, Iron)
+
+Mi Fei, painter, 220
+
+Middle Class, 195, 254, 297, 304, 309, 310, 314
+  (_see_ Burgher, Merchant, Craftsmen, Artisans)
+
+Middle East
+  (_see_ Near East)
+
+Migrations, 54, 116, 120 ff., 130, 142, 152 ff., 228, 237, 248, 275-6, 294;
+  forced migrations, 54, 167
+  (_see_ Colonization, Assimilation, Settlement)
+
+Militarism, 63
+
+Militia, 174, 215, 291
+
+Millet, 11, 21, 32
+
+Mills, 181, 213
+
+Min, state in Fukien, 205
+
+Ming dynasty, 243 ff.
+
+Ming Jui, general, 283
+
+Min Ti, Chin ruler, 123
+
+Ming Ti, Han ruler, 99;
+  Wei ruler, 114;
+  Later T'ang ruler, 204
+
+Minorate, 24
+
+Missionaries, Christian, 266, 281, 287, 289
+  (_see_ Jesuits)
+
+Mo Ti, philosopher, 58
+
+Modernization, 296-7
+
+Mohammedan rebellions, 292 ff.
+  (_see_ Muslim)
+
+Mon-Khmer tribes, 10
+
+Monarchy, 47, 247, 281
+  (_see_ King, Emperor, Absolutism, Despotism)
+
+Monasteries, Buddhist, 144, 207, 236;
+  economic importance, 125, 134, 180-1, 187 ff.
+
+Money, 20, 55, 180-1;
+  Money economy, 56, 58, 107-8;
+  Origin of money, 40;
+  paper money, 202, 211, 347
+  (_see_ Coins, Paper, Silver)
+
+Mongolia, 8, 9, 11, 98, 283, 317
+
+Mongols, tribes, tribal federation, dynasty, 17, 40, 53, 57, 76, 102,
+  114, 117, 119, 120, 137, 140, 175, 220, 225, 227, 228, 230 ff.,
+  232 ff., 240, 243, 244, 257, 259, 264, 266, 268, 270, 277, 281, 284,
+  291, 329, 330
+  (_see_ Yuean dynasty, Kalmuk, Tuemet, Oirat, Oeloet, Naiman, Turgut,
+  Timur, Genghiz, Kublai)
+
+Monks, Buddhist, 134, 146, 164, 188, 207, 218, 239, 246, 253-4
+
+Monopolies, 85, 91, 200, 215
+
+Mound-dwellers, 16
+
+Mu-jung, tribes, 119, 126, 128-9
+
+Mu Ti, East Chin ruler, 157
+
+Mu Tsung, Manchu ruler, 294
+
+Mulberries, 143
+
+Munda tribes, 10
+
+Music, 163, 182-3, 255
+  (_see_ Theatre, Dance, Geisha)
+
+Muslims, 179, 233, 278, 289;
+  Muslim rebellions, 289, 292 ff.
+  (_see_ Islam, Mohammedans)
+
+Mysticism, 46
+
+
+Naiman, Mongol tribe, 233
+
+Nan-chao, state, 171
+
+Nan-yang, city, 96
+
+Nanking (Nan-ching), capital of China, 38, 121, 156, 162, 225, 228, 235,
+  246, 250, 254, 257, 262, 263, 266, 270, 286, 287, 290, 291, 302, 315,
+  316, 318;
+  Nanking regime, 314 ff.
+
+Nationalism, 76, 131, 233, 284-5
+  (_see_ Kuo-min-tang)
+
+Nature, 46;
+  Nature philosophers, 60
+
+Navy, 258
+
+Near East, 16, 81, 106, 109, 111, 140, 146, 221, 238
+  (_see_ Arabs, Iran, etc.)
+
+Neo-Confucianism, 218 ff., 263
+
+Neolithicum, 9
+
+Nepal, 243, 283
+
+Nerchinsk, place, 278
+
+Nestorian Christianity, 187
+
+Ni Tsan, painter, 243
+
+Nien Fei, rebels, 291-2
+
+Niu Seng-yu, politician, 188
+
+Nobility, 31, 80, 124, 131, 138;
+  Nomadic nobility, 76
+  (_see_ Aristocracy)
+
+Nomadism, 10, 40, 67, 222-3;
+  Economy of nomads, 35-6, 137;
+  Nomadic society structure, 75
+
+Novels, 254 ff., 280
+
+
+Oil, 294
+
+Oirat, Mongol tribes, 260
+
+Okinawa (_see_ Ryukyu)
+
+Oeloet, Mongol tribes, 277
+
+Opera, 242, 255-6
+
+Opium, 276, 286;
+  Opium War, 286
+
+Oracle bones, 22, 24
+
+Ordos, area, 9, 17, 20, 67, 86, 125, 129, 133, 148, 170, 225
+
+Orenburg, city, 282
+
+Organizations, 58
+  (_see hui-kuan_ Guilds, _hong_, Secret Societies)
+
+Orphanages, 218
+
+Ottoman (Turkish) Empire, 293
+
+Ou-yang Hsiu, writer, 254
+
+Outer Mongolia, 310-11, 330
+
+
+Pagoda, 243
+
+Pai-chi (Paikche), state in Korea, 141
+
+Pai-lien-hui (_see_ White Lotos) 239
+
+Painting, 56, 105, 183, 220 ff., 243, 255, 281
+
+Palaeolithicum, 8 ff.
+
+Pan Ch'ao, general, 99, 100
+
+_pao-chia_, security system, 173
+
+Paper, 105, 183, 251;
+  Paper money, 202, 228, 237
+  (_see_ Money)
+
+Parliament, 300-1
+
+Party (_see_ Kuo-min-tang, Communists)
+
+Pearl Harbour, 319
+
+Peasant rebellions, 238 ff.
+  (_see_ Rebellions)
+
+Peking, city, 169, 184, 197, 207, 208, 221, 223, 235, 239, 246, 256,
+  257, 262, 264, 265, 266, 268, 269, 272, 278, 283, 287, 290, 291, 297,
+  299, 305, 307, 308, 309, 311, 312, 313, 318;
+  Peking Man, 8
+
+Pensions, 217, 247
+
+People's Democracy, 294
+
+Persecution, religious, 147, 188, 207
+
+Persia (Iran), 256, 258, 259;
+  Persian language, 234
+
+Peruz, ruler, 178
+
+Philippines, state, 295, 323, 325
+
+Philosophy, 44, 217 ff., 263 ff.
+  (_see_ Confucius, Lao Tzu, Chuang Tzu, Huai-nan Tzu,
+  Hsuen Tzu, Mencius, Hui Tzu, Mo Ti, Kung-sun Lung, Shang
+  Tzu, Han Fei Tzu, Tsou Yen, Legalists, Chung-ch'ang,
+  T'ung, Yuean Chi, Liu Ling, Chu Hsi, Ch'eng Hao, Lu Hsiang-shan,
+  Wang Yang-ming, etc.)
+
+_pi-chi_, literary form, 220
+
+_pieh-yeh (see_ Manor), 154
+
+Pien-liang, city (_see_ K'ai-feng), 230
+
+_pien-wen_, literary form, 253
+
+Pig, 54, 199
+
+Pilgrims, 245
+
+P'ing-ch'eng, city, 122
+
+Pirates, 245, 263
+
+Plantation economy, 154
+
+Plough, 54
+
+Po Chue-i, poet, 182, 220
+
+Po-hai, state, 171, 222, 229
+
+Poetry, 48, 163, 175, 182 ff., 227, 241, 255;
+  Court Poetry, 105;
+  Northern Poetry, 133
+
+Poets, 219 ff.
+  (_see_ T'ao Ch'ien, Po Chue-i, Li T'ai-po, Tu Fu, etc.)
+
+Politicians, migratory, 52
+
+Pontic migration, 16
+
+Population changes, 21, 55, 62, 78, 108, 236, 238, 273-4;
+  Population decrease, 107
+  (_see_ Census, Fertility)
+
+Porcelain, 20, 183, 201, 221, 251, 256, 281
+
+Port Arthur, city, 296
+
+Portsmouth, treaty, 296
+
+Portuguese 262, 263
+  (_see_ Fu-lan-chi, Macao)
+
+Potter, 32;
+  Pottery, 14, 15 ff., 20;
+  black pottery, 16
+  (_see_ Porcelain)
+
+Price controls, 212
+
+Priests, 24, 34
+  (_see_ Shamans, Ju, Monks)
+
+Primogeniture, 54
+
+Princes, 115, 120, 123
+
+Printing, 201-2
+  (_see_ Colour, Book)
+
+Privileges of gentry, 173
+
+Proletariate, 305, 320
+  (_see_ Labour)
+
+Propaganda, 93
+
+Property relations, 31, 54, 196
+  (_see_ Laws, Inheritance, Primogeniture)
+
+Protectorate, 82
+
+Provinces, administration, 85
+
+_pu-ch'ue,_ bondsmen, 143, 174
+
+Pu-ku Huai-en, general, 185, 186
+
+P'u Sung-lin, writer, 280
+
+P'u Yi, Manchu ruler, 300, 312
+
+Puppet plays, 255
+
+
+Railways, 301, 324; Manchurian Railway, 296
+
+Rebellions, 95-6, 156, 158, 184 ff., 189 ff., 238 ff., 261 ff., 267 ff.,
+  284, 289 ff., 291 ff., 299, 301
+  (_see_ Peasants, Secret Societies, Revolutions)
+
+Red Eyebrows, peasant movement, 95 ff.
+
+Red Guards, 333
+
+Reforms, 298, 299;
+  Reform of language, 307-9
+  (_see_ Land reform)
+
+Regents, 89
+
+Religion, 8, 22-4, 37, 42, 44, 48, 135-6;
+  popular religion, 101
+  (_see_ Bon, Shintoism, Persecution, Sacrifice, Ancestor cult,
+  Fertility cults, Deities, Temples, Monasteries, Christianity,
+  Islam, Buddhism, Mazdaism, Manichaeism, Messianic religions,
+  Secret societies, Soul, Shamanism, State religion)
+
+Republic, 303 ff.
+
+Revolutions, 244;
+  legitimization of revolution, 57
+  (_see_ Rebellions)
+
+Ricci, Matteo, missionary, 266
+
+Rice, 12, 155, 219, 235, 249
+
+Rifles, 263
+
+Ritualism, 34, 42
+
+Roads, 30, 56, 65
+
+Roman Empire, 31, 51, 107, 144, 210
+
+Roosevelt, F.D., president, 322
+
+Russia, 246, 259, 278, 282, 283, 284, 293, 294, 296, 298, 300, 310,
+  311, 313-14, 315, 317, 320, 321, 322, 323, 328-29, 330, 333, 334
+  (_see_ Soviet Republics)
+
+Ryukyu (Liu-ch'iu), islands, 295
+
+
+Sacrifices, 19, 23, 26
+
+Sages, 47
+
+Sakhalin (Karafuto), island, 295, 296
+
+Salar, ethnic group, 292
+
+Salary, 213, 227
+
+Salt, 40;
+  Salt merchants, 189, 238, 248-9, 262;
+  Salt trade, 200-1
+
+Samarkand, city, 45, 183, 241
+
+_San-min chu-i,_ book, 305
+
+Sang Hung-yang, economist, 91
+
+Sassanids, Iranian dynasty, 178
+
+Scholars (_Ju_), 34, 41, 52, 59, 60, 100
+  (_see_ Literati, Scribes, Intellectuals, Confucianists)
+
+Schools, 79, 196, 324-25
+  (_see_ Education)
+
+Science, 60-1, 104-5, 219, 281
+  (_see_ Mathematics, Astronomy, Nature)
+
+Scribes, 34
+
+Script, Chinese, 22, 29, 65, 225, 308
+
+Sculpture, 19-20, 106, 147, 183, 243;
+  Buddhist sculptures, 146
+
+_se-mu_ (auxiliary troops), 233
+
+Seal, imperial, 92-3
+
+Secret societies, 61, 95 ff., 289
+  (_see_ Red Eyebrows, Yellow Turbans, White Lotos, Boxer,
+     Rebellions)
+
+Sects, 135;
+  Buddhist sects, 188
+
+Seng-ko-lin-ch'in, general, 291
+
+Serfs, 21, 26, 31, 32, 33, 53-4, 72, 143, 197, 216
+  (_see_ Slaves, Servants, Bondsmen)
+
+Servants, 32
+
+Settlement, of foreigners, 177;
+  military, 248
+  (_see_ Colonization)
+
+Sha-t'o, tribal federation, 187, 190, 203, 204, 206, 207, 222, 230
+
+Shadow theatre, 255
+
+Shahruk, ruler, 258
+
+Shamans, 160, 184;
+  Shamanism, 34, 242, 135 ff., 146
+
+Shan tribes of South East Asia, 12
+
+_Shan-hai-ching_, book, 103
+
+Shan-yue, title of nomadic ruler, 88, 89, 90, 95, 103, 119, 125, 151
+
+Shang dynasty, 19 ff., 41
+
+Shang Ti, deity, 23, 24, 25
+
+Shang Tzu, philosopher (Shang Yang), 59
+
+Shanghai, city 246, 250, 287, 288, 301, 305, 308, 314-15, 316, 318
+
+Shao Yung, philosopher, 220
+
+Sheep, 54, 118
+
+Shen Nung, mythical figure, 52
+
+Shen Tsung, Sung ruler, 196;
+  Manchu ruler, 265, 267
+
+Sheng Tsu, Manchu ruler, 272
+
+_Shih-chi_, book, 103
+
+Shih Ching-t'ang, ruler, 204, 222
+
+Shih Ch'ung, writer, 49
+
+Shih Heng, soldier, 260
+
+Shih Hu, ruler, 125 ff.
+
+Shih Huang-ti, ruler, 63 ff., 78
+
+Shih Lo, ruler, 123, 124, 125, 126
+
+Shih-pi, ruler, 170
+
+Shih Ssu-ming, 185
+
+Shih Tsung, Manchu ruler, 264, 282
+
+Shih-wei, Mongol tribes, 141
+
+Shintoism, Japanese religion, 44
+
+Ships, 168 (_see_ Navy)
+
+Short stories, 255
+
+Shoulder axes, 10
+
+Shu (Szechwan), area and/or state, 219
+
+Shu-Han dynasty, 108, 110, 111, 115
+
+Shun, dynasty, 268;
+  mythical ruler, 17
+
+Shun-chih, reign period, 270
+
+Sian (Hsi-an, Ch'ang-an), city, 31, 33, 35, 97
+
+Siao Ho (Hsiao Ho), jurist, 80
+
+Silk, 20-1, 56, 90-1, 105, 116, 143, 185, 186, 209, 214, 276, 289, 303;
+  Silk road, 86
+
+Silver, 211, 251-2, 276
+
+Sin-lo (Hsin-lo, Silla), state of Korea, 141
+
+Sinanthropos, 8
+
+Sinkiang (Hsin-Chiang, Turkestan), 14, 248, 294, 329, 330
+
+Slash and burn agriculture (denshiring), 12
+
+Slaves, 26, 32, 79, 94, 123, 137-8, 143;
+  Slave society, 26;
+  Temple slaves, 146
+
+Social mobility, 73-4, 196, 197, 218-19;
+  Social structure of tribes, 117
+
+Socialism, 93 ff., 291
+  (_see_ Marxism, Communism)
+
+Sogdiana, country in Central Asia, 45, 60, 134-5, 163, 174, 184
+
+Soul, concept of soul, 32
+
+South-East Asia, 9, 10, 14, 198, 201 250, 275, 324
+  (_see_ Burma, Champa, Cambodia, Annam, Laos, Vietnam,
+     Tonking, Indonesia, Philippines, Thailand, Mon-Khmer)
+
+Soviet Republics, 294, 312, 328
+  (_see_ Russia)
+
+Speculations, financial, 227
+
+Ssu-ma, clan, 113-14
+
+Ssu-ma Ch'ien, historian, 103-4
+
+Ssu-ma Kuang, historian, 220
+
+Ssu-ma Yen, ruler, 114, 115
+
+Standardization, 64 ff.
+
+States, territorial and national, 37, 51;
+  State religion, 145-6, 180
+
+Statistics, 83
+  (_see_ Population)
+
+Steel, 56, 198
+
+Steppe, 9
+
+Stone age, 8 ff.
+
+Stratification, social, 29
+  (_see_ Classes, Social mobility)
+
+Strikes, 198
+
+Students, 304-5, 306, 320
+
+Su Chuen, rebel, 156
+
+Su Tsung, T'ang ruler, 185
+
+Su Tung-p'o, poet, 219
+
+_su-wang_ (uncrowned king), 43
+
+Sui, dynasty, 151
+
+Sun Ts'e, ruler, 100, 101
+Sun Yat-sen (Sun I-hsien), revolutionary leader, president, 280,
+  299, 300, 302, 305, 309, 311, 312, 313, 315, 318, 321
+
+Sung, dynasty, 207, 208 ff., 238;
+  Liu-Sung dynasty, 159 ff.
+
+Szechwan (Ssu-ch'uan), province, 101, 139, 156, 157, 159, 185,
+  190, 199, 200, 202, 207, 214, 215, 219, 262, 301
+  (_see_ Shu)
+
+
+Ta-tan (Tatars), tribal federation, 233
+
+Tada, Japanese militarist, 295
+
+Tai, tribes, 17, 19, 21, 111, 152
+  (_see_ Thailand)
+
+Tai Chen, philosopher, 279
+
+Tai Ch'ing dynasty (Manchu), 267
+
+T'ai P'ing, state, 274, 289 ff., 333
+
+T'ai Tsu, Sung ruler, 209; Manchu ruler, 257
+
+T'ai Tsung, T'ang ruler 174, 178
+  (_see_ Li Shih-min)
+
+Taiwan (T'ai-wan, _see_ Formosa), 323 ff, 334
+
+T'an-yao, priest, 146
+
+Tanaka, Japanese militarist, 295
+
+T'ang, dynasty, 83-4, 144, 147, 172 ff.;
+  Later T'ang dynasty, 204 ff.
+
+T'ang Hsien-tsu, writer, 255
+
+T'ang Yin, painter, 255
+
+Tanguts, Tibetan tribal federation and/or state, 99, 102, 118, 224-5,
+  233
+  (_see_ Ch'iang)
+
+Tao, philosophical term, 42, 46, 47
+
+Tao-kuang, reign period, 285 ff., 288
+
+_Tao-te-ching,_ book, 46
+
+T'ao-t'ieh, mythical emblem, 22
+
+Tao-yen, monk, 264
+
+Taoism, religion, 101-2, 133, 136, 150, 183, 188, 236, 266; Taoists, 46,
+  61, 104, 241, 263-4
+  (_see_ Lao Tzu, Chuang Tzu, Chang Ling, etc.)
+
+Tarim basin, 89, 179
+
+Tatars (Ta-tan) Mongolian tribal federation, 190, 230, 233
+
+Taxation, 33, 55, 65, 78, 143, 154, 173, 175, 178, 210, 211, 212, 213,
+  247, 252;
+  Tax collectors, 55, 74, 116;
+  Tax evasion, 214, 226, 246;
+  Tax exemptions, 188, 213, 236;
+  Taxes for monks, 208;
+  Tax reform, 187
+
+Te Tsung, Manchu ruler, 295, 299
+
+Tea, 276; Tea trade, 200; Tea house
+  (_see_ Brothel), 182
+
+Teachers, 74
+  (_see_ Schools)
+
+Technology, 219
+
+Tell, archaeological term, 16
+
+Temples, 101, 183
+  (_see_ Monasteries)
+
+Tengri khan, ruler, 186
+
+Textile industry, 198
+  (_see_ Silk, Cotton)
+
+Thailand, state, 12, 248, 265
+  (_see_ Tai tribes)
+
+Theatre, 182-3, 242
+  (_see_ Shadow, Puppet, Opera)
+
+Throne, accession to, 150
+  (_see_ Abdication, Legitimacy)
+
+Ti, Tibetan tribes, 21, 118
+
+Tibet, 12, 15, 19, 29, 30, 35, 102, 110, 116, 118-19, 120, 121, 126,
+  127, 130, 131, 132, 135, 139, 145, 169, 174, 177, 179, 181, 186, 187,
+  200, 224-5, 242, 273, 278, 283, 284, 293, 310, 329
+  (_see_ Ch'iang, Ti, T'u-fan, T'u-yue-hun, Lhasa Tanguts)
+
+T'ien, deity, 32
+
+Tientsin (T'ien-chin), city, 287, 290, 299
+
+Timur, ruler, 258
+
+Tin, 17
+
+Ting-ling, tribal federation, 89, 102
+
+T'o-pa
+  (_see_ Toba)
+
+T'o-t'o, writer, 241-2
+
+Toba, Turkish tribal federation, 76, 116, 117, 118, 119, 120, 123, 126,
+  127, 132, 136 ff., 159, 160, 161, 168, 169, 172, 173, 174, 177, 214,
+  222, 224
+
+Tocharians, Central Asian ethnic group, 150
+
+Tokto (_see_ T'o-t'o)
+
+Toeloes, Turkish tribal group, 169, 178, 185
+
+Tombs, 19, 34
+
+Tonking, state, 10, 54, 295, 330
+
+Tortoise, 22, 47-8
+
+Totalitarianism, 80
+  (_see_ Dictatorship, Fascism, Communism)
+
+Tou Ku, general, 99
+
+T'ou-man, ruler, 67
+
+Towns
+  (_see_ City)
+
+Trade, 88-9, 90, 99, 127;
+  barter trade, 57;
+  international trade, 60, 62, 86, 127-8, 139, 178, 179, 198, 209, 223,
+  245, 258, 264-5, 276, 286
+  (_see_ Merchants, Commerce, Caravans, Silk road)
+
+Translations, 135, 182, 280, 307
+
+Transportation, 56, 168, 235, 247, 283
+  (_see_ Roads, Canals, Ships, Post, Caravans, Horses)
+
+Travels of emperors, 66
+
+Treasury, 84, 206
+
+Treaty, international, 77, 226, 278, 286, 290-1, 293, 295, 296
+
+Tribal organization, 76, 223, 224
+  (_see_ Banner, Army, Nomads)
+
+Tribes, disappearance of, 133, 151-2;
+  social organization, 117;
+  military organization, 149
+
+Tribute (_kung_), 33, 88, 209, 214, 226, 230, 248
+
+_tsa-hu,_ social class, 144
+
+Tsai T'ien, prince, 295
+
+Ts'ai Yuean-p'ei, scholar, 307
+
+Ts'ao Chih, poet, 48
+
+Ts'ao Hsueeh-ch'in, writer, 280
+
+Ts'ao K'un, politician, 312
+
+Ts'ao P'ei, ruler, 102, 109, 113
+
+Ts'ao Ts'ao, general, 100, 101, 102
+
+Tsewang Rabdan, general, 277
+
+Tseng Kuo-fan, general, 291
+
+Tso Tsung-t'ang, general, 293
+
+Tsou Yen, philosopher, 60-1
+
+Ts'ui, clan, 113, 147, 181
+
+T'u-chueeh, Goek Turk tribes, 149
+  (_see_ Turks)
+
+Tu Fu, poet, 182
+
+T'u-fan, Tibetan tribal group, 171, 177, 205
+
+Tu-ku, Turkish tribe, 124, 151
+
+_T'u-shu chi-ch'eng_, encyclopaedia, 279
+
+_tu-tu_, title, 174
+
+T'u-yue-hun, Tibetan tribal federation, 130, 141, 169, 177
+
+Tuan Ch'i-jui, president, 312
+
+Tuemet, Mongol tribal group, 265
+
+Tung Ch'i-ch'ang, painter, 255
+
+T'ung-chien kang-mu, historical encyclopaedia, 43
+
+T'ung-chih, reign period, 294
+
+Tung Chung-shu, thinker, 80, 104
+
+Tung Fu-hsiang, politician, 298
+
+Tung-lin academy, 267
+
+Tungus tribes, 11, 19, 117, 222, 229, 265
+  (_see_ Ju-chen, Po-hai, Manchu)
+
+Tunhuang (Tun-huang), city, 85, 324
+
+Turfan, city state, 245
+
+Turgut, Mongol tribal federation, 283
+
+Turkestan, 45, 60, 62, 85, 86 ff., 88, 95, 97, 99, 113, 114, 125,
+  127, 130, 132, 134, 135, 139, 141, 142, 146, 147, 159, 163,
+  176, 177, 178, 187, 220, 224, 241, 245, 259, 273, 277, 278,
+  282, 289, 293, 294
+  (_see_ Central Asia, Tarim, Turfan, Sinkiang, Khotan,
+  Ferghana, Samarkand, Khotcho, Tocharians, Yueeh-chih, Sogdians,
+  etc.)
+
+Turkey, 259
+
+Turks, 11, 15, 17, 25, 29, 30, 32, 35, 53, 57, 108, 109, 117, 119,
+  122, 127, 133, 135, 137, 140, 146 ff., 149 ff., 169 ff., 174,
+  176 ff., 179, 180, 181, 184, 185, 203, 206, 230, 282, 294, 329
+  (_see_ Goek Turks, T'u-chueeh, Toba, Toeloes, Ting-ling, Uighur,
+  Sha-t'o, etc.)
+
+Tzu Hsi, empress, 294 ff., 296 ff.
+
+
+Uighurs, Turkish federation, 171, 174, 176, 177, 178, 181, 185, 186
+  ff., 190, 233, 234, 278
+
+United States, 287, 304, 309, 313, 322, 342
+  (_see_ America)
+
+Ungern-Sternberg, general, 311
+
+Urbanization, 31, 250
+  (_see_ City)
+
+Urga, city, 310
+
+University, 304-5, 306, 307, 318, 320
+
+Usury, 94
+
+
+Vagrants (_liu-min_), 198, 213
+
+Vietnam, 330, 334
+  (_see_ Annam)
+
+Village, 23;
+  Village commons, 94, 154
+
+Vinaya Buddhism, 188
+
+Voltaire, writer, 242
+
+
+Walls, 57;
+  Great Wall, 57, 67, 256
+
+Wan-li, reign period, 265, 266
+
+_Wang (king), 38_
+
+Wang An-shih, statesman, 215 ff., 217-18, 254
+
+Wang Chen, eunuch, 260
+
+Wang Ching-wei, collaborator, 315, 318
+
+Wang Ch'ung, philosopher 104-5
+
+Wang Hsien-chih, peasant leader, 189-90
+
+Wang Kung, general, 158
+
+Wang Mang, ruler, 92 ff., 97, 100, 101
+
+Wang Shih-chen, writer, 255
+
+Wang Shih-fu, writer, 242
+
+Wang Tao-k'un, writer, 254
+
+Wang Tun, rebel, 156-7
+
+Wang Yang-ming, general and philosopher, 261 ff.
+
+War, 82;
+  size of wars, 21, 53;
+  War-chariot, 25, 29, 30, 53;
+  cost of wars, 90;
+  War lords, 309 ff.;
+  Warrior-nomads, 36
+  (_see_ Army, World War, Opium War, Lorcha War, Fire-Arms)
+
+Washington, conference, 313
+
+Wei, dynasty, 102, 113 ff.;
+  small state, 40;
+  empress, 180
+
+Wei Chung-hsien, eunuch, 267-8
+
+Wei T'o, ruler in South China, 77
+
+Welfare state, 215 ff.
+
+Well-field system (_ching-t'ien_), 33
+
+Wen Ti, Han ruler, 78, 79, 80, 81, 86;
+  Wei ruler 113;
+  Toba ruler, 144;
+  Sui ruler, 167 ff.
+
+Wen Tsung, Manchu ruler, 294
+
+Whampoa, military academy, 314
+
+Wheat, 11, 21, 32
+
+White Lotos sect (Pai-lien), 239, 267, 284-5
+
+Wholesalers, 200
+
+Wine, 21
+
+Wood-cut, 251, 256
+  (_see_ Colour print)
+
+Wool, 21, 33, 286
+  (_see_ Felt)
+
+World Wars, 295, 310, 311, 312, 317
+
+Women rights, 280, 332
+
+Writing, invention, 18, 22
+  (_see_ Script)
+
+Wu, empress, 179 ff.;
+  state, 38, 111-12, 115, 121
+
+Wu-ch'ang, city, 301
+  (_see_ Hankow)
+
+Wu Ching-tzu, writer, 280
+
+Wu-huan, tribal federation, 98, 102, 114
+
+Wu P'ei-fu, war lord, 312
+
+Wu San-Kui, general, 269, 271, 272, 277
+
+Wu Shih-fan, ruler, 271
+
+Wu-sun, tribal group, 89
+
+Wu Tai (Five Dynasties period), 199 ff.
+
+Wu Tao-tzu, painter, 183
+
+Wu(Ti), Han ruler, 86, 89, 91;
+  Chin ruler, 115;
+  Liang ruler, 161, 164
+
+Wu Tsung, Manchu ruler, 261, 264
+
+Wu Wang, Chou ruler, 30
+
+_wu-wei,_ philosophical term, 47
+
+
+Yakub beg, ruler, 293
+
+Yamato, part of Japan, 112
+
+Yang, clan, 119, 120
+
+Yang Chien, ruler, 151, 163, 166 ff.
+  (_see_ Wen Ti)
+
+Yang (Kui-fei), concubine, 184
+
+Yang-shao, archaeological site, 12 ff., 29
+
+Yang Ti, Sui ruler, 168, 178
+
+Yao, mythical ruler, 17;
+  tribes in South China, 12, 16, 19, 21, 111, 152
+
+Yarkand, city in Turkestan, 97, 98, 282
+
+Yeh (K'ai-feng), city, 125, 148
+
+Yeh-ta (_see_ Ephtalites)
+
+Yehe-Nara, tribe, 294
+
+Yellow Turbans, secret society, 101, 158
+
+Yeh-lue Ch'u-ts'ai, politician, 241
+
+Yen, state, 114;
+  dynasty, 112;
+  Earlier Yen dynasty, 126, 127;
+  Later Yen dynasty 127, 128 ff.;
+  Western Yen dynasty, 129
+
+Yen-an, city, 321-2
+
+Yen Fu, translator, 280
+
+Yen Hsi-shan, war lord, 315
+
+Yen-ta (Altan), ruler, 264-5
+
+_Yen-t'ieh-lun_ (Discourses on Salt and Iron), book, 91
+
+Yin Chung-k'an, general, 158
+
+Yin-ch'ue, city, 21
+
+Yin and Yang, philosophical terms, 60
+
+Ying Tsung, Manchu ruler, 259, 260
+
+Yo Fei, general, 226
+
+Yue Liang, general, 156, 157
+
+Yue-wen, tribal group, 119, 148, 169, 172
+
+Yuean Chen, 182
+
+Yuean Chi, philosopher, 50
+
+Yuean Mei, writer, 280
+
+Yuean Shao, general, 100
+
+Yuean Shih-k'ai, general and president, 298, 299, 300, 301, 302, 309,
+     310, 311, 312
+
+Yuean Ti, Han ruler, 92;
+  Chin ruler, 152, 156
+
+Yueeh, tribal group and area, 12, 16, 38, 77, 152
+
+Yueeh-chih, Indo-European-speaking ethnic group, 75, 88, 118, 150
+
+Yuen-kang, caves, 146-7, 344
+
+Yuennan, (Yuen-nan), province, 10, 89, 97, 110, 248, 258, 275, 292
+
+Yung-cheng, reign period, 278, 282
+
+Yung-lo, reign period, 257, 264
+
+
+Zen Buddhism
+  (_see_ Ch'an), 164
+
+Zoroaster, founder of religion, 342
+
+
+
+Transcriber's Notes
+
+Most typos/misspellings were left as in the original text. In some
+obvious cases they are noted here. There are cases of American and UK
+English. There are cases of unusual hyphenation. There are more than one
+spelling of Chinese proper nouns. There are cases, like Marxism, which
+are not capitalized. There are cases of double words, like 'had had'.
+These are correctly used.
+
+Additionally, the author has spelled the following words inconsistently.
+Those have not been changed, but are listed here:
+
+Northwestern
+Southwards
+Programme
+re-introduced
+practise
+Lotos
+Ju-Chen
+cooperate
+life-time
+man-power
+favor
+advise
+
+Page 25. (conceived as a kind of celestrial court) This should be
+celestial court.
+
+Page 25. (the middle of the second millenium B.C.). Normally 'millenium'
+is spelled 'millennium', with a double n.
+
+Page 26. (they re-settled the captured). Normally 're-settled' is
+spelled without a hyphen.
+
+Page 80. ("Collected Statues of the Manchu Dynasty") This is likely a
+typo for "Collected Statutes of the Manchu Dynasty".
+
+Page 197. (allowed to enter the state examina) This may be a typo for
+state examinations.
+
+Page 209. (accounted for 25 per cent cent) I removed the duplicate cent.
+
+Page 255. ("The Peony Pavillion") Pavillion/Pavilion is spelled with one
+'l' in other places thoughout this work.
+
+Page 264. (Ling's church Taosim.) This may be Taoism, but I left as was
+printed.
+
+Page 275. (could allevitate the pressure) Alleviate was probably meant.
+
+Page 278. (particulary in regard) Typo for particularly.
+
+Pages 335 and 336. The spelling of J. G. Andersoon/Andersson is not
+consistent. Johan Gunnar Andersson appears to be associated with studies
+of China.
+
+Page 342. The name W. Eichhorn is apparently misspelled here as Eichhron.
+
+Page 323. Equipped is spelled equiped.
+
+Page 337. (and when it florished,) Typo for flourished.
+
+Index and page 60. Machiavellism/Machiavellian is spelled with 2 'c's.
+Machiavelism is more common as Machiavellianism.
+
+
+
+
+
+End of the Project Gutenberg EBook of A history of China., [3d ed. rev. and
+enl.], by Wolfram Eberhard
+
+*** END OF THIS PROJECT GUTENBERG EBOOK A HISTORY OF CHINA., [3D ED. ***
+
+***** This file should be named 17695.txt or 17695.zip *****
+ This and all associated files of various formats will be found in:
+        http://www.gutenberg.org/1/7/6/9/17695/
+
+Produced by John Hagerson, Juliet Sutherland, Leonard
+Johnson, and the Online Distributed Proofreading Team at
+http://www.pgdp.net
+
+
+Updated editions will replace the previous one--the old editions
+will be renamed.
+
+Creating the works from public domain print editions means that no
+one owns a United States copyright in these works, so the Foundation
+(and you!) can copy and distribute it in the United States without
+permission and without paying copyright royalties.  Special rules,
+set forth in the General Terms of Use part of this license, apply to
+copying and distributing Project Gutenberg-tm electronic works to
+protect the PROJECT GUTENBERG-tm concept and trademark.  Project
+Gutenberg is a registered trademark, and may not be used if you
+charge for the eBooks, unless you receive specific permission.  If you
+do not charge anything for copies of this eBook, complying with the
+rules is very easy.  You may use this eBook for nearly any purpose
+such as creation of derivative works, reports, performances and
+research.  They may be modified and printed and given away--you may do
+practically ANYTHING with public domain eBooks.  Redistribution is
+subject to the trademark license, especially commercial
+redistribution.
+
+
+
+*** START: FULL LICENSE ***
+
+THE FULL PROJECT GUTENBERG LICENSE
+PLEASE READ THIS BEFORE YOU DISTRIBUTE OR USE THIS WORK
+
+To protect the Project Gutenberg-tm mission of promoting the free
+distribution of electronic works, by using or distributing this work
+(or any other work associated in any way with the phrase "Project
+Gutenberg"), you agree to comply with all the terms of the Full Project
+Gutenberg-tm License (available with this file or online at
+http://gutenberg.org/license).
+
+
+Section 1.  General Terms of Use and Redistributing Project Gutenberg-tm
+electronic works
+
+1.A.  By reading or using any part of this Project Gutenberg-tm
+electronic work, you indicate that you have read, understand, agree to
+and accept all the terms of this license and intellectual property
+(trademark/copyright) agreement.  If you do not agree to abide by all
+the terms of this agreement, you must cease using and return or destroy
+all copies of Project Gutenberg-tm electronic works in your possession.
+If you paid a fee for obtaining a copy of or access to a Project
+Gutenberg-tm electronic work and you do not agree to be bound by the
+terms of this agreement, you may obtain a refund from the person or
+entity to whom you paid the fee as set forth in paragraph 1.E.8.
+
+1.B.  "Project Gutenberg" is a registered trademark.  It may only be
+used on or associated in any way with an electronic work by people who
+agree to be bound by the terms of this agreement.  There are a few
+things that you can do with most Project Gutenberg-tm electronic works
+even without complying with the full terms of this agreement.  See
+paragraph 1.C below.  There are a lot of things you can do with Project
+Gutenberg-tm electronic works if you follow the terms of this agreement
+and help preserve free future access to Project Gutenberg-tm electronic
+works.  See paragraph 1.E below.
+
+1.C.  The Project Gutenberg Literary Archive Foundation ("the Foundation"
+or PGLAF), owns a compilation copyright in the collection of Project
+Gutenberg-tm electronic works.  Nearly all the individual works in the
+collection are in the public domain in the United States.  If an
+individual work is in the public domain in the United States and you are
+located in the United States, we do not claim a right to prevent you from
+copying, distributing, performing, displaying or creating derivative
+works based on the work as long as all references to Project Gutenberg
+are removed.  Of course, we hope that you will support the Project
+Gutenberg-tm mission of promoting free access to electronic works by
+freely sharing Project Gutenberg-tm works in compliance with the terms of
+this agreement for keeping the Project Gutenberg-tm name associated with
+the work.  You can easily comply with the terms of this agreement by
+keeping this work in the same format with its attached full Project
+Gutenberg-tm License when you share it without charge with others.
+
+1.D.  The copyright laws of the place where you are located also govern
+what you can do with this work.  Copyright laws in most countries are in
+a constant state of change.  If you are outside the United States, check
+the laws of your country in addition to the terms of this agreement
+before downloading, copying, displaying, performing, distributing or
+creating derivative works based on this work or any other Project
+Gutenberg-tm work.  The Foundation makes no representations concerning
+the copyright status of any work in any country outside the United
+States.
+
+1.E.  Unless you have removed all references to Project Gutenberg:
+
+1.E.1.  The following sentence, with active links to, or other immediate
+access to, the full Project Gutenberg-tm License must appear prominently
+whenever any copy of a Project Gutenberg-tm work (any work on which the
+phrase "Project Gutenberg" appears, or with which the phrase "Project
+Gutenberg" is associated) is accessed, displayed, performed, viewed,
+copied or distributed:
+
+This eBook is for the use of anyone anywhere at no cost and with
+almost no restrictions whatsoever.  You may copy it, give it away or
+re-use it under the terms of the Project Gutenberg License included
+with this eBook or online at www.gutenberg.org
+
+1.E.2.  If an individual Project Gutenberg-tm electronic work is derived
+from the public domain (does not contain a notice indicating that it is
+posted with permission of the copyright holder), the work can be copied
+and distributed to anyone in the United States without paying any fees
+or charges.  If you are redistributing or providing access to a work
+with the phrase "Project Gutenberg" associated with or appearing on the
+work, you must comply either with the requirements of paragraphs 1.E.1
+through 1.E.7 or obtain permission for the use of the work and the
+Project Gutenberg-tm trademark as set forth in paragraphs 1.E.8 or
+1.E.9.
+
+1.E.3.  If an individual Project Gutenberg-tm electronic work is posted
+with the permission of the copyright holder, your use and distribution
+must comply with both paragraphs 1.E.1 through 1.E.7 and any additional
+terms imposed by the copyright holder.  Additional terms will be linked
+to the Project Gutenberg-tm License for all works posted with the
+permission of the copyright holder found at the beginning of this work.
+
+1.E.4.  Do not unlink or detach or remove the full Project Gutenberg-tm
+License terms from this work, or any files containing a part of this
+work or any other work associated with Project Gutenberg-tm.
+
+1.E.5.  Do not copy, display, perform, distribute or redistribute this
+electronic work, or any part of this electronic work, without
+prominently displaying the sentence set forth in paragraph 1.E.1 with
+active links or immediate access to the full terms of the Project
+Gutenberg-tm License.
+
+1.E.6.  You may convert to and distribute this work in any binary,
+compressed, marked up, nonproprietary or proprietary form, including any
+word processing or hypertext form.  However, if you provide access to or
+distribute copies of a Project Gutenberg-tm work in a format other than
+"Plain Vanilla ASCII" or other format used in the official version
+posted on the official Project Gutenberg-tm web site (www.gutenberg.org),
+you must, at no additional cost, fee or expense to the user, provide a
+copy, a means of exporting a copy, or a means of obtaining a copy upon
+request, of the work in its original "Plain Vanilla ASCII" or other
+form.  Any alternate format must include the full Project Gutenberg-tm
+License as specified in paragraph 1.E.1.
+
+1.E.7.  Do not charge a fee for access to, viewing, displaying,
+performing, copying or distributing any Project Gutenberg-tm works
+unless you comply with paragraph 1.E.8 or 1.E.9.
+
+1.E.8.  You may charge a reasonable fee for copies of or providing
+access to or distributing Project Gutenberg-tm electronic works provided
+that
+
+- You pay a royalty fee of 20% of the gross profits you derive from
+     the use of Project Gutenberg-tm works calculated using the method
+     you already use to calculate your applicable taxes.  The fee is
+     owed to the owner of the Project Gutenberg-tm trademark, but he
+     has agreed to donate royalties under this paragraph to the
+     Project Gutenberg Literary Archive Foundation.  Royalty payments
+     must be paid within 60 days following each date on which you
+     prepare (or are legally required to prepare) your periodic tax
+     returns.  Royalty payments should be clearly marked as such and
+     sent to the Project Gutenberg Literary Archive Foundation at the
+     address specified in Section 4, "Information about donations to
+     the Project Gutenberg Literary Archive Foundation."
+
+- You provide a full refund of any money paid by a user who notifies
+     you in writing (or by e-mail) within 30 days of receipt that s/he
+     does not agree to the terms of the full Project Gutenberg-tm
+     License.  You must require such a user to return or
+     destroy all copies of the works possessed in a physical medium
+     and discontinue all use of and all access to other copies of
+     Project Gutenberg-tm works.
+
+- You provide, in accordance with paragraph 1.F.3, a full refund of any
+     money paid for a work or a replacement copy, if a defect in the
+     electronic work is discovered and reported to you within 90 days
+     of receipt of the work.
+
+- You comply with all other terms of this agreement for free
+     distribution of Project Gutenberg-tm works.
+
+1.E.9.  If you wish to charge a fee or distribute a Project Gutenberg-tm
+electronic work or group of works on different terms than are set
+forth in this agreement, you must obtain permission in writing from
+both the Project Gutenberg Literary Archive Foundation and Michael
+Hart, the owner of the Project Gutenberg-tm trademark.  Contact the
+Foundation as set forth in Section 3 below.
+
+1.F.
+
+1.F.1.  Project Gutenberg volunteers and employees expend considerable
+effort to identify, do copyright research on, transcribe and proofread
+public domain works in creating the Project Gutenberg-tm
+collection.  Despite these efforts, Project Gutenberg-tm electronic
+works, and the medium on which they may be stored, may contain
+"Defects," such as, but not limited to, incomplete, inaccurate or
+corrupt data, transcription errors, a copyright or other intellectual
+property infringement, a defective or damaged disk or other medium, a
+computer virus, or computer codes that damage or cannot be read by
+your equipment.
+
+1.F.2.  LIMITED WARRANTY, DISCLAIMER OF DAMAGES - Except for the "Right
+of Replacement or Refund" described in paragraph 1.F.3, the Project
+Gutenberg Literary Archive Foundation, the owner of the Project
+Gutenberg-tm trademark, and any other party distributing a Project
+Gutenberg-tm electronic work under this agreement, disclaim all
+liability to you for damages, costs and expenses, including legal
+fees.  YOU AGREE THAT YOU HAVE NO REMEDIES FOR NEGLIGENCE, STRICT
+LIABILITY, BREACH OF WARRANTY OR BREACH OF CONTRACT EXCEPT THOSE
+PROVIDED IN PARAGRAPH F3.  YOU AGREE THAT THE FOUNDATION, THE
+TRADEMARK OWNER, AND ANY DISTRIBUTOR UNDER THIS AGREEMENT WILL NOT BE
+LIABLE TO YOU FOR ACTUAL, DIRECT, INDIRECT, CONSEQUENTIAL, PUNITIVE OR
+INCIDENTAL DAMAGES EVEN IF YOU GIVE NOTICE OF THE POSSIBILITY OF SUCH
+DAMAGE.
+
+1.F.3.  LIMITED RIGHT OF REPLACEMENT OR REFUND - If you discover a
+defect in this electronic work within 90 days of receiving it, you can
+receive a refund of the money (if any) you paid for it by sending a
+written explanation to the person you received the work from.  If you
+received the work on a physical medium, you must return the medium with
+your written explanation.  The person or entity that provided you with
+the defective work may elect to provide a replacement copy in lieu of a
+refund.  If you received the work electronically, the person or entity
+providing it to you may choose to give you a second opportunity to
+receive the work electronically in lieu of a refund.  If the second copy
+is also defective, you may demand a refund in writing without further
+opportunities to fix the problem.
+
+1.F.4.  Except for the limited right of replacement or refund set forth
+in paragraph 1.F.3, this work is provided to you 'AS-IS' WITH NO OTHER
+WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO
+WARRANTIES OF MERCHANTIBILITY OR FITNESS FOR ANY PURPOSE.
+
+1.F.5.  Some states do not allow disclaimers of certain implied
+warranties or the exclusion or limitation of certain types of damages.
+If any disclaimer or limitation set forth in this agreement violates the
+law of the state applicable to this agreement, the agreement shall be
+interpreted to make the maximum disclaimer or limitation permitted by
+the applicable state law.  The invalidity or unenforceability of any
+provision of this agreement shall not void the remaining provisions.
+
+1.F.6.  INDEMNITY - You agree to indemnify and hold the Foundation, the
+trademark owner, any agent or employee of the Foundation, anyone
+providing copies of Project Gutenberg-tm electronic works in accordance
+with this agreement, and any volunteers associated with the production,
+promotion and distribution of Project Gutenberg-tm electronic works,
+harmless from all liability, costs and expenses, including legal fees,
+that arise directly or indirectly from any of the following which you do
+or cause to occur: (a) distribution of this or any Project Gutenberg-tm
+work, (b) alteration, modification, or additions or deletions to any
+Project Gutenberg-tm work, and (c) any Defect you cause.
+
+
+Section  2.  Information about the Mission of Project Gutenberg-tm
+
+Project Gutenberg-tm is synonymous with the free distribution of
+electronic works in formats readable by the widest variety of computers
+including obsolete, old, middle-aged and new computers.  It exists
+because of the efforts of hundreds of volunteers and donations from
+people in all walks of life.
+
+Volunteers and financial support to provide volunteers with the
+assistance they need, is critical to reaching Project Gutenberg-tm's
+goals and ensuring that the Project Gutenberg-tm collection will
+remain freely available for generations to come.  In 2001, the Project
+Gutenberg Literary Archive Foundation was created to provide a secure
+and permanent future for Project Gutenberg-tm and future generations.
+To learn more about the Project Gutenberg Literary Archive Foundation
+and how your efforts and donations can help, see Sections 3 and 4
+and the Foundation web page at http://www.pglaf.org.
+
+
+Section 3.  Information about the Project Gutenberg Literary Archive
+Foundation
+
+The Project Gutenberg Literary Archive Foundation is a non profit
+501(c)(3) educational corporation organized under the laws of the
+state of Mississippi and granted tax exempt status by the Internal
+Revenue Service.  The Foundation's EIN or federal tax identification
+number is 64-6221541.  Its 501(c)(3) letter is posted at
+http://pglaf.org/fundraising.  Contributions to the Project Gutenberg
+Literary Archive Foundation are tax deductible to the full extent
+permitted by U.S. federal laws and your state's laws.
+
+The Foundation's principal office is located at 4557 Melan Dr. S.
+Fairbanks, AK, 99712., but its volunteers and employees are scattered
+throughout numerous locations.  Its business office is located at
+809 North 1500 West, Salt Lake City, UT 84116, (801) 596-1887, email
+business@pglaf.org.  Email contact links and up to date contact
+information can be found at the Foundation's web site and official
+page at http://pglaf.org
+
+For additional contact information:
+     Dr. Gregory B. Newby
+     Chief Executive and Director
+     gbnewby@pglaf.org
+
+
+Section 4.  Information about Donations to the Project Gutenberg
+Literary Archive Foundation
+
+Project Gutenberg-tm depends upon and cannot survive without wide
+spread public support and donations to carry out its mission of
+increasing the number of public domain and licensed works that can be
+freely distributed in machine readable form accessible by the widest
+array of equipment including outdated equipment.  Many small donations
+($1 to $5,000) are particularly important to maintaining tax exempt
+status with the IRS.
+
+The Foundation is committed to complying with the laws regulating
+charities and charitable donations in all 50 states of the United
+States.  Compliance requirements are not uniform and it takes a
+considerable effort, much paperwork and many fees to meet and keep up
+with these requirements.  We do not solicit donations in locations
+where we have not received written confirmation of compliance.  To
+SEND DONATIONS or determine the status of compliance for any
+particular state visit http://pglaf.org
+
+While we cannot and do not solicit contributions from states where we
+have not met the solicitation requirements, we know of no prohibition
+against accepting unsolicited donations from donors in such states who
+approach us with offers to donate.
+
+International donations are gratefully accepted, but we cannot make
+any statements concerning tax treatment of donations received from
+outside the United States.  U.S. laws alone swamp our small staff.
+
+Please check the Project Gutenberg Web pages for current donation
+methods and addresses.  Donations are accepted in a number of other
+ways including checks, online payments and credit card donations.
+To donate, please visit: http://pglaf.org/donate
+
+
+Section 5.  General Information About Project Gutenberg-tm electronic
+works.
+
+Professor Michael S. Hart is the originator of the Project Gutenberg-tm
+concept of a library of electronic works that could be freely shared
+with anyone.  For thirty years, he produced and distributed Project
+Gutenberg-tm eBooks with only a loose network of volunteer support.
+
+
+Project Gutenberg-tm eBooks are often created from several printed
+editions, all of which are confirmed as Public Domain in the U.S.
+unless a copyright notice is included.  Thus, we do not necessarily
+keep eBooks in compliance with any particular paper edition.
+
+
+Most people start at our Web site which has the main PG search facility:
+
+     http://www.gutenberg.org
+
+This Web site includes information about Project Gutenberg-tm,
+including how to make donations to the Project Gutenberg Literary
+Archive Foundation, how to help produce our new eBooks, and how to
+subscribe to our email newsletter to hear about new eBooks.
diff --git a/17695.zip b/17695.zip
new file mode 100644
index 0000000..7aaf894
--- /dev/null
+++ b/17695.zip
diff --git a/LICENSE.txt b/LICENSE.txt
new file mode 100644
index 0000000..6312041
--- /dev/null
+++ b/LICENSE.txt
@@ -0,0 +1,11 @@
+This eBook, including all associated images, markup, improvements,
+metadata, and any other content or labor, has been confirmed to be
+in the PUBLIC DOMAIN IN THE UNITED STATES.
+
+Procedures for determining public domain status are described in
+the "Copyright How-To" at https://www.gutenberg.org.
+
+No investigation has been made concerning possible copyrights in
+jurisdictions other than the United States. Anyone seeking to utilize
+this eBook outside of the United States should confirm copyright
+status under the laws that apply to them.
diff --git a/README.md b/README.md
new file mode 100644
index 0000000..066e63d
--- /dev/null
+++ b/README.md
@@ -0,0 +1,2 @@
+Project Gutenberg (https://www.gutenberg.org) public repository for
+eBook #17695 (https://www.gutenberg.org/ebooks/17695)